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FULL PACKET_2017-12-19
MINUTES OF THE SPECIAL JOINT STUDY SESSION OF THE CITIES OF GARDEN GROVE AND SANTA ANA DECEMBER 4, 2017 MEETING CONVENED: SANTA ANA CITY HALL, ROSS ANNEX 20 CIVIC CENTER PLAZA, ROOM 1600 SANTA ANA, CALIFORNIA 5:43 P.M. PLEDGE OF ALLEGIANCE: MICHELE MARTINEZ, MAYOR PRO TEM ROLL CALL: SANTA ANA COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tem VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS CITY COUNCIL MINUTES COUNCILMEMBER Absent: P. DAVID BENAVIDES GARDEN GROVE COUNCILMEMBERS Present: STEVEN JONES; Mayor PHAT BUI, Mayor Pro Tem - District 4 (5:54 p.m.) KRIS BEARD, District 1; JOHN O'NEILL, District 2; THU-HA NGUYEN, District 3; STEPHANIE KLOPFENSTEIN, District 5; KIM NGUYEN, District 6 STAFF Present: RAUL GODINEZ II, Santa Ana City Manager SCOTT C. STILES, Garden Grove City Manager SONIA R. CARVALHO, Santa Ana City Attorney OMAR SANDOVAL, Garden Grove City Attorney MARIA D. HUIZAR, Santa Ana Clerk of the Council TERESA POMEROY, Garden Grove City Clerk 10A-1 DECEMBER 4, 2017 PUBLIC COMMENTS: • Peter Katz, President of Comlink in the City of Santa Ana, urged all to consider upgrading golf course and maintain as open space. • Wally Gonzalez, resident of Santa Anita Neighborhood, commented on need to consider schools and other impacts to area residents; also requested community engagement. INTRODUCTION AND WELCOME BY MAYOR PULIDO AND MAYOR JONES Staff presentation by City of Garden Grove's Community and Economic Development Director Lisa Kim and City of Santa Ana's Acting Planning Manager, Vince Fregoso. Study Session Overview • History of Willowick Golf Course • Willowick Current Conditions • Council Discussion • Next Steps Willowick Golf Course • Property Information ■ Acquired in 1955 ■ +102 acres • Property Lease ■ Term began in 2001 ■ Term expires in 2020 Willowick Current Conditions ■ Zoning and Land Use ■ Santa Ana General Plan Update ■ OC Streetcar CITY COUNCIL MINUTES 2 DECEMBER 4, 2077 10A-2 Willowick Current Conditions Zoning and Land Use The subject site has a Zoning designation of Open Space (0). Permitted uses include: • Open air recreational uses • Government buildings • Quasi -public and service facilities • Other uses whose purpose is to provide open space Willowick Current Conditions Current General Plan The site has a General Plan designation of Open Space (OS). Compatible uses include: • Park land • Golf Courses • Other similar opportunities for active/passive open spaces Willowick Current Conditions General Plan Update PBA currently preparing a comprehensive update to the General Plan. Been working with an advisory group during update process/generated list of potential uses. Ideal opportunity to reexamine potential uses of the site. OC Streetcar N p 3 3 6 J tic \ wrmrt,u wuO \�%\' ; 4�u •L9 Y�'Qa��MNOkI v •��swneru A�w°°����`wM.d.ig•�� n �Sbwbxlbule ��+LO55<H WJCwMy L"Y `'LYJ O Sbv ,� AOmmwruemtl m" �s..�a., avaw sa�w.sxmnoun y• Discussion Items • Community Outreach o New General Plan Process o Community Outreach Meeting • Consulting o Scope of Work 0 31d Party Facilitator • Memorandum of Understanding • Next Steps Council discussion ensued. City Councils' discussion included: Consideration of impacts to surrounding neighborhoods and school sites; long term goals and suitable project to benefit both cities; revenue generation to be considered; evaluate other projects of this magnitude to consider; maintain momentum; extensive community outreach and participation paramount; consider hiring consultant; developer needs to have experience with large scale project, as this. Also, CITY COUNCIL MINUTES 3 DECEMBER 4, 2017 10A-3 consider forming ad hoc committees and/or joint powers authority; ensure open communication with all stakeholders including City officials. Consensus amongst all members that grand vision needed for one of the largest open areas remaining in central Orange County. COUNCIL MEMBERS BUI, SOLORIO, AND TINAJERO LEFT THE MEETING AT 7:00 P.M.' COUNCIL MEMBER SARMIENTO LEFT THE MEETING AT 7:09 P.M. SANTA ANA CITY COUNCIL ADJOURNED DUE TO LACK OF QUORUM. Final comments by remaining members of the City Council concluded at 7:12 p.m. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 4 DECEMBER 4, 2017 10A-4 MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA DECEMBER 5, 2017 CLOSED SESSION MEETING CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS — None COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:08 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tem P. DAVID BENAVIDES (5:13 P.M.) VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO (5:13 P.M.) JUAN VILLEGAS COUNCILMEMBERS Absent: NONE STAFF Present: RAUL GODINEZ, II, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:09 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: CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8: Address of Property: APN # 398-264-13; 201 W. 3rd Street; 62,243 sq. ft. (1.43 acres) CITY COUNCIL MINUTES 1 DECEMBER 5, 2017 1OB-1 Negotiators: Interim Community Development Agency Director Robert Zur Schmiede, and Consultant Elisa Stipkovich Terms: Conditions on the potential development and sale of City -owned property. 2. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Employee Organizations: Personnel Services Executive Director, Ed Raya • Santa Ana Police Management Association (PMA) • (SEIU) Part-time Civil Service Employees CLOSED SESSION REPORT - The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. ADJOURNED CLOSED SESSION AT 5:45 P.M. AND CONVENED TO THE REGULAR OPEN SESSION. CITY COUNCIL MINUTES 2 DECEMBER 5, 2017 10 B-2 REGULAR OPEN MEETING CALLED TO ORDER ATTENDANCE PLEDGE OF ALLEGIANCE INVOCATION CEREMONIAL PRESENTATIONS COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:48 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor MICHELE MARTINEZ, Mayor Pro Tem P. DAVID BENAVIDES VICENTE SARMIENTO JOSE SOLORIO SAL TINAJERO JUAN VILLEGAS COUNCILMEMBERS Absent: NONE STAFF Present: RAUL GODINEZ, II, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council MAYOR PULIDO ROGER ARAGON, POLICE CHAPLAIN • SPECIAL PRESENTATION introduction of new SAPD Officer 'Rosie" the SAPD Bloodhound • CERTIFICATE OF RECOGNITION presented by MAYOR PRO TEM MARTINEZ to the Illumination Foundation in recognition of their ten-year anniversary. PROCLAMATION presented by MAYOR PRO TEM MARTINEZ and COUNCILMEMBER BENAVIDES recognizing December 21st as National Homeless Persons' Memorial Day. • CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO to Santa Ana Unified School District Trustee Rigoberto Rodriguez for progress in measuring school readiness. CITY COUNCIL MINUTES 3 DECEMBER 5, 2017 10 B-3 CLOSED SESSION REPORT — No items to report. PUBLIC COMMENTS - (COMMENTS LISTED UNDER RESPECTIVE ITEM) CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on the following Consent Calendar Items 10A through 25R, with the following modifications: • Mayor Pro Tem Martinez pulled Agenda Items 19E, 25A, 25B, 25H, and 25K for separate discussion and dissented on Agenda Items 251 and 25J; • Councilmember Solorio pulled Agenda Items 19D, 19E, 25C, 25D, and 25Q for separate discussion; and • Councilmember Sarmiento pulled Agenda Items 25L and 19E for separate discussion and dissented on Agenda Item 19C. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Tinajero Benavides, Martinez, Pulido, Sarmiento, Solodo, Tinajero, Villegas (7) None (0) None (0) None (0) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF NOVEMBER 21, 2017 {STRATEGIC PLAN NO. 5, 1} — Clerk of the Council Office MOTION: Approve Minutes. CITY COUNCIL MINUTES 4 DECEMBER 5, 2017 10 B-4 BOARDS / COMMISSIONS / COMMITTEES 13A. COUNCIL COMMITTEES —AGENDA AND MINUTES {STRATEGICPLAN NO. 5, 1} - Clerk of the Council Office MOTION: Receive and file. NAME MEETING DATE Economic Development Infrastructure, Budget 11/13/2017 and Technology Committee Public Safety, Code Enforcement and 11/14/2017 Neighborhood Empowerment Committee 13B. APPOINT IRMA A. MACIAS TO THE BOARD OF RECREATION AND PARKS FOR A PARTIAL -TERM EXPIRING DECEMBER 11, 2018 AS THE MAYORAL REPRESENTATIVE {STRATEGIC PLAN NO. 5, 1} - Clerk of the Council Office MOTION: Nominate Irma A. Macias for an appointment to the Board of Recreation and Parks as the Mayoral representative (replaces W. Tobiska). FINAL TRACT MAP NOTIFICATIONS Pursuant to Section 34-183 of the Santa Ana Municipal Code, the City Engineer has received this Final Map and is in the process of reviewing the map for final approval. The City Engineer shall approve or disapprove this map within 10 days of the City Council Meeting. 17A. CERTIFICATION AND APPROVAL OF FINAL PARCEL MAP NO. 2015- 138 BY CITY ENGINEER (1600 EAST SAINT ANDREW PLACE) {STRATEGIC PLAN NO. 3, 2} - Public Works Agency MOTION: Receive and file. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office 19B. EXCUSED ABSENCES — Clerk of the Council Office 19C. APPROVE DESTRUCTION OF OBSOLETE CITY RECORDS {STRATEGIC PLAN NO. 5, 11 (Public Works Agency) — Public Works Agency CITY COUNCIL MINUTES 5 DECEMBER 5, 2017 1 OB -5 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._ PUBLIC wokKs AGENCY STATUS OF PROJECTS - MONTHLY CAPITAL IMPROVEMENT PROGRAM EXECUTIVE REPORT FOR NOVEMBER 2017 {STRATEGIC PLAN NO. 5, 1}__ Public Works Agency The CIP Executive Summary Schedule is available on the City's website at http://santa- ana/pwa/documents/Executive MonthlyCI PUpdate November2017.Of Councilmember Solorio, noted excellent progress on Pacific Electric Right of Way Park, opined many in the community would like to see major improvements to Raitt Street, and public interest in more security cameras throughout parks. Executive Director of Public Works Fred Mousavipour, noted new schedule will reflect project with updated dates. Executive Director of Parks, Recreation and Community Services, Gerardo Mouet, updated City Council on Pacific Electric Right of Way Park project and listed parks approved to receive surveillance cameras. Mayor Pro Tem Martinez, asked how Capital Improvement Projects are funded and noted funding for most new parks and infrastructure maintenance comes from OCTA and various state and federal grants which take five to seven years to implement. Executive Director of Public Works Mousavipour, noted most Capital Improvement Project funding comes from various funds and general fund contribution is less than one percent. Councilmember Sarmiento echoed comments by Mayor Pro Tem and noted staff member seriously injured while manually watering median. 1,l[0'j1([0]dli: T - P 317roir.9ar3 MOTION: Solorio SECOND: Martinez CITY COUNCIL MINUTES 6 DECEMBER 5, 2017 10 B-6 VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) RECEIVE AND FILE STREET MEDIAN TREE IRRIGATION PLAN {STRATEGIC PLAN NO. 5,_21, -_Pub_lic Works Agency Mayor Pro Tem Martinez, thanked ETAC commission, noted update plan to use existing irrigation system to water trees, long term plan to implement recycled water irrigation system, and process in obtaining grants to fund project. Councilmember Solorio, thanked Public Works and Water Department staff for their work. Noted recycled water irrigation systems are costly and directed staff to look at existing native plant and hardscape plan. MOTION. Receive and file. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Solorio Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) None (0) None (0) None (0) BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. APPROVE A SUPPLEMENTAL SITE LEASE AGREEMENT AND A SITE LICENSE AGREEMENT AMENDMENT WITH INTERNATIONAL BUS LINES, INC., FOR SEASONAL BUS SERVICE AT THE SANTA ANA REGIONAL TRANSPORTATION CENTER AND APPROVE AN APPROPRIATION ADJUSTMENT {STRATEGIC PLAN NO. 3,2C} - Public Works Agency CITY COUNCIL MINUTES 7 DECEMBER 5, 2017 10 B-7 MOTION: Authorize the City Manager and Clerk of the Council to execute a supplemental site lease agreement with International Bus Lines, Inc., to compensate the City $822 per month for the temporary lease of 150 square feet of interior office space located at the Santa Ana Regional Transportation Center, for the purpose of selling tickets to patrons, for the term beginning December 6, 2017, and ending February 28, 2018, with an option to extend the term for up to six additional months, subject to non -substantive changes approved by the City Manager and City Attorney((AGMT. No. 2017-321). 2. Authorize the City Manager and Clerk of the Council to execute an amendment to the site license agreement with International Bus Lines, Inc., to allow immediate compensation of $3,000 per month for access to Bus Bay No. 4 at the Santa Ana Regional Transportation Center, beginning December 6, 2017, prior to completion of previously stipulated tenant improvements and upon confirmation of operating requirements identified in the agreement, subject to non -substantive changed approved by the City Manager and City Attorney ((AGMT. No. 2017-322). 3. Approve an appropriation adjustments. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018-047 - Approve an appropriation adjustment recognizing Fiscal Year 2017-18 lease income in the amount of $2,466 into the SARTC Operations Rental—International Bus Lines Revenue Account and appropriating the same amount to the SARTC Operations Contractual Services expenditure account. AGREEMENTS 25A. _ ___ _ _ADOPTION OF A SIDE LETTER AGREEMENT WITH THE SANTA ANA POLICE OFFICERS ASSOCIATION (SAPOA) (STRATEGIC PLAN NO. 7� ;Personnel Services Agency, Mayor Pro Tem Martinez, noted that all employees deserve raises, but City's financial standing cannot support raises. MOTION: Adoption of a Side Letter agreement modifying the Memorandum of Understanding with the Santa Ana Police Officers Association (SAPOA) regarding wages and other terns and conditions of employment ((AGMT. No. 2017-323). CITY COUNCIL MINUTES ' woo DECEMBER 5, 2017 MOTION: Villegas SECOND: Tinajero VOTE: AYES: Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) NOES: Martinez (1) ABSTAIN: None (0) ABSENT: None (0) IN OF' A MEMORANDUM Of EMPLOYEES INTERNATIONAL 7 A R Rl - Percnnnel Ceniirac Ar Mayor Pro Tem Martinez, echoed comments on Agenda Item 25A. MOTION: Adoption of a Memorandum of Understanding (MOU) between the City of Santa Ana and the Service Employees International Union Local 721 (SEIU) regarding wages and other terms and conditions of employment for a term of 18 months from July 1, 2017 through December 31, 2018 ((AGMT. No. 2017-324). MOTION: Solorio VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Tinajero Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) Martinez (1) None (0) None (0) 25C. _APPROVE AN AGREEMENT TO PROVIDE A CLEAN AND SAFE PROGRAM FOR DOWNTOWN SANTA ANA (Non -General Fundj {STRATEGIC PLAN NO. 3, 4A)__Community Development Agency;! Councilmember Solorio, asked staff to provide additional information on services, program funding increase, and clarification if item is an appropriation. Noted other significant business quarters that don't receive these types of services. Economic Development Manager Marc Morley, noted item is not an appropriation and provided history of the program and agreement. CITY COUNCIL MINUTES 9 DECEMBER 5, 2017 10 B-9 Councilmember Benavides, noted City of Santa Ana has one business improvement district and encouraged other businesses to come together to improve their area to create quality destination for the community. Mayor Pro Tem Martinez, asked staff clarification of source of funds for program and noted parking revenue designated to be reinvested back in to the downtown district. Economic Development Manager Morley, noted funding generated from parking revenue. Councilmember Tinajero, noted great strides have been made in the Downtown area. MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with Downtown Inc. (DTI) to provide an additional $100,000 for a one-year period ending on December 31, 2018 for a total amount of $500,000, subject to non -substantive changes approved by the City Manager and City Attorney. ((AGMT. No. 2017-325). MOTION: Solorio SECOND: Benavides VOTE: AYES: Benavides, Martinez, Sarmiento, Solorio, Tinajero, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido (1) 25D. DOWNTOWN MERCHANTS FUNDAGREEMENTS {ST_RA TEGI_C PLAN NO. 3, 4F}_Community. Development Agency, The following spoke on the matter: David Carbajal, representing Santa Ana Alliance Against Gentrification, questioned the legitimacy of Downtown Inc. and the increase of an additional $100,000 added to the Clean and Safety Program budget; opined that continuing to fund a broken program is irresponsible and funds should be used in more strategic manner. Ivan Enriquez, highlighted his experience as parking attendant, opined parking attendants are severely underpaid and are deserving of a livable wage of at least $15 per hour. CITY COUNCIL MINUTES 10 DECEMBER 5, 2017 1OB-10 Councilmember Solorio, noted income generated originally was earmarked to create a validation program for residents and commuters and expressed concern moving funds towards marketing, noted loss to residents and visitors to downtown, and requested decision making process of validation program. Councilmember Sarmiento, opined downtown merchants make decisions based on their needs, noted growth must be done in a responsible way, noted current inclusive regional events, and thanked members of Downtown Inc. and Business Council. Councilmember Benavides, echoed comments made by Councilmember Sarmiento and opined City Council should heed to downtown merchants expressed needs. MOTION. Authorize the City Manager and the Clerk of the Council to execute agreements to establish a Merchants Fund for a period of January 1, 2018 through January 1, 2019 in the amount of $200,000 ($100,000 per organization) subject to non -substantive changes approved by the City Manager and City Attorney. • With Downtown Inc. (AGMT. No. 2017-326) • With Santa Ana Business Council (AGMT. No. 2017-327) MOTION: Tinajero SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 25E. AUTHORIZE AGREEMENTS FOR TRAFFIC COUNTING SERVICES WITH TRANSPORTATION STUDIES, INC., AND AIMTD, LLC (PROJECT NOS. 17-6896 & 18-6897) {STRATEGIC PLAN NO. 1, 3B) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute agreements with Transportation Studies, Inc., and AImTD LLC, to provide traffic counting services for a one-year term beginning December 5, 2017, and expiring December 4, 2018, with a provision for up to two one-year extensions exercisable by the City Manager and the City Attorney, in an amount not to exceed $50,000 for each consultant, including any extension periods, for an aggregate amount CITY COUNCIL MINUTES 11 DECEMBER 5, 2017 1OB-11 not to exceed $100,000, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-328 & 2017- 329). 25F. AGREEMENT FOR OCCUPATIONAL MEDICAL SERVICES {STRATEGIC PLAN NO. 7, 61 – Personnel Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with U.S. Healthworks, subject to non - substantive changes approved by the City Manager and City Attorney, to provide preventative occupational medical services for a 2 -year period expiring on June 30, 2019 in an amount not to exceed $150,000 (AGMT. No. 2017-330). 25G. APPROVAL OF HISTORIC PROPERTY PRESERVATION AGREEMENT {STRATEGIC PLAN NOS. 5, 2; 5, 31 – Planning and Building Agency MOTION: Authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Timothy M. Johnson and Ann C. Johnson, Trustees of the Johnson Family Trust, for the structure located at 927 West Twentieth Street, subject to non - substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-331). 25HyT� AWARD OF EQUIPMENT AND SERVICE AGREEMENT WITH VACANT PROPERTY SECURITY, LLC FOR PLACING METAL SECURITY DOORS) ;SCREENS AND OTHER SECURITY EQUIPMENT ON RED -TAGGED BUILDINGS -{STRATEGIC _ PLAN NO. 3, 3;_§,_4E}- planningand Building Agency — The following following spoke on the matter: • Ivan Enriquez, disagreed as to funds being used and opined funds should be used for youth services, youth programs, and community services. Mayor Pro Tem Martinez, thanked staff, code enforcement, and noted residents' concerns as to a property off Cypress Street being entered by homeless population. Councilmember Solorio, noted loss of sales tax and other city revenue from illegal businesses, potential future illegal cannabis businesses, and the need to expand use of security doors. MOTION: Authorize the City Manager and Clerk of the Council to enter into a contract with Vacant Property Security, LLC for equipment and CITY COUNCIL MINUTES 12 DECEMBER 5, 2017 1OB-12 251 25J services related to placing metal security doors, screens, and other security equipment on "red -tagged" buildings to enforce compliance of code enforcement violations, for a one year term ending on December 4, 2018, with an option to extend the term for up to one year, in an amount not to exceed $115,000, including any extension period, subject to non -substantive changes approved by the City Manager and the City Attorney (AGMT. No. 2017-332). MOTION: Martinez SECOND: Benavides VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) APPROVE AN AMENDMENT TO THE AGREEMENT FOR INMATE FOOD SERVICES AND COMMISSARY {STRATEGIC PLAN GOAL NO. 1, 3A} - Police Department The following spoke on the matter: • Ivan Enriquez, noted that Aramark Corp has mistreated workers at several college campuses in the Washington, D.C. area. MOTION: Approve a three-year agreement amendment with Aramark Correctional Services, Inc. for the provision of inmate food and commissary services for the period of February 1, 2017, through January 30, 2020, in the amount of $2,945,696. This amount includes the original agreement total of $1,460,016, projected future invoices, as well as a 5% contingency, subject to non -substantive changes approved by the City Manager and City Attorney. (AGMT. No. 2017- 333). *Mayor Pro Tem Martinez dissented on Agenda Item 251. AGREEMENT FOR JAIL MANAGEMENT SYSTEM MAINTENANCE {STRATEGIC PLAN NO. 1, 4A} - Police Department MOTION: Continue consideration of matter to the December 19, 2017 Council Meeting per staffs request. *Mayor Pro Tem Martinez dissented on Agenda Item 251. CITY COUNCIL MINUTES 13 DECEMBER 5, 2017 1OB-13 25K.- __ _ _ AGREEMENT TO PROVIDE HOUSING FOR FEDERAL PAROLEES AND INMATES {STRATEGIC PLAN NO. 1, 4A}-- Police Department The following spoke on the matter: • Daisy Ramirez, Jails Project Coordinator for American Civil Liberty Union Foundation of Southern California, expressed concern to expand jail related contracts before the jail reuse study finalized. • Roberto Herrera, opposed to City expanding services; limits and predetermines the use of the jail regardless of the jail reuse study; requested City Council not approved the agreement. Council discussion ensued. Mayor Pro Tem Martinez, noted City Council instruction to staff to proceed with reuse study and questioned why Bureau of Prison agreement is being moved forward. City Manager Godinez, clarified agreement is limited to three years and is a routine renewal agreement. Noted implementation of recommendations of reuse study would take some time and Bureau of Prison agreement would not conflict with reuse implementation. Mayor Pro Tem Martinez, opined City of Santa Ana should not be in the jail business. Councilmember Sarmiento, noted some agreements are multi-year agreement, asked City Attorney Sonia Carvalho to configure agreements to allow for an 'opt -out' clause, and expressed desire to keep options open. Assistant to the City Manager Jorge Garcia noted three year agreement does have an exit provision both parties can exercise. Councilmember Solorio, expressed support for reentry services, noted compensation per inmate is one hundred and five dollars per day, and asked if there is a minimum occupancy guarantee. Assistant to the City Manager Garcia, commented Bureau of Prison does not have a minimum occupancy guarantee and noted BOP is traditionally the smallest consistent contract. Councilmember Villegas, commented agreement would buy time before reuse study is completed and expressed support for contract. Councilmember Benavides, expressed support, reiterated goal to eliminate prison contracts, and voiced support to introduce a use that will provide a greater benefit that aligns with the values of the community and city. CITY COUNCIL MINUTES 14 DECEMBER 5, 2017 1OB-14 Councilmember Tinajero, opined need to find a balance of use versus economics of the city, noted budget short fall, needs and services needed by City, and revenue needed to support these services. Mayor Pulido, opined necessity to optimize jail while it exist on behalf of the community, costs of the jail, and asked staff for current and past capacity levels. Acting Chief of Police David Valentin noted present jail population at 246 and anticipation number will increase to over 400 with new agreements. Mayor Miguel Pulido noted present inmate housing rate is one hundred and five dollars per day, rate is highest paid to day, and potential yearly revenue generated. Mayor Pro Tem Martinez, opined raises given to Police Officer Association, non -sworn, and SEW would make income generated from jail a wash. Mayor Pulido, opined a wash is better than a deficit and City of Santa Ana should have an active facility. MOTION: Authorize the City Manager and the Clerk of the Council to execute a three year agreement with the Bureau of Prisons, for jail housing services for the period of November 21, 2017 through November 20, 2020, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-334). MOTION: Villegas SECOND: Solorio VOTE: AYES: Benavides, Pulido, Sarmiento, Solorio, Tinajero, Villegas (6) NOES: Martinez (1) ABSTAIN: None (0) ABSENT: None (0) 25L.' LEASE AGREEMENT WITH RIO WEST LLC FOR VI/ESTEND SUBSTATION OFFICE {STRATEGIC PLAN_NO. 1,_1_F}- Police Department Councilmember Sarmiento, opined police substation throughout the city promote community oriented policing, asked how many substation are currently open throughout the city, and expressed need of funding to other areas in the City of Santa Ana facing crime. CITY COUNCIL MINUTES 15 DECEMBER 5, 2017 1OB-15 Acting Chief of Police Valentin, noted prior move to close all substations, West End substation benefit from a zero cost lease for many years, and noted change of price of lease is due to a financial change of the business owner. Councilmember Solorio, echoed Councilmember Sarmiento, comments. Noted understaffed police department, officer vacancies, opined more substations may provide services to outer areas of the city. MOTION: Authorize the City Manager and Clerk of the Council to execute a month-to-month lease agreement with Rio West, LLC for the use of the Westend Substation, for the period of November 1, 2017 through October 31, 2018, in the amount of $2,546 per month, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-335). MOTION: Sarmiento SECOND: Villegas VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Tinajero (1) 25M. APPROVE AN AGREEMENT WITH RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT FOR COURSE REGISTRATION SERVICES {STRATEGIC PLAN NO. 1, 1 i) - Police Department MOTION: Authorize the City Manager and Clerk of the Council to execute the attached five-year agreement with Rancho Santiago Community College District for registering students to receive college credit for attending certified training, for the period of July 17, 2017 through July 16, 2022, subject to non -substantive changes approved by the City Manager and City Attorney. This agreement will result in tuition expenses of up to $95,830, and generate up to $270,000 in reimbursement revenue over the five-year term (AGMT. No. 2017-336). 25N. AGREEMENT WITH CALIFORNIA FORENSIC PHLEBOTOMY FOR BLOOD TECHNICIAN SERVICES {STRATEGIC PLAN NO. 1, 1 F) - Police Department CITY COUNCIL MINUTES 16 DECEMBER 5, 2017 1OB-16 MOTION: Authorize the City Manager and Clerk of the Council to execute a one year agreement with California Forensic Phlebotomy, for the period of November 21, 2017 through November 20, 2018, to perform blood related technician services, in an amount not to exceed $84,000, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-337). 250. APPROVE AGREEMENT WITH PSOMAS, INC., TO PROVIDE ENGINEERING DESIGN SERVICES FOR WELL NO. 29 REHABILITATION (PROJECT NO. 18-6491) {STRATEGIC PLAN NO. 6, 1 C} - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with PSOMAS, Inc., to provide design engineering services for Well No. 29 Rehabilitation, for a three-year period from December 5, 2017, through December 4, 2020, with provisions for one two-year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $625,000 for the term of the contract, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-338). 25P. AMEND AGREEMENT WITH CALIFORNIA BARRICADE RENTALS, INC., FOR PROVISION, INSTALLATION, AND REMOVAL OF TRAFFIC BARRICADES (PROJECT NO. 17-6612) {STRATEGIC PLAN NO. 6, 1C}— Public Works Agency MOTION. 1. Authorize the City Manager and the Clerk of the Council to execute a contract amendment with California Barricade Rentals, Inc., to include the provision of traffic control equipment for traffic safety on the First Street Bridge, increasing the compensation for the original term of the agreement by $50,000, for a total amount not -to -exceed $120,000 for services performed through December 31, 2017, and further amending the Contractor rates and charges for services and equipment as identified in Exhibit A of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-339). 2. Authorize the reallocation of $50,000 in unspent FY 2013/14 Gas Tax Funds remaining from various completed projects to the Emergency Repairs at Four Locations project to be utilized for the First Street Bridge over the Santa Ana River through the above referenced agreement. CITY COUNCIL MINUTES 17 DECEMBER 5, 2017 1OB-17 25-Q.- ----.AMENDMENT TO COOPERATIVE AGREEMENT FOR THE OC STREETCAR PROJECT USE OF RIGHT OF WAY (PROJECT 17-6766) (NON -GENERAL FUND){STRATEGIC PLAN NOS. 3, 2C,_4B;,6,_1G}� Public Works Agency; Councilmember Solorio, commented on possible eminent domain proceedings, downtown community anxiety towards construction, and public notification necessity. Noted OCTA is the lead agency in the project and expressed expectation of the City of Santa Ana to contribute towards the operational costs. Public Works Manager, Jason Gabriel brief City Council on OC Streetcar use of Right of Way Project and conditions set by FTA, and noted projected operational costs. City Manager Godinez commented on meeting with OCTA CEO Daryl Johnson and Washington D.C. bipartisan support. MOTION: Authorize the City Manager and Clerk of the Council to execute a first amendment to the use of Right of Way Cooperative Agreement with the Orange County Transportation Authority to facilitate the operation of the OC Streetcar Project in City right of way, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-340). MOTION: Solorio SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio (5) NOES: None (0) ABSTAIN: None (0) ABSENT: , Tinajero, Villegas (2) 25R. APPROVE AGREEMENT WITH MS + MEGT FOR CENTER STREET URBAN GREENING ARCHITECTURAL DESIGN (PROJECT NO. 17- 2674) {STRATEGIC PLAN NO. 6, 1G} (Parks, Recreation and Community Services Agency) — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with MS + MEGT to provide consulting architectural design services for the Center Street Urban Greening project, for a two-year term beginning December 5, 2017, and expiring CITY COUNCIL MINUTES 18 DECEMBER 5, 2017 1OB-18 on December 4, 2019, with the option for the City to grant up to two one-year renewal options exercisable by the City Manager and the City Attorney, in the total amount not to exceed $83,110, which includes a 10 percent contingency for additional design analysis in the amount of $7,555, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-341). OATH OF OFFICE ADMINISTERED BY CLERK OF THE COUNCIL HUIZAR TO BOARD OF PARKS AND RECREATION MEMBER IRMA MACIAS BUSINESS CALENDAR ORDINANCES/FIRST READING 50A. APPROVE AN ORDINANCE REAUTHORIZING THE PUBLIC, EDUCATIONAL, AND GOVERNMENT (PEG) FEE ON STATE VIDEO SERVICE FRANCHISES OPERATING WITHIN THE CITY {STRATEGIC PLAN NO. 2, 2A) - Parks, Recreation and Community Services Agency MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO NS -2934 -AN UNCODIFIED ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REAUTHORIZING THE PUBLIC, EDUCATIONAL, AND GOVERNMENT (PEG) FEE ON STATE VIDEO SERVICE FRANCHISES OPERATING WITHIN THE CITY MOTION: Tinajero SECOND: Benavides VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Villegas (1) RESOLUTIONS 55A. APPROVE A RESOLUTION AND APPROPRIATION ADJUSTMENT RECOGNIZING THE AMERICAN LIBRARY ASSOCIATION GRANT FUNDS FOR THE LIBRARIES READY TO CODE PROGRAM CITY COUNCIL MINUTES 19 DECEMBER 5, 2017 1OB-19 {STRATEGIC PLAN NO. 2, 2A) — Parks, Recreation and Community Services Agency Mayor Pro Tem Martinez, thanked Parks and Recreation director and library service staff for bringing forward grant funds, leveraging City of Santa Ana resources, and helping our youth. Councilmember Solorio, noted City of Santa Ana only has one library, supportive of connecting community services for library type activities, and continued expansion of connecting joint library use. Cheryl Eberly, Principal Librarian provided City Council with grant update, programs availability, and focus on coding training for our youth. Councilmember Sarmiento opined libraries are no longer traditional brick and mortar libraries and need to allocate and budget for new libraries. MOTION: Adopt a resolution. RESOLUTION NO 2017-075 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACKNOWLEDGING ACCEPTANCE OF THE AMERICAN LIBRARY ASSOCIATION'S READY TO CODE GRANT AND AUTHORIZING THE EXECUTIVE DIRECTOR OF THE PARKS, RECREATION AND COMMUNITY SERVICES DEPARTMENT TO EXECUTE ANY PAPERWORK NECESSARY TO COMPLY WITH THE GRANT 2. Approve an appropriation adjustments. (Requires rive affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018-046 — Approve an appropriation adjustment recognizing grant revenue in the amount of $25,000 from the American Library Association in the Public Library Grant revenue account (15211002-52040) and appropriating the same amount to the Libraries Ready to Code expenditure account (15211151 -various). MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero (6) NOES: None (0) ABSTAIN: None (0) CITY COUNCIL MINUTES 20 1 OB -20 DECEMBER 5, 2017 ABSENT: Villegas (1) 55B. ANNUAL REVIEW OF COUNCIL COMMITTEES —ADOPT RESOLUTION TO AFFIRM COMMITTEES AND SET POLICY ON MEMBERSHIP, APPOINTMENT OF MEMBERS, AND APPROVAL OF 2018 CALENDAR OF STANDING MEETINGS {STRATEGIC PLAN NO. 5, 1) — Clerk of the Council Councilmember Sarmiento, commented on reconfiguring committees, different models to look at, and composition of committees. City Attorney Carvalho, noted City Council may consider changing titles or create additional Council Committees, and continued efforts in developing committee practices guidelines. Clerk of the Council Huizar, noted resolution before City Council is to confirm current committees, appoint members, and approve proposed 2018 calendar. Mayor Pro Tem Martinez, noted her comments on how committees function, inclusion into resolution, and time frame to present to City Council with proposal. Councilmember Solorio, expressed support on item, noted every committee is staffed by different people and operates differently, and requested to be removed from the Legislative Affairs Committee. Councilmember Villegas, asked if serving on Council Committee is required. Councilmember Benavides, discussed challenges with number of committees each Councilmembers serve on and impact of Brown Act. Requested City Attorney and staff to present City Council with possible ways to organize committees and potential policies when pulling agenda items. City Attorney Carvalho, noted Committees are formal legislative bodies under the Brown Act, challenges in creating formal agendas, continued efforts to study issue, formulating recommendations to present to City Council, and clarified Council Committee authority. Councilmember Sarmiento, clarified Council Committees cannot take formal action, can only vet items, and present matters to City Council for adoption or approval. Commented on formality when considering items, and being judicious with City resources. CITY COUNCIL MINUTES 21 DECEMBER 5, 2017 1 OB -21 Councilmember Tinajero, nominated Councilmembers to serve on the Public Safety Committee. Councilmember Solorio ,requested to be withdrawn from Council Committees, noted his continued participation at City Council level, and desire to create own committees and task force. Councilmember Villegas, commended Mayor Pro Tem Martinez for serving on five Council Committees and expressed concern as to desire to now limit Councilmembers to two Council Committees. FRIENDLYAMENDED MOTION.- 1. OTION. 1. Adopt a resolution and direct staff to bring recommendations on committee role and responsibilities for City Council consideration within 60 days. RESOLUTION NO 2017-076 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING RESOLUTION NO. 2017-009, AFFIRMING COUNCIL COMMITTEES AND SETTING POLICY AS TO THE NUMBER OF COUNCIL COMMITTEES A MEMBER MAY SERVE ON MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) None (0) None (0) None (0) 2. Review list of committee members and elect new members as follow: CITY COUNCIL MINUTES 22 DECEMBER 5, 2017 1 OB -22 Youth, Education and Community 1. Benavides Services Committee 2. Tinajero -(and Joint Santa Ana Unified School 3. Villegas District and City Council Committee) Public Safety, Code Enforcement & 1. Benavides Neighborhood Empowerment 2. Tinajero 3. Villegas CITY COUNCIL MINUTES 22 DECEMBER 5, 2017 1 OB -22 MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Sarmiento, Tinajero, (4) NOES: Pulido, Solorio, Villegas (3) ABSTAIN: None (0) ABSENT: None (0) 3. Approve the 2018 calendar of regular standing meetings. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: REPORTS SECOND: Sarmiento Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) None (0) None (0) None (0) 65A. APPROVE A TWO-YEAR EXTENSION OF THE SOLID WASTE SERVICES AGREEMENT, APPROVE AN APPROPRIATION ADJUSTMENT, AND REVIEW THE DRAFT SOLID WASTE SERVICES REQUEST FOR PROPOSALS {STRATEGIC PLAN NO. 4, 1) — Public Works Agency Continued from the November 7, 2017 City Council meeting by a vote of 7-0 Executive Director of Public Works Mousavipour, made waste disposal presentation to City Council. Councilmember Sarmiento, clarified coterminous agreement with additional waste service provider, expressed concern as to recommendation listed in CITY COUNCIL MINUTES 23 DECEMBER 5, 2017 1 OB -23 Economic Development, Infrastructure, 1. Sarmiento Budget and Technology 2. Martinez Legislative Affairs, Ethics, 1. Martinez Transparency and Communications 2. Sarmiento 3. MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Benavides, Martinez, Sarmiento, Tinajero, (4) NOES: Pulido, Solorio, Villegas (3) ABSTAIN: None (0) ABSENT: None (0) 3. Approve the 2018 calendar of regular standing meetings. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: REPORTS SECOND: Sarmiento Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) None (0) None (0) None (0) 65A. APPROVE A TWO-YEAR EXTENSION OF THE SOLID WASTE SERVICES AGREEMENT, APPROVE AN APPROPRIATION ADJUSTMENT, AND REVIEW THE DRAFT SOLID WASTE SERVICES REQUEST FOR PROPOSALS {STRATEGIC PLAN NO. 4, 1) — Public Works Agency Continued from the November 7, 2017 City Council meeting by a vote of 7-0 Executive Director of Public Works Mousavipour, made waste disposal presentation to City Council. Councilmember Sarmiento, clarified coterminous agreement with additional waste service provider, expressed concern as to recommendation listed in CITY COUNCIL MINUTES 23 DECEMBER 5, 2017 1 OB -23 RFP to not allow City Council to communicate with vendors, and opined City Council should have all information available to make an informed decision. n Councilmember Solorio, asked when final Request for Proposal will be presented to City Council. Executive Director of Public Works Mousavipour, noted provision would eliminate potential unfair advantage and to create a single source of information for everyone to access. Joe Sloan on behalf of Sloan, Vazquez, McAfee noted provision is at the discretion of the City Council and recommends adoption of ex parte communication restriction. City Attorney Carvalho, opined proposed provision is the best practice of this kind due to the size and nature of the contract, noted provision is intended to protect City Council, and reviewed alternative ways to be involved while being protected. Councilmember Tinajero, expressed desire to perform due diligence and be prepared when RFP is presented to City Council. Mayor Pro Tem Martinez, noted City of Santa Ana has other waste haulers that should be offered the same contract extension. Noted inconsistent timeline in presentation and Request for Council Action and recommended removal of provision to not allow City Council to communicate with vendors. Councilmember Solorio, requested a memo to address compliance and possible issues with Proposition 218 prior to final RFP, and community outreach to ascertain community waste needs. City Attorney Carvalho, commented on possible alternatives to Proposition 218 process. City Manager Godinez, confirmed community outreach would impact timeline schedule and potential Prop 218 policy review. FRIENDLYAMENDED MOTION. Authorize the City Manager and the Clerk of the Council to execute the proposed Extension of the Fourth Amended and Restated Agreement for Collection and Handling of Solid Waste with Waste Management Collection and Recycling, Inc. (dba Waste Management of Orange County), extending the expiration date to June 30, 2020, with provision for a one-year renewal exercisable by the City Manager and the City Attorney, and including the implementation of programs addressing the unfunded legislative mandates in California State Assembly CITY COUNCIL MINUTES 24 DECEMBER 5, 2017 1 OB -24 Bills 1826 and 341, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2017-342). 2. Approve an appropriation adjustments. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2018-048 - Approve an appropriation adjustment appropriating $672,000 from prior year fund balance in the Refuse Collection Enterprise Maintenance revenue account, and appropriating the same amount into the Refuse Collection Service expenditure account. 3. Review the Draft Solid Waste Services Request for Proposals. 4. Direct staff to bring forth contract extensions with other providers within 30 days. 5. Remove provision that precludes members of the City Council from meeting with trash haulers... MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinajero, Villegas (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) *Mayor Pulido abstained due to a potential conflict of interest on Agenda Item 65B due to former business relationship with Vanir Consultants. 6513. UPDATE ON SANTA ANA JAIL REUSE STUDY AND DIRECTION ON PRIORITIZATION FOR REUSE OPTIONS {STRATEGIC PLAN NO. 1, 5} - City Manager's Office The following spoke on the matter: • Roberto Herrera, opined money invested in building jail should have been invested in youth, reminded City Council commitment to phase out jail business model, and noted agreements showcase jail operates on a for profit model; urged City Council to prioritize community based reuse options. CITY COUNCIL MINUTES 25 DECEMBER 5, 2017 1 OB -25 • Tina Shull, staff member at Civic Community Initiatives for Visiting Immigrants in Confinement, opined a jail reuse study without a study on conditions of confinements is not a true jail reuse study; conducting an independent and community based report to Veneer's jail reuse study to help City Council make an informed decision. • Daisy Ramirez, Jails Project Coordinator at American Civil Liberties Union, opined that Veneer's assessment solely focuses on the mechanical and physical components of the jail and fails to exam conditions for physical security, medical and mental healthcare; urged to prioritize alternative uses that will benefit the community at large. City Manager Godinez, noted item has been brought back to City Council to validate four scenarios City Council is interested to be studied or provide revised areas of study. Assistant to the City Manager Jorge Garcia, provided update of reuse study, community outreach process, and workshops conducted to City Council. Noted phase one of the reuse study now completed, reviewed four potential categories of jail use, completion target date, and overview of potential facility enhancements. Mayor Pro Tem Martinez, opined jail facility was designed for one purpose without looking to future and noted loss of opportunity. Councilmember Villegas, commented prison was built over 20 years ago. Opined any reuse would require it to be secure and cost to change would be high. Councilmember Sarmiento, commented other jails have converted to other uses, expressed desire to use jail in a good responsible manner, and to also be able to pay debt service. Councilmember Tinajero, commented on providing additional input and expressed desire to have staff present findings to City Council within the next few months. Councilmember Benavides, questioned Veneer's ability to complete report within the time frame and possibility of contract extension. Commented community based study should be provided information to complete report. Councilmember Solorio, opined initial findings by consultant indicate any reuse will be costly and complex. Noted commercial options such as data centers can be done at a lower cost to the City and possible jail reuse separation by floor. Mayor Pro Tem Martinez, commented on successful transition of jail facilities throughout the country, covered potential uses, and questioned community benefit to continue with a jail business model. CITY COUNCIL MINUTES 26 DECEMBER 5, 2017 1 OB -26 Review the Santa Ana Jail Reuse Study Update and general City Council consensus provided on the direction and prioritization for reuse options. PUBLIC HEARING 75A. PUBLIC HEARING - ADDENDUM TO THE FINAL ENVIRONMENTAL IMPACT STATEMENT / ENVIRONMENTAL IMPACT REPORT FOR BRISTOL STREET/ MEMORY LANE INTERSECTION IMPROVEMENT PROJECT (PROJECT NO. 17-6883) {STRATEGIC PLAN NO. 6, 1G) - Public Works Agency Legal Notice published in the Orange County Reporter on November 24, 2017 and notices mailed on November 22, 2017. Mayor Pulido opened the Hearing. The following spoke on the matter: • Cyress Jamulzadeh, spoke on behalf of Metro Star LLC and in opposition to the partial take. The Hearing closed. Executive Director of Public Works Mousavipour and Jason Gabriel, Public Works Manager answered questions by members of the City Council. Councilmember Benavides, commented on history of the property, previous approval for a bank, viability with new project, and impact on parcel. Executive Director of Public Works Mousavipour noted widening requires eight foot strip of land encroachment onto the property Acting Planning Manager, Vincent Fregoso noted bank project was entitled five years ago, possibility plan check may expire, potential of it becoming a vacant parcel, and confirmed viability of parcel with new project. City Manager Godinez, commented on permitting process, dedication of land, and specific conditions that require compensation for dedication of land. Councilmember Solorio, commented on possibility of using land for green space area and directed staff to explore potential public uses. City Attorney Carvalho, noted item before the City Council is only an addendum to the Environmental Impact Report, EIR only contemplates a CITY COUNCIL MINUTES 27 DECEMBER 5, 2017 1 OB -27 project that may happen in the future, and noticing requirements to property owner. MOTION: 1. Adopt a resolution RESOLUTION NO 2017-077 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN ADDENDUM TO THE FINAL ENVIRONMENTAL IMPACT STATEMENT / ENVIRONMENTAL IMPACT REPORT NO. 89-01 FOR THE BRISTOL STREET WIDENING PROJECT PERTAINING TO THE INTERSECTION OF BRISTOL STREET AND MEMORY LANE 2. Authorize the City Manager to approve an exception to the standard setback requirement per Municipal Code Section 41- 781, so that the City may accommodate street widening without requiring full property acquisitions. MOTION: Solorio VOTE: AYES: NOES: ABSTAIN ABSENT: WORK STUDY SESSION SECOND: Villegas Benavides, Solorio, Tinajero, Villegas (4) Martinez (1) Sarmiento (1) Pulido (1) WS. DISCUSSION OF THE PROPOSED ACCESSORY DWELLING UNITS AND SMALL LOT SUBDIVISION ORDINANCES - Planning and Building Agency Presentation by Acting Planning and Building Executive Director, Candida Neal. ACCESSORY DWELLING UNITS AND SMALL LOT SUBDIVISIONS Part 1: Accessory Dwelling Units What is an ADU? CITY COUNCIL MINUTES 28 DECEMBER 5, 2017 1 OB -28 Background ■ 2003 - California State Legislature enacted AB1866 ■ "Granny Flat" - Encourage the addition of accessory dwelling units and to remove unreasonable restrictions. ■ City of Santa Ana Adopts Local Ordinance ■ Ordinance No. NS -2629 allowing ADUs to be constructed in residential zoning districts provided development standards were met. ■ 2017 — California State Legislature Enacted SB1069/AB2299 • Local ordinance null and void DEVELOPING LOCAL ORDINANCE CITY COUNCIL MINUTES 29 DECEMBER 5, 2017 1 OB -29 DEVELOPMENT STANDARDS Development PmvioLsly Exicling Proposetl Standards Ordinance Pernrioed Eones RL R2, R3. R4, CH. All, R1: R3r R3, Ry CR..A1: or RE still Open Space mlaerorAhm Hotpemrelep Deficiency Eurn.ni sim 30?S of pre.q or 250 50% Uf primary pr 750. wMUie�er to less balc6 k heterss axi Mmoin Height Dela9re0 15' CO.chodl 15 AnnCle. s heal AlldeM1ttl SanuaS gl�rt'riYYlwalliyl Ix•rr'niY0wU0�a.0 SelLaeks From WarplOVA4119 front 20'or prevaAag 5a10 L—" Sq5' _ _ RearW - - Ren, 20' owner.o_ccupice "venams�eumd Carenant rppuirpl Perkian _ I spme3MIrIX41morn '15pdcc per 4NrrL+'q no l'. Vanl Co less goal rr.kvo-d�>.grrwe'ra=aerrc vatnauiorty m-. n. wn •rm r.e vevnuntlen. evliMl[enr+r /.p, xµdMfM WJrow�n✓i�rtt 6 PARK DEFICIENT AREAS PROXIMITY TO TRANSIT j pr ��00"J0 .1 I� Art 2. { i l , f', Imall Lo'i� Subdivisions tj ' a WHAT IS A SMALL LOT SUBDIVISION? A small lot,subdivision allows developmentto be SUbdivided on a reduced size lot so that individuals can own'both the structure and theland around the structure. nDiffers from condominium ownership, which only allows ownership oPthe airspace between walls of a unit. QUICK FACTS ABOUT SMALL LOT SUBDIVISIONS trWhen a small lot stili' =Each unit has separate fo ndlons. •Each unit.hgkiits own p � Irr and =Accessgg uiutIrl @ ugh e"a m[ [cross, I each+ l I =•-I{L n,ri�.vr� ' to > 's 1: BENEFITS OF SMALL LOT SUBDIVISIONS •-,Are less expensive than traditional single family homes n-�Allows for rental iunits to become owner occupied n Financing is easier for developers -Increases housing availability and affordability oProvides entry-level product often marketed to first-time homebuyers ix EXAMPLES OF SMALL LOT SUBDIVISIONS IN SANTA ANA EXAMPLES OF SMALL LOT SUBDIVISIONS IN SANTA ANA EXAMPLES OF SMALL LOT SUBDIVISIONS IN SANTA ANA EXAMPLES OF SMALL LOT SUBDIVISIONS IN SANTA ANA EXAMPLESOF SMALL LOT SUBDIVISIONS IN SANTA ANA SMALL LOT SUBDIVISIONS WILL BE ALLOWED IN: 'L Vsf �. •�. �. 3�4 DEVELOPMENT STANDARDS AND MAINTENANCE .,Development standards intended to protect and preserve livability: • Minimum 7;000 SF Lot • Maximum 70% Lot Coverage • Setbacks as identified 'in the underlying zone • Minimum 300 SF of open space per lot (Developments of 10+ units/small lots will be required to provide common open space equal to 5% ofinitial lot size) • Street frontage not required Maintenance ensured through • Agreements and CCBR's 19 Councilmember Tinajero, noted community need to have ability to provide housing for elderly family members. Mayor Pro Tem Martinez, echoed comments made by Councilmember David Benavides. RECESSSED CITY COUNCIL MEETING AT 9:52 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED WITH SAME MEMBERS PRESENT AT 9:53 P.M COMMENTS PUBLIC COMMENTS • Dale Helvig, Chairman of North Santa Ana Preservation Alliance, opposed to rezoning and any general plan amendments for the 2525 Main residential development; opined rezoning property adjacent to residential zoning that would allow parking structure is not appropriate land use. • Patty Maize, resident of Park Santiago, in favor of no rezoning or apartments, and opined that this is the wrong project for this site. • Cesar Hernandez, Vice President of Express Transportation Systems, addressed Mayor Pulido as to open positions on the Orange County Transportation Authority (OCTA) Special Needs Committee and expressed desire to fill position. o Mayor Pulido noted that OCTA is a separate organization, but commit to nominating to said committee. • Marilyn Fuller, expressed opposition to 2525 Main residential project and urged City Council to keep zoning the same. • Ilya Tseglin, requested assistance in removing his son from the Ward of the State. • Robert Tseglin, echoed comments by his father, Ilya. o Councilmember Solorio, commented that City Council has no jurisdiction, but asked City Manager to follow up with the Tseglin's to find a more appropriate body that may be able to assist them. 90A. CITY MANAGER'S COMMENTS • Santa Ana Zoo holding annual snow event; invited all to festivities. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Solorio: CITY COUNCIL MINUTES 35 DECEMBER 5, 2017 1 OB -35 • Thanked Public Works Agency for addressing watering on medians item; • Congratulated Library for Coding and other services they provide at our facilities; and • Complemented progress of Pacific Electric Park — good staff work. Councilmember Villegas: • Attended Wilshire Square Christmas Parade; • Requested update on Garcy Street Improvements; and • Received update on Brown Act Sanction Policy from City Attorney. Councilmember Benavides: • Commented on police response; recent incident provides opportunity to invest in youth services and programs. Councilmember Sarmiento: • Thanked Councilmember Benavides for comments; • Reflected on recent fires in Ventura County in which hundreds of homes were lost; • Thanked staff for working with neighborhood association for new signal light on Flower and Amherst; and • Requested that City Manager consider reagendize the revised proposal by AMG for their TEFRA Hearings. Councilmember Tinajero: • Congratulated Ronnie Rios on World Title Fight and wish him continued success; and • Reflected on LCap Funds that SAUSD has received in addition to resources that allow them to compete; and • Announced that Speech and Debate Team has won 1st place in Piori, Illinois. Mayor Pro Tem Martinez: • Asked staff to consider changed the Pacific Electric Park groundbreaking event so that she may attend since it's in her Ward; • Congratulated Councilmember Tinajero for being selected best teacher in the State of California; • Toured Southwest Senior Center, Pantry Center; and • Summarized Economic Development Council Committee actions. Mayor Pulido: • Adjourned in memory of retired city staff that recently passed away. In Memory of Retired Santa Ana Police Department Communications Manager, Tina Horner and Recreation Supervisor, Joyce Faye Lawson CITY COUNCIL MINUTES 36 DECEMBER 5, 2017 1 OB -36 ADJOURNED - 10:25 P.M. - The next meeting of the City Council is scheduled for Tuesday, December 19, 2017 at 5:00 forthe 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, Califomia. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Labor Contracts CITY COUNCIL MINUTES 37 DECEMBER 5, 2017 1 OB -37 1 OB -38 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: ORDINANCE SECOND READING: ADOPT AN ORDINANCE REAUTHORIZING THE PUBLIC, EDUCATIONAL, AND GOVERNMENT (PEG) FEE ON STATE VIDEO SERVICE FRANCHISES OPERATING WITHIN THE CITY (STRATEGIC PLAN NO. 5, 1) CIV MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER On December 5, 2017, the following ordinance was introduced for first reading and City Council authorized publication of title by a vote of 6-0 (Villegas absent): ORDINANCE NO NS -2934 - AN UNCODIFIED ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REAUTHORIZING THE PUBLIC, EDUCATIONAL, AND GOVERNMENT (PEG) FEE ON STATE VIDEO SERVICE FRANCHISES OPERATING WITHIN THE CITY In summary, this ordinance allows the City to collect fees that may be used to support the City's public access channel, SATV3. This action is required by state law. 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 Theo fisc 'm��sociated with this action. ,v� Maria D. Huizar, Clerk of the Council 11 A-1 Ordinance — Second Reading: Chapters 18 and 21 SAMC November 7, 2017 Page 2 EXHIBIT: Ordinance No. NS -2934 11 A-2 Imf 11/27/2017 ORDINANCE NO. NS -XXX AN UNCODIFIED ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REAUTHORIZING THE PUBLIC, EDUCATIONAL, AND GOVERNMENT (PEG) FEE ON STATE VIDEO SERVICE FRANCHISES OPERATING WITHIN THE CITY 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. Section 5870(n) of the California Public Utilities Code, which was enacted as part of the Digital Infrastructure and Video Competition Act of 2006, authorized the City of Santa Ana to adopt an ordinance establishing a fee on state -franchised video service providers operating within the City to support public, educational, and governmental access channel ("PEG") facilities. B. In 2008, the City adopted Ordinance No. 2774 establishing such a fee equivalent to 1% of the state franchisee's gross revenue, as codified at Santa Ana Municipal Code, Chapter 15, Article II, Division 6, Section 15-271. C. Section 5870(n) of the Public Utilities Code provides that such an ordinance shall expire, and may be reauthorized, upon the expiration of a state franchise. D. The state -issued franchise covering the City, California Video Franchise Certificate Franchise No. 0002, granted to Pacific Bell Telephone Company d/b/a SBC Pacific Bell Telephone Company d/b/a AT&T California, expired on March 30, 2017 and was renewed on that same date. E. The state -issued franchise covering the City, California Video Franchise Certificate Franchise No. 0020, granted to Time Warner Cable Pacific West LLC d/b/a Charter Communications, will expire on January 2, 2018 and will be renewed on that same date. F. This ordinance is not intended to impose a new or increased PEG fee, but rather is intended to reauthorize the already existing PEG fee at the same level, to the extent such reauthorization may be necessary to continue to collect the fee. SECTION 2. The City Council of the City of Santa Ana hereby reauthorizes the fee on state -franchised video service providers to support PEG facilities, as codified at Santa Ana Municipal Code, Chapter 15, Article II, Division 6, Section 15-271. This fee Ordinance No. NS -XXX Page 1 of 3 11 A-3 shall remain unchanged and in full force and effect as to all state -franchised video service providers operating within the City. SECTION 3. 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 were to be declared invalid or unconstitutional. SECTION 4. This ordinance shall become effective thirty (30) days after its adoption. SECTION 5. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this day of 2017. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: w, Jobb M. Funk Assistant City Attorney AYES: Councilmembers NOES ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor 11 A-4 Ordinance No. NS -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 Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana, Date: Clerk of the Council City of Santa Ana 11 A-5 Ordinance No. NS -XXX Page 3 of 3 11 A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: STRATEGIC PLAN MONTHLY REPORT FOR NOVEMBER 2017 {STRATEGIC PLAN NO. 5, 1) Cap Tom "11 J , "Trk MT. RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1st Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Strategic Plan Monthly Report for November 2017. DISCUSSION The November 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: hftp://www.santa-ana.org/strategic-planning/ STRATEGIC PLAN ALIGNMENT 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: DECEMBER 19, 2017 TITLE: RECEIVE AND FILE NONPROFIT COMMUNITY DEVELOPMENT BLOCK GRANT APPLICATION PROCESS FOR FISCAL YEAR 2018-2019 {STRATEGIC PLAN NO. 5,4) 1 o " ".v \ / ITY MANAGER RECOMMENDED ACTION Receive and file. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION MEETING On November 15, 2017 the Community Redevelopment and Housing Commission reviewed the draft Nonprofit CDBG Application and concurred with staff recommendations to expand current application requirements and guidelines. DISCUSSION The City receives an annual allocation of Community Development Block Grant (CDBG) funds from the United States Department of Housing and Urban Development (HUD) to improve low- to moderate -income neighborhoods, eliminate blight and encourage economic development. These funds have been used for a diverse range of programs including housing, street improvements, park and public facilities improvements, small business start-up grants, code enforcement and public services. The City's CDBG allocation for Fiscal Year (FY) 2018-19 is estimated at $5,284,239, based on the current year allocation. The City may use a maximum of fifteen percent of this total amount or $792,635 for public service programs. On January 8, 2018 staff will release an application for nonprofits to apply for the estimated $792,635 in CDBG funding for FY 2018-19. These amounts are subject to adjustment based on the actual CDBG allocation from HUD following the approval of the Federal FY 2018 Budget. Based on prior input and direction from the City Council, staff recommends expanding the current application requirements and guidelines to: 1. Include an emphasis on economic development programs; 2. Allow joint applications from nonprofit organizations; 3. Implement a cap of $75,000 for single applicants and $100,000 for joint applicants. 19D-1 Nonprofit CDBG Application Process FY 2018-19 December 19, 2017 Page 2 Following City Council direction during the last funding round, funds will be made available to experienced nonprofit organizations for public services that include an emphasis on crime prevention, intervention, and/or suppression efforts for children, youth and/or families. Additionally, Parks Recreation and Community Services Agency (PRCSA) staff have researched and requested Summer Night Lights pilot programs in two impacted neighborhoods (Townsend/Myrtle and Madison). Staff will encourage nonprofits to coordinate with PRCSA and the Santa Ana Unified School district to apply for Summer Night Lights pilot programs as a subcategory in the application. These programs would keep recreational facilities open later during the summer months for crime prevention purposes that will build relationships, engage community, and develop sustained positive change. Over the past year, multiple inquiries have been received regarding economic development programs such as financial literacy, economic empowerment, and worker cooperatives. This year staff is proposing to include an additional emphasis on economic development to expand the types of services available to residents. Nonprofits would be able to apply for programs with an emphasis on 1) crime prevention, intervention, and/or suppression efforts for children, youth and/or families, and/or 2) economic development. Staff is also proposing to allow nonprofit organizations the option of submitting a joint application with other nonprofit organizations. This change is intended to encourage collaboration in our nonprofit community and build upon the nonprofit collaboration roundtable that staff held on October 5, 2017. All programs funded must also provide a benefit to low- and moderate -income people and align with the City's Strategic Plan. As in prior years, a minimum grant award of $30,000 per program will be required. For this application cycle, a single applicant maximum grant award of $75,000, or a joint collaborative applicant maximum grant award of $100,000 is proposed. The maximum grant award is estimated to be sufficient to fund at least one new full-time staff member for an organization to provide a new or enhanced program. Nonprofits will be required to submit an online application available through the City's website. Staff will be available to assist nonprofits with technical support throughout the application process. Nonprofits interested in applying will be required to attend a CDBG training that covers federal regulatory requirements, local requirements, and information on the online application. The review of applications and recommendations for funding will be performed by the Community Redevelopment and Housing Commission (CRHC). The recommendations from the CRHC will then go to City Council for final consideration and approval. The following is a tentative timeline of the application process: 19D-2 Nonprofit CDBG Application Process FY 2018-19 December 19, 2017 Page 3 Dates Actions January 8, 2018 - Online application released (4 -week application period) - Outreach efforts January 8 - 31, 2018 - Mandatory CDBG training dates: TBD February 5, 2018 - Applications due at 5:00 PM February 6 - March 9, 2018 - Staff review of applications for CDBG eligibility - Community Redevelopment & Housing Commission CRHC review February 28, 2018 - CDBG Public Hearing at CRHC Meeting with Nonprofit Presentations March 28, 2018 -CRHC funding recommendations to City Council April 17, 2018 - CDBG Public Hearing at City Council - Approval of FY 2018-19 CDBG programs at City Council Nonprofit outreach efforts will include a Nixle press release, a post on to the City's Facebook page, e-mails to an internal nonprofit e-mail distribution list, a mailing to nonprofits on the City's business license list, and a dedicated CDBG webpage at www.santa-ana.orq/cdbq with information on CDBG resources. The Draft Nonprofit Community Development Block Grant Application for FY 2018-19 is attached for reference (Exhibit 1). 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 There is no fiscal impact associated with this action. e Interim Executive XZLrejtor Community Development Agency Exhibit: 1. Draft Nonprofit Community Development Block Grant Application FY 2018-19 19D-3 19D-4 Application Exhibit 1 City of Santa Ana- CDBG City of Santa Ana Community Development Block Grant FY 2018-2019 (Nonprofit Application) City of Santa Ana- CDBG DESCRIPTION OF COMMUNITY DEVELOPMENT BLOCK GRANT The U.S. Department of Housing and Urban Development (HUD), Community Development Block Grant (CDBG) program is a flexible program that provides communities with resources to address a wide range of unique community development needs. The program provides annual grants on a formula basis to entitled cities and counties to develo eviable urban communities by providing decent housing and a suitable living environment,, ad by expanding economic opportunities, principally for low- and moderate -income persops., Funding Funding will available to experienced nonprofit organizatiorfs>for the provision of public service that include an emphasis on crime prevention, interventior(and/or suppression efforts for children, youth and/or families or an emphattttfsis oonn-econa� c development. A new subcategory of funding will be available for a Summer Night\ ights_P�otNPvogram. Programs will be funded from July 1, 2018 through June 30, 2019. \\ // \7 The City will continue its $30,000 mini ' m fun). i�tg amount per applicant to ensure that CDBG programs make the greatest imp cct!n ouf community. The maximum funding oars is`$7 .000 per program; however, organizations that submit a joint application may ceAt est�a, axirgtum of $100,000. Nonprofit organizations mbst be in good standing and have no outstanding monitoring findings prior to a 2018-19 CDBG awa\Zll nonprofit applicants must be able to document 501(c)(3) status. Applicants whose status is pending at the time of application will not be considered for funding. Nonprofit Organization Collaboration Nonprofit organizations may submit a joint application with other nonprofit organizations. Collaborating nonprofit organizations must meet all the application requirements. Cost Reimbursement Agreement Grants are provided through a Cost Reimbursement Subrecipient Agreement. Reimbursement requests are allowed on a quarterly basis; therefore organizations must have enough working capital to continue services until a reimbursement request can be processed by the City. Only City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-5 Application City of Santa Ana- CDBG allowable and allocable CDBG expenses will be reimbursed. The term of the agreement will be July 1, 2018 through June 30, 2019. Insurance Requirement Organizations approved for CDBG funding will be required to obtain a minimum of $1,000,000 general liability insurance and Workers' Compensation insurance for the term of the contract. In addition, the City must be listed as additionally insured via an endorsement with the endorsement stating that the insurance is primary and noncontributory. Eligible Activities Requirement This application is intended to request funds to support public service programs. Title 24 CFR 570.201(e) - Provision of public services (including labor, supplies, and materials) including but not limited to those concerned with employment, crime preventiiDp, child care, health, drug abuse, education, fair housing counseling, energy conservatioplor recreational needs. For fiscal year 2018-19, programs with an emphasis on erurie preveeion, intervention, and/or suppression efforts for children, youth and/or families Economic Devopment or a Summer Night Lights pilot program. National Objective Requirement The proposed program must meet the national e� ctt of ctivities that provide a benefit to low- and moderate -income persons„ At minim rn the program must serve 51% low- and moderate- income persons. In ge ala 1o°docuNN`�nt compliance with the national objective requirement, funded programsll req�e_ttie cbllection, calculation, and documentation of the participant's family size and jnconjer� Applications for fiscal year �M1,81�9'must meet a FY 2017/18-2019/20 Consolidated Plan priority need. The Consolidated planNs�available for review HERE. City of Santa Ana Strategic Plan Goal Requirement The City requires that the proposed program align with a Strategic Plan Goal. The following goals apply to public service programs, and are listed with additional detail in question 9 of the application: 1) Community Safety, 2) Youth, Education, Recreation 3) Community Health, Livability, Engagement & Sustainability. To access the full text of the Strategic Plan visit HERE. Federal Requirements Resource Links If funded, organizations will also need to comply with several federal requirements. For more information on these requirements organizations may view the following websites. City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-6 Application City of Santa Ana- CDBG • Playing by the Rules - A Handbook for CDBG Subrecipients on Administrative Systems: HERE • Guide to National Objectives and Eligible Activities for CDBG Entitlement Communities: HERE • To view Uniform Administrative Requirement, Cost Principles, and Audit Requirements forFederal Awards, 2 CFR 200, visit: HERE • To view the CDBG Federal Regulations, 24 CFR Part 570, visit: HERE Workforce Collaboration Requirement All applicants approved for CDBG funding will be required to enter into a Memorandum of Understanding (MOU) with the Santa Ana Work Center. Thefpuurp se is to establish a cooperative working relationship between the parties %I �c with information about Work Center opportunities t6,finc Additional Requirements This application will be available for public that is subject to state or federal confiden' violence shelter). The attached application coni participants is determined by The City will hold service level. to 'provide program beneficiaries careers. do not include any information ,e. an address to a domestic regarding city residents. Residency of for the information included, such as expected Review of Applications City Staff will review applications for completeness and to determine the eligibility of the program. The Community Redevelopment and Housing Commission (CRHC) will review and recommend public service funding levels to City Council. City Council will review the recommendations provided by the CRHC for funding to determine which activities will be in the best interest of the community. Anticipated Timeline 01/08/18 Applications distributed to Nonprofit Organizations for the 2018-19 Fiscal Year. City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) 107 Application Mandatory Workshop (Only need to attend ONE date) 01/08/18 - 1/31/18: Dates to be determined 02/05/18 Applications due by 5 p.m. 02/06/18 - 03/09/18 Staff and Community Redevelopment & Housing Commission review City of Santa Ana- CDBG 02/28/18 Community Redevelopment and Housing Commission (CRHC) Public Hearing for CDBG funding recommendations 03/28/18 CRHC funding recommendations 04/17/18 City Council Public Hearing for CDBG funding If there is a question about any part of thea ESG¢rants@santa-ana.or¢ or 714-647-6561. APPLICATION DUE DATE: February Applications must be contact City Staff at CDBG- PROPOSALS Foundant NO LATER THAN 5 P.M., February 5, 2018. An email notifying receipt will be sent upon completion of application. If you do not receive an email please contact City Staff at (714) 647-6561. Do not add extra pages or attachments unless instructed to do so. Any supplemental material such as letters of support, press clippings, etc., will not be accepted as part of this application submittal. Limit responses to the space provided; any additional narrative beyond the provided space will not be considered. City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-8 Application City of Santa Ana- CDBG Submit one complete application for each proposed program. Financial Statements & Single Audits (Single Audit required if organization expended more than $750,000 of federal funds within a program year) Choices Application Form Staff Listing (Attachment 1) Certifications (Attachment 2) 2018-2019 Proposed Program Budget (Attachment 3) 2017-2018 Current Program Budget (Attachment 4) IRS Nonprofit Designation Letter (Attachment 5) Form 990 (Attachment 6) Current/Proposed Client Eligibility Intake Form (Attachment 7) Board of Directors, By-laws and Articles of Incorporation (Attachment 8) Conflict of Interest Questionnaire (Attachment 9) Financial Statements & Single Audit (Attachment 10) Organization Chart (Attachment 11) Memorandum of Understanding with the Santa Ana WORK C��('Attachment 12) n NOTES: Failure to provide all required information not be considered for funding. The City rest application if evidence of compliance is not application process. The City rt in the best interest of the City. PUBLIC SERVIeE'A Legal Organization Character Limit: 100 DUNS Number* to become invalid and will v consideration of this : status changes during the a requirement if it is determined to be A DUNS number is a unique nine -character number used to identify your organization. The City uses the DUNS number to report how federal grant money is allocations. DUNS number lookup or reeistration. Character Limit: 15 Name of second organization if doing a collaboration Character Limit: 100 City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) 101 Application City of Santa Ana- CDBG DUNS number of second organization if doing a collaboration A DUNS number is a unique nine -character number used to identify your organization. The City uses the DUNS number to report how federal grant money is allocations. DUNS number lookup or registration. Character Limit: 100 Is this a Summer Night Lights Pilot Program* Pilot program will require a letter of commitment for facility use from Parks & Recreation for City Facilities and Santa Ana Unified School District for District Facilities. Choices Yes No Date Organization Founded* Character Limit: 10 Date of Nonprofit Incorporation* Character Limit: 10 SERVICE AND FUNDING Q1. Total number of unduplicated individu program. a. Total number of undup Ana residents)* Character limit: 10 b. Total number Character Limit: 250 FY 2018-2019 by this (Include Santa Ana and Non -Santa residents* c. Percentage of City of Sahta Ana residents served by the program:* Character Limit: 250 d. Total number estimated to be low-income* Character Limit: 250 e. Percentage that are estimated to be low-income* Character Limit: 250 Q2. Estimated yearly units of service* (number of unduplicated individuals multiplied by service visits — i.e. 200 youth X 25 tutoring sessions = 5,000 units of service) Character Limit: 250 City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 1901-10 Application Q3. Total CDBG funds requested for FY 2018-2019* ($30,000 minimum) Character Limit: 20 Q3A. Minimum Willing to Accept to Run Your Program ($30,000 minimum) Character Limit. 20 Q4. Cost per participant* (Total CDBG funds requested divided by Total to be served) Character Limit: 20 Q5. Program History - A. Total people served by the program in 2015-201 Character Limit: 10 A. Total people served by the program in 2016-20f7 Character Limit: 10 � A. Total people served by the Character Limit. 10 B. Number of Santa Ana Character Limit: 10 B. Number of Sa Character Limit: 10 B. Number of Santa Character Limit: 10 City of Santa Ana- CDBG the program in 2015-2016 served by the program in 2016-2017 served by the program in 2017-2018 C. Total Program Expense in 2015-2016 Character Limit: 15 C. Total Program Expense in 2016-2017 Character Limit: 15 C. Total Program Expense in 2017-2018 Character Limit: 15 D. Total years the program has been in existence: Character Limit: 250 City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) FXHIaIT 19U-1 1 7 Application City of Santa Ana- CDBG Q6. Name of Program* Character Limit: 250 Q7. Provide a concise description of the proposed program.* (300 character maximum) Character Limit: 300 Q8. Provide a detailed description of the proposed program. Include the following:* a. detailed description of services provided b. frequency of service delivery (i.e. daily, weekly, monthly); c. how the service is provided (i.e. one-on-one, classroom settings, home visits, phone referrals); and n d. target population groups (i.e. youth in specific neighborhoods!)/ (5,000 character maximum) Character Limit: 5000 /'l Q9. Describe the organizations experiencetih;pro Tiding the proposed program or similar programs.* Highlight accomplishments Character Limit: 5000 Q30. City of Santa Ana Strategic Community Safety - Enhance outreach: 1- • 6F -The Si Probation community, and'a; released offenders communications and community � pa'trnent will collaborate with the Orange County Ige County Healthcare Agency caseworkers, business non-profit organizations to assist in re-entry of recently community. Youth, Education, Recreation - Expand youth programming #1: 2A- Focus resources on quality youth engagement, enrichment and education programs through community centers, libraries and after-school programs during out-of-school hours. Youth, Education, Recreation - Expand youth programming #2: 2B - Expand the youth sports program so that youth recreational opportunities are established year- round. City of Santa Ana Community Development Block Grant Fy 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-12 Application City of Santa Ana- CDBG Youth, Education, Recreation - Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents #1: • 4A -Partner with The California Endowment, Santa Ana College, Chapman University, UCI, CSUF, and other institutions of higher education to design career pathway programs that support priority workforce industries (Retail, healthcare, manufacturing, renewable energies) that results in faster reemployment of Santa Ana's residents. Youth, Education, Recreation - Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents #2: • 4B - Partner with the Santa Ana Unified School District to support and assist in developing pilot youth employment programs aimed at reducing high school dropout rates. Youth, Education, Recreation - Partner with groups an 19irganiza ions to promote education, senior services, job training and development for ap /nta Ana residents #3: • 4C - Continue to expand services and progeatn�tfjdsenior centers specifically in the areas of continuing education, mentoring and\r2c eation. Community Health, Livability, Engagemr;` usts 'ility - Support neighborhood vitality and livability #1: \` • 4D - Implement new Neighbo" rhobd Improvement Initiatives focusing on residential areas that have been adversely e bed -by disinvestment and decline. Program and services from avar ety of r ources will be utilized to achieve positive and sustainable improvements7�\�� Community Health, Li culture infrastructure & Sustainability - Promote a strong arts and • 5B - Generate public avid private support and resources to strengthen, expand and stabilize funding for the arts. Community Health, Livability, Engagement & Sustainability - Focus projects and programs on improving the health and wellness of all residents #3: • 6C - Integrate a variety of health and wellness programs into existing programming at each of the city's community/recreation centers (e.g. Develop equitable health access points). City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-13 Application City of Santa Ana- CDBG Community Health, Livability, Engagement & Sustainability - Focus projects and programs on improving the health and wellness of all residents #4: • 6D - Partner with the California Endowment, Schools, charitable foundations and other non-profit organizations to implement health and wellness programming (including a healthy Santa Ana website) based on quantifiable and measurable data. Community Health, Livability, Engagement & Sustainability - Focus projects and programs on improving the health and wellness of all residents #5: • 6E - Expand Senior Center programming to provide greater enrichment and explore activities in art, culture and health. Economic Development • 5C- Develop a knowledge base to foster economic �evelo ment by actively partneting with non-profit organizations. t a. CDBG applications must meet a City of �ri Strategic Plan Goal* The goals above have been determined to align with GDBG eligible public service activities. (Please select only one goal explaiii1 edabove ww ich the proposed program meets). Choices \��'\> Community Safety -Enhance Public Safety Youth, Education, Recreation - Expand you Youth, Education, Recreation - Expandly\ Youth, Education, Recreation - Partneerr•wlt Youth, Education, Recreation - Partner wit Youth, Education, Recreate n Par�tne rwq Community Health, Livability, Engagement Community Health, Livability, kngagemegt Community Health, Livability, Community Health, Livability, Community Health, Livability, Economic Development and community outreach. 1. and-or-anizations: # 1 and organizations: # 2 and organizations: # 3 nability: # 1 Sustainability: # 2 & Sustainability: # 3 & Sustainability: # 4 & Sustainability: # 5 Q11. Strategic plan alignment AND emphasis on crime prevention, intervention or Economic Development* Describe how the program meets the City of Santa Ana Strategic Plan (Refer to goal selected on #9) AND has an emphasis on crime prevention, intervention, and/or suppression efforts for children, youth and/or families or Economic Development. Character Limit: 5000 City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-14 10 Application City of Santa Ana- CDBG Q12. Will this program result in new service or increase the level on an existing service?* Choices Yes No If yes, describe how the direct service proposed: a. is not a duplication of existing services available; or b. demonstrates a quantifiable increase in access and/or the level of an existing service provided to the target population. Character Limit: 5000 Q13. Similar Services* List similar services that are currently provided in the communit,�and describe how the proposed program complements or fills an existing gap in sipr/v t s Character Limit: 2000 Q14. Neighborhood Initiative Area* z An area that that has been adversely affected by disinvestment and decline is considered a Neighborhood Initiative area. Does the progr3mservees dents of a Neighborhood Initiative area? Target areas for the Summer Night Neighborhoods at Jerome Center a School Choices Yes No If yes, please If yes, please de. criteria. Character Limit: 5000 mare the Townsend/Myrtle Neighborhood at Madison Elementary daries and reasons the area fits Neighborhood Initiative Q15. Describe the unmet need that the proposed program will address* Character Limit: 5000 Q16. Will the program be conducted within the City of Santa Ana boundaries* Choices Yes No If no, explain how Santa Ana residents will be served Character Limit: 5000 City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-15 11 Application City of Santa Ana- CDBG Q17. Organization Participation* List Santa Ana neighborhood associations, local community organizations and/or civic groups the organization participates in and to what extent. Character Limit: 5000 Q18. List the benchmarks the organization will use to determine success of the program* Provide intended outcomes. Character Limit: 5000 Q19. Track and Measure Performance* Describe how the organization will track and measure quantitatively. Character Limit: 5000 Q20. List federal grants that the organi years* Include grant amounts, services provided, a/nndd� Character Limit: 5000 `\C Q21. Summarize the qualifications of (Program &Administrative) that woiildd Ilov and comply with regulatory re uquuii/ej mefte Character Limit: 5000 �� FILE UPLOADS Please download all forms from the download screen, outcomes qualitatively and n the last 5 iriiiation's staff* nization to provide the services stated Air desktop and then fill out. If you try to fill out the form information will not be saved when you try to upload it. Attachment 1- Staff Listing* Form is available here for download. (Include Admin and Program Staff working on the proposed program) File Size Limit: 1 MB Attachment 2 - Certifications* Form is available here for download. File Size Limit: I MB City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-16 12 Application City of Santa Ana- CDBG PLEASE COMPLETE THE FOLLOWING FORMS REGARDING BUDGETS 2018-2019 PROPOSED PROGRAM BUDGET (ATTACHMENT 3) 2017-2018 CURRENT PROGRAM BUDGET (ATTACHMENT 4) IMPORTANT NOTICE: The City asks that you list other secured funding sources on the budget forms, but the City realizes that all other funding sources may not be secured at the time of this application. Organizations may include unsecured resources with the understanding that the City will hold the organization to the same service level indicated in the application whether all the resources listed are actually received or not. The only item that will affect the service level expected by the City will be the responses provided under numbers 3 and 3a ofthis application and the amount of funding provided by the City for the CDBG Attachment 3 - 2018-2019 Proposed Program Form is available here for download. Please note that and both need to be filled out. le File Size Limit: 1 MB Attachment 4 - 2017-2018 Current Form is available here for download. Ple and both need to be filled out. File Size Limit: l MB Attachment 5 - IRS Please upload a copy t File Size Limit:1 MB \ Attachment 6 - 990 For't Please upload a copy of your File Size Limit: 10 MB Letter* year. are two'stieets in the workbook are two sheets in the workbook IRS nonprofit designation letter. 990 form. Attachment 7 - Current/Proposed Client Eligibility Intake Form* Please upload a copy of your organization's current/proposed client eligibility intake form. File Size Limit: 5 MB Attachment 8 - Board of Directors, By -Laws and Articles of Incorporation* Please upload a copy of the organization's current list of the Board of Directors, by-laws and articles of incorporation. File Size Limit: 3 MB City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT t 19D-17 13 Application City of Santa Ana- CDBG Attachment 9 - Conflict of Interest Questionnaire* Form is available here for download. File Size Limit: 1 MB Attachment 10 - Recent Financial Statements and Single Audit* Please upload a copy of the organizations most recent financial statement and single audit. If you are not required to have a single audit because you have not expended over $750,000 in Federal Funding, please upload a letter stating this. File Size Limit: 10 MB Attachment 11- Organization Chart* Please upload a copy of your organization chart. File Size Limit: l MB Attachment 12 - Memorandum of Center* Form is available here to download. File Size Limit: 1 MB With t eSanta Ana WORK A City of Santa Ana Community Development Block Grant FY 2018- 2019 (Nonprofit Application) EXHIBIT 1 19D-18 14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: APPROVE AN AGREEMENT WITH RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT FOR SANTA ANA COLLEGE WORKFORCE SERVICES PROGRAM (STRATEGIC PLAN NO. 2,4) Clik MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F-11:41060:11- L1 _1»:Zi0:11 ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute an agreement recognizing $91,906 awarded to the City of Santa Ana, Santa Ana WORK Center by the Rancho Santiago Community College District for workforce and job development activities, effective December 19, 2017 through June 30, 2018, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment recognizing $91,906 in funds from the Rancho Santiago Community College District in revenue account (no. 12418002-52027) and appropriate the same amount to expenditure account (nos. 12418751 -various). DISCUSSION Rancho Santiago Community College District (RSCCD) on behalf of Santa Ana College received a grant award entitled, Community Colleges Basic Skills and Student Outcomes Transformation Program, from the California Community Colleges Chancellor's Office, Academic Affairs Division. The purpose of the program is to improve the progression rate of basic skills students from remedial education to college level instruction. Colleges that receive funding will need to implement or expand evidence -based practices and principles that are innovative, sustainable and redesign in the areas of assessment, student services, and instruction that are geared toward improving the students' progress toward college readiness at a faster rate. The grant also includes the provision of workforce services activities. The Santa Ana WORK Center, in collaboration with Santa Ana College's School of Continuing Education, will be contracted to provide adult education students with workforce services that may include comprehensive assessment, case management, supportive services and job development to eligible students. WORK Center staff will be co -located at the School of Continuing Education to 20A-1 Santa Ana College Workforce Services Program December19, 2017 Page 2 better assist eligible students who will be enrolled into the Workforce Innovation and Opportunity Act programs. The City of Santa Ana WORK Center has partnered with Rancho Santiago Community College District for over 20 years to provide employment and training services. The program will serve a minimum of 40 people from October 10, 2017 through June 30, 2018. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #2 Youth, Education, Recreation, Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT Approval of the appropriation adjustment will recognize $91,906 in funds from the Rancho Santiago Community College District in revenue account (no. 12418002-52027) and appropriate the same amount to expenditure account (nos. 12418751 -various) for expenditure in FY 17/18. Robert M. Zur c iedle Interim Executive irector Community Development Agency RZS/CD/sg Exhibit: 1. Santa Ana College Agreement APPROVED AS TO FUNDS AND ACCOUNTS: ,A-, �\F %CkN Z ') 'N 1' P l `Ik�t Q. - Francisco Gutierrez Executive Director Finance & Management Services Agency 20A-2 Sub -Agreement ' between RSCCD and City of Santa Ana SUB -AGREEMENT BETWEEN RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT AND CITY OF SANTA ANA 1i y �CG"vwt'f T This sub -agreement (hereinafter "Agreement") is entered Into on this' "day.of er2017, between Rancho Santiago Community College District (hereinafter "RSCCD") 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 (hereinafter "SUBCONTRACTOR"). RSCCD and SUBCONTRACTOR may be referred to individually as a "Party" and collectively as the "Parties".in this Agreement. WHEREAS, RSCCD received a grant award entitled, "Community Colleges Basic Skills and Student Outcomes Transformation Program" Prime Award #15.068,035 (hereinafter"Grant), from the 'California Community Colleges Chancellor's .Office, Academie Affairs Division (hereinafter "PRIME SPONSOR") that provides funding to competitively selected colleges for use to adopt or expand the use of evidence -based models of academic assessment, .placemcnt, remediation, and student support in order to accelerate the progress of underprepared students toward accomplishing educational and career goals. WHEREAS, RSCCD has the right to enter into .agreements with outside entities for various services with the approval of the Board of Trustees; and WHEREAS, SUBCONTRACTOR has. agreed -to participate in the purpose of the Grant according to the terms and conditions hereinafter set forth.. NOW, THEREFORE, the Parties agree as follows: 1. Statement of Work SUBCONTRACTOR agrees to:perform the work as described in the Scope of Work (Exhibit A), which by reference is incorporated into this Agreement. SUBCONTRACTOR agrees. to comply with all provisions, to perform all work as set forth in this .Agreement and the aforementioned Statement of Work in a professional, timely and diligent manner. 2. Period of Performance kR , Z00 The period of performance for this Agreement shall be from 0�pnc X, 2041 through June 30, 201$. 3. Total Cost The total cost to RSCCD for performance of this Agreement shall not exceed-$91;90G:D0 USD. �- = 4. Bu et SUBCONTRACTOR agrees that the expenditures of any and all funds under this Agreement will bein accordance with the Project Budget (Exhibit B), which by reference is incorporated into this Agreement. Agreement#00-17.2058-01 Basic Skills & Student Outcomes Transformation Program Grant #15-068-035 Pagel of 8 20A-3 Sub --Agreement between RSCCD and City of Santa Ana 5. Pa meat Disbursement of funds will begin upon RSCCD's receipt of the fully executed Agreement and a detailed invoice for the disbursement. RSCCD shall make reimbursement payments as long as the total payments under this Agreement do not exceed the amount listed above under Article 1.3. "Total Costs". 6. Invoices Invoices must be itemized, include the Agreement number (refer to footer), and include back- up documentation for expenditures submitted for payment. SUBCONTRACTOR shall submit invoices on or before the 15u' day of the month following the month in which SUBCONTRACTOR's services are performed. Final payment is contingent upon successful completion of the Scope of Work (Exhibit A), upon receipt of a final invoice requesting payment due by July 6, 2018, and the Project Director's certification of the final report. Invoices should be submitted to the following address: Rancho Santiago Community College District Santa Ana College School of Continuing Education Centennial Education Center Attn.: Nilo Lipiz, Dean of Instruction & Student Services 2900 W. Edinger Avenue Santa Ana, CA 92704 Reporting (a) Progress Reports. Through this Agreement, SUBCONTRACTOR agrees to provide data and submit reports consistent with the scope of Work (Exhibit A), upon request, for the duration. of the Grant. (b) Final Reports. SUBCONTRACTOR agrees to submit a final expenditure report and a final project report summarizing completion of the project consistent with the scope of Work (Exhibit A). The final reports are due July 6, 2018. (c) SUBCONTRACTOR will submit reports to the Project Director via email at Lipiz_Nilo@sac.edu in a timely manner. Expenditure of Grant Funds SUBCONTRACTOR agrees to comply with all Grant funding requirements and that it is solely responsible for the appropriate expenditure of all Grant fiords received and for any misappropriation or dis-allowment of Grant funds. Time Extensions RSCCD will not be requesting a time extension for program activities from the PRIME SPONSOR. As a result, SUBCONTRACTOR will not be granted an extension. Therefore, SUBCONTRACTOR must spend all of the funds allocated through this Agreement within the timeframe of the Agreement. Under this Agreement, SUBCONTRACTOR will only be reimbursed for expenses that are incurred on or prior to June 30, 2018. 10, Independent Contractor Agreement #DO -17-2058.01 Basic Skills & Student Outcomes Transformation Program Grant 415-068-035 Page 2 of 8 20A-4 Sub Agreement between RSCCD and City of Santa Ana SUBCONTRACTOR agrees that the services provided hereunder are rendered in its capacity as an independent contractor and that it is not in any way an agent of RSCCD, nor shall its employees be entitled to any personnel benefits of RSCCD whatsoever. 11. Subcontract Assi nment Unless specifically noted in the Scope of Work (Exhibit A), none of the duties of, or work to be performed by, SUBCONTRACTOR under this Agreement shall be sub -contracted or assigned to any agency, consultant, or person without the prior written approval by RSCCD. No subcontract or assignment shall terminate or alter the legal obligation of SUBCONTRACTOR pursuant to this Agreement. SUBCONTRACTOR shall insure that all subcontracts for services and contracted staff are procured in a manner consistent with state SUBCONTRACTOR guidelines, SUBCONTRACTOR shall itemize all sub -contractor and contracted staff costs in the budget so it is clear how the funds will be allocated and spent by SUBCONTRACTOR. By entering into this Agreement SUBCONTRACTOR agrees that it is the direct provider of the intended services. Upon request, SUBCONTRACTOR shall submit to RSCCD copies of all sub- contracts for services and contracted staff, and other agreements, as well as documentation indicating the approving authority's approval, that relate to this Agreement. 12. Mules for Deliverables (a) Any document or written report prepared in whole or in part by Parties shall reference the funding source (Basic Skills and Student Outcomes Transformation Program) relating to the preparation of such document or written report. (b) All products resulting from this Agreement or its subcontracts in whole or in part shall reference the California Community Colleges, Chancellor's Office and the specific funding source (Basic Skills and Student Outcomes Transformation Program). (c) All references to the project shall include the phrase, "funded in part by the California Community Colleges, Chancellor's Office," 13, Record Keeoinu SUBCONTRACTOR agrees to maintain project records for possible audit for a minimum of five (5) years after final payment or until any audit findings have been resolved, unless a longer period of records retention is stipulated. 14. Audit SUBCONTRACTOR agrees that RSCCD, the PRIME SPONSOR, the Bureau of State Audits, any other appropriate state or federal oversight agency, or their designated representative(s), shall have the right to review and to copy any records and supporting documentation pertaining to the performance of this Agreement. SUBCONTRACTOR agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, SUBCONTRACTOR agrees to include a similar right of RSCCD, the PRIME SPONSOR, the Bureau of State Audits, any other appropriate state or federal oversight agency, or their designated representative(s) to audit records and interview staff in any subcontract related to the performance of this Agreement, Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant 415-068-035 Page 3 of 20A-5 Sub -Agreement between RSCCD and City of5anta Ana 15, Insurance The Parties are self-insured public entities for the purposes of professional liability, general liability and workers' compensation. Each Party warrant that through its program of self- insurance It has adequate liability, general liability and workers' compensation to provide coverage for liabilities arising out of the Parties performance of this contract, 16. Mutual Indemnification Both Parties to this Agreement shall agree to defend, indemnify, and hold harmless the other Party, its officers, agents, employees, and volunteers, from and against all loss, cost, and expense arising out of any liability or claim of liability, sustained or claimed to have been sustained, arising out of activities, or the performance or nonperformance of obligations under this Agreement, of the indemnifying Party, or those of any of its officers, agents, employees, or volunteers. The provisions of tills Article do not apply to any damage or losses caused solely by the negligence of the non -indemnifying Party or any of its agents or employees, 17. Termination Either Party may terminate this Agreement, with or without cause upon thirty (30) days written notice served upon the other Party. Notice shall be deemed served on the date of mailing. Upon termination, or notice thereof, the Parties agree to cooperate with one another in the orderly transfer of contract responsibilities, records, and pertinent documents. The obligations of RSCCD under this Agreement are contingent upon the availability of State fuhds, as applicable, for the reimbursement of SUBCONTRACTOR expenditures, and inclusion of sufficient funds for the services hereunder in the budget approved by the RSCCD Board of Trustees each fiscal year this Agreement remains in effect. In the event that such funding is terminated or reduced, RSCCD shall provide SUBCONTRACTOR with written notification of such determination, 18, Disputes In the event of a dispute between the Parties, the aggrieved Party shall notify the other Party and provide a detailed description of the alleged problem. The Parties agree to use reasonable efforts to resolve such dispute by good faith negotiations and mutual agreement. In the event such informal resolution is not successful within a reasonable period of time, the Parties hereby agree that such dispute will be resolved in the manner specified below. Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by RSCCD and/or the PRIME SPONSOR In such a case, the decision shall be reduced to writing and a copy thereof shall be mailed or otherwise furnished to SUBCONTRACTOR. The decision shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, RSCCD receives from SUBCONTRACTOR a written request to appeal said decision. Pending final decision of the appeal, SUBCONTRACTOR shall act in accordance with the written decision of RSCCD or the PRIME SPONSOR, whichever is the final arbiter of the dispute, The handling of non- criminal complaints, including discrimination complaints, and complaints and reports of Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant #15-068-035 Page 4 of 8 20A-6 Sub Agreement between ASCCD and City of5anta Ana criminal fraud, waste and abuse shall be as prescribed by the State of California, and/or the PRIME SPONSOR, whichever is applicable, in accordance with applicable provisions of the Code of Federal Regulations. 19, Notices All notices, reports and correspondence between the Parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: Rancho Santiago Community College District: Primary Contact: Nilo Lipiz, Dean of Instruction & Student Services Santa Ana College School of Continuing Education Centennial Education Center 2900 W. Edinger Avenue Santa Ana, CA 92704 (714) 241-5724; Lipiz Nilo@sac.edu Fiscal Contact: Peter J, Hardash, Vice Chancellor, Business Operations/Fiscal Services 2323 North Broadway, Ste. 404-1 Santa Ana, CA 92706 (714) 480-7340, Hardash—Peter@rseed.edu SUBCONTRACTOR: City of Santa Ana Primary Contact: Carlos de la Riva, WORK Center Director Community Development Agency, Santa Ana WORK Center 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 (714) 565-2629; cdelariva@sauta-aiia.org Fiscal Contact: Susan Gorospe, Management Analyst 20 Civio Center Plaza Santa Ana, CA 92701 (714) 647-5379; sgorospe@santa-ana.org 20, Unenforceable Provision In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the Parties agree that all other provisions of this Agreement remain in full force and effect and shall not be affected thereby. Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant # 15-068-035 Page 5 of 8 20A-7 Sub -Agreement between RSCCD and City of Santa Arun 21. Waiver Any waiver by RSCCD of any breach of any one or more of the terms of this Agreement shall not be construed to be a waiver of any subsequent or other breach of the same or of any other term. Failure on the part of RSCCD to require full, exact, and complete compliance with any terms of this Agreement shall not be construed as in any manner changing the terms of this Agreement, or stopping RSCCD from enforcing the terms of this Agreement. 22. Severability If any provision in this Agreement is hold by a court of competent jurisdiction to be invalid, void or unenforceable, the remaining provisions will nevertheless continue in full force and effect without being impaired or invalidated in any way. 23, Amendments This Agreement may be modified or revised at any time by the.Parties as long as the amendment is made in writing and signed by an authorized official of both Parties. As the Agreement is contingent upon the availability of funds, and is subject to any additional restrictions, Iimitations, or conditions enacted in the State Budget and/or Executive Orders that may affect the provisions, terms, or funding of this Agreement in any manner, RSCCD may modify this Agreement through an amendment, as needed. SUBCONTRACTOR agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. 24. Legal Terms and Conditions This Agreement will be implemented in accordance with the conditions defined in the Grant Agreement, RFA Specifications and the Grant Agreement Legal Terms and Conditions (Articles I, eff. 05/2015 and Article II, eff. 05/2014), as set forth and incorporated into this Agreement by reference, As the Grant is contingent upon the availability of funds, and is subject to any additional restrictions, limitations, or conditions enacted in the State Budget and/or Executive Orders that may affect the provisions, terms, or funding of this Agreement in any manner, RSCCD may modify this Agreement through an amendment, as needed. SUBCONTRACTOR agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. [NOTE: Articles I and 11 (Exhibit C) serve as a reference for the general Grant terms and conditions. The payment and reporting terms in the Articles pertain only to RSCCD. The payment terms and reporting requirements for the SUBCONTRACTOR are in this Agreement under Articles 5. "Payment" and 7. "Reporting".) 25. Assurances By signing this Agreement, the Parties certify they will comply with the Grant Legal Terms and Conditions as outlined in Article I and Article II provided by the California Community Colleges Chancellor's Off ce, as set forth and incorporated into this Agreement by reference. By signing this Agreement, the Parties certify they will comply with state and federal requirements for Standards of Conduct, Workers' Compensation Insurance, Participation in Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant #15-068-035 Page 6 of 8 20A-8 Sub Agreement between RSCCD and City ojSanta Ana Grant -Funded Activities, Non -Discrimination, Accessibility for Persons with Disabilities, Drug -Free Workplace Certification, Intellectual Property, and Debarment and Suspension, and will adhere to these legal standards and requirements in the performance of work related to this Agreement. 26. Total Agreement This Agreement, together with the attachments hereto, expresses the total understanding of both Parties. There are no oral understandings of the Parties or terms and conditions other than as are stated herein. No change, modification, extension, termination or waiver of this Agreement, or any of the provisions herein contained, shall be valid unless made in writing and signed by duly authorized representatives of the Parties hereto. SUBCONTRACTOR acknowledges that it has read and agrees to all terms and conditions included in this Agreement. IN WITNESS WHEREOF, the Parties hereto certify that they have read and understand all the terms and conditions contained herein and have caused this Agreement to be executed as of the day that both Parties have signed the Agreement. RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT M Name: Peter J. Hardash SUBCONTRACTOR: City of Santa Ana 0 Name: Vice Chancellor Title: Business Operations/Fiscal Services Title: Date: Date: Board Approval Date: October9,2017 FatpmoyurcaxpayvtdmaneonooNamm,u(etN) AS TO FORM Attorney Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant # 15-068-035 Page 7 of 8 20A-9 Sub -Agreement between RSCCD and City of Santa Ana List of Exhibits Exhibit A: Scope of Work Exhibit B: Project Budget Exhibit C: Legal Terms and Conditions (Articles I and Article In Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant 415-068-035 Page 8 0£8 20A-10 Sub Agreement between RSCCD and City of Santa Ana Ex]tibit A CITY OF SANTA ANA SCOPE OF WORK BACKGROUND For over 20 years, the City of Santa Ana's WORIC Center has demonstrated its abilities in designing, implementing and managing a fall array of workforce development programs to area residents. In 1996, the City of Santa Ana further expanded its services by opening the Santa Ana W/O/R/K Center and later partnering with various agencies, including the State Employment Development Department, Orange County Social Services Agency, Department of Rehabilitation, Rancho Santiago Community College District, Goodwill Industry and commtmlty-based organizations to ensure a comprehensive and integrated service delivery in a One -Stop environment These services have benefited youth, adults, dislocated workers, and families on -aid. In response to the Workforce Innovation and Opportunity Act's (WIOA) vision, the WORK Center is taking a leadership role by broadening and strengthening the current network of partnerships. WIOA's centerpiece to build a better aligned workforce system is a more holistic approach to the programs, especially the Title I programs and the Title II adult basic education program. There are numerous instances where WIOA either requires or facilitates better coordination between these programs. The WORK Center's primary role is to bridge gaps and coordinate services among such partners to ensure that job seekers are provided comprehensive services, including participant co -enrollment. PLANNED APPROACH The Santa Ana WORK Center, will assume the responsibility to Insure that WIOA eligible students enrolled at Santa Ana College eligible participants receive needed WIOA services. These services may include 0110 or more of the following services: 1., Comprehensive Assessment: This activity is designed to determine the skills, interests, abilities, educational requirements and supportive service needs for the participants, The assessment will be the basis for the development of an Individual Employment Plan (1EP) that will outline the strategies required for success in the program. 2, Counseling/Case Management: This activity will insure that each participant receives individualized attention during all aspects of the project. The Case Manager will act as liaison with the training provider, supportive services providers and other agencies to insure that the participant successfully completes training. The Case Manager will evaluate the, perhaps, differing needs of the incumbent workers and dislocated workers participating in this project. 3, Supportive Services: As part of the IEP, supportive services will be identified and the participant will receive assistance in those services. Supportive services include but not limited to, transportation assistance, clothing assistance, assistance with tool purchases or testing fees. 4. Job Development/Job Creation: The Employer Services team will interact, with the local business community. The goal is to insure that sufficient employment opportunities are created for WIOA eligible students who are co -enroll in this program. Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant #15-068-035 Page 1 of 1 20A-11 Sub -Agreement between RSCCD and City of Santa Ana PROJECT BUDGET Exhl4it 13 Administrative Cost (Not to Exceed 10%) Personnel 5alarhS, 41. I Workforce Speciallst II -.50 FTE Total Program Cost $37 ggS,Op Match/In Kind -. 1Sr. Special Employment 'Counselor+ATE $15,605.00 So Sr.pSpecial Employment Counselor PTE $15,605.00 Ja, pfJu i . Y jJ 1 Workforce Specialist II -.50 FTE $15,154.00 1 Sr. Special Employment Counselor -PTE $1,130:00 1 Sr, Special Employment Counselor PTE $1,130.00 Tatal:PeraonriI S[arJe5 &i enefits "' _; $0 00..'; , ;585;509'00 w Rent $0.00 Utilities $0.00 Phones $0.20 Internet Pees $0.00 Parking fees $0,00 Security $0.00 IT Maintenance $0.00 insurance _ $0.00 Equipment rental fees* $0.00 Equipment rental fees* $0.00 Vehicle lease* $0.00 Office expenses (consumables) $0.00 Accounting Services $0.00 Legal Services $0.00 Auditing Services $0.00 Indirect Cost* $5,397.00 Staff Training $0.00 Staff Conferences $0.00 Roadtrlp'Nation - Youth Program $0,00 Participant Wages* $0.00 Supportive Services* $0.00 ParticipantIncentives* $0,00 Youth Conferences som Total DperatmgyExpgtlses . r .. $Ot00 ": $5;39700 ;$OAQ C7ii{Ai�PTOTALjper dnn$If Opgratlnsj ' a" >' -"- $0 pp '.'�' Y$9006,OQ Agreement f1DO-17-2058-01 Basic Skills Student Outcomes Transformation Program Grant #15-068-035 Page I of l 20A-12 Exhibit C Chancellor's Office, California Community Colleges ARTICLE (For VTEA, FII and other grants commencing July 1st) (Effective May 2015) Community Colleges Basic Skills and Student Outcomes Transformation Program Program -Specific Legal Terms and Conditions ARTICLE 11 Standard Legal Terms and Conditions (Effective May 2014) Agreement #DO -17-2058-01 Basic Skills & Student Outcomes Transformation Program Grant#15-068.035 Page 1 of 1 20A-13 20A-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AWARD CONTRACT TO CALIFORNIA PROFESSIONAL ENGINEERING, INC. FOR CONSTRUCTION OF SANDPOINTE PASEO SECURITY LIGHTING (PROJECT 16-2648) (STRATEGIC PLAN NOS. 6, 1C & 1G) CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Reject all bids received on October 10, 2017, for construction of the Sandpointe Paseo Security Lighting project due to changes in the scope of work. 2. 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 $176,425, for the term beginning upon execution of the contract and ending upon project completion, for construction of the Sandpointe Paseo Security Lighting project, subject to nonsubstantive changes approved by the City Manager and the City Attorney. 3. Approve an appropriation adjustment recognizing $30,000 from prior year fund balance revenue in the District 3 A&D fund revenue account and appropriating the same into the District 3 A&D fund expenditure account. 4. Approve the Project Cost Analysis for a total estimated project delivery cost of $238,174, which includes the contract base bid, administration, inspection, testing, and a $35,285 contingency. DISCUSSION The existing paseo in the Sandpointe Neighborhood that leads to Sandpointe Park from the adjacent homes does not have any lighting (Exhibit 1). Due to safety concerns, it is recommended that security lighting be installed along the paseo. The improvements include the installation of new light poles and foundations, underground conduit and wiring, and energy- efficient LED light fixtures. The new paseo lighting system will connect to the existing park lighting system. Once completed, these improvements will add security lighting and enhance visibility along the Sandpointe paseo. 20B-1 Award Contract for Sandpointe Paseo Security Lighting Project December 19, 2017 Page 2 The project is funded by Park Acquisition & Development (A&D) Funds and was approved by City Council in the Fiscal Year 2015/2016 Capital Improvement Program. A Notice Inviting Bids was originally advertised on September 19 and September 23, 2017, and bids were first opened on October 10, 2017. Only two bids were received, and both were substantially over the engineer's estimate. As a result, the scope of work was adjusted and the project was advertised again on October 28 and November 2, 2017, and bids were opened on November 15, 2017. The following tables summarize the bid invitations made and the bids received: Contractor Participation Data Santa Ana contractors receiving notices 8 Contractors requesting bidding documents 6 Bids received 3 Bids received from Santa Ana contractors 0 Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 California Professional Engineering, Inc. La Puente $176,425.00 2 PTM General Engineering Services, Inc. Riverside $247,042.00 3 Econolite Systems, Inc. Anaheim $315,720.48 A total of three bids were received and all were considered responsive. California Professional Engineering, Inc., submitted the lowest responsive bid in the amount of $176,425 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to California Professional Engineering, Inc. (Exhibit 3). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard) and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans — e.g., neighborhood streets, traffic improvements, etc.). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review ER 2017-49 has been filed for this project. 20B-2 Award Contract for Sandpointe Paseo Security Lighting Project December 19, 2017 Page 3 FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 4), the estimated total delivery cost of the project is $238,174, which includes construction, contract administration, inspection, testing, and contingencies. $177,174 is available in the District 3 A&D Fund Improvements Other Than Building account (No. 31313260-66220) and $31,000 is available in the District 3 In Lieu Fund Improvements Other Than Building account (No. 31313261-66220). Upon approval of the requested appropriation adjustment, $30,000 will be recognized from prior year fund balance in the District 3 A&D Fund revenue Miscellaneous Receipts account (No. 31313002-50001) and appropriated into the District 3 A&D Fund Improvements Other Than Building expenditure account (No. 31313260-66220). All funds for Project 16-2648 will be expended in Fiscal Year 2017/18. r 11L— re Mousavipour Executive Director Public Works Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency , FM/EWG/TC/MO Exhibits: 1. Location Map 2. Bid 3. Construction Contract 4. Cost Analysis r1- APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez fir, Executive Director Finance & Management Services Agency r�- mo IMMEMoMmill ■ MACARTHUR BLVD (TALBERT AV) ® PROJECT LOCATION EXHIBIT 1 ll p SANTA ANA II�� CITY COUNCIL SANDPOINTE PARK SECURITY LIGHTNING .• PWA : AGENDA DATE: (PROJECT 6-2648) `r DECEMBER 19, 2017 MLIC �IS AGENCY PAGE 1 OF 1 r1- rI- L=ANU-3yf_K CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: California Professional Engineering, Inc. REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: BASE BID: Item Description Qty Unit Unit Price O 00 Amount 1 SANDPOINTE PASEO SECURITY LIGHTING 1 LS $$�pJ $ ISo OOU 2 ADDITIONAL LIGHT POLE ASSEMBLY* 1 EA $ (,, 000 $ 6,0L30 3 ADDITIONAL WIRING* 150 LF $ e2.00 $ 30o 4 ADDITIONAL CONDUIT* 150 LF $ 3S.00 $rns0 5 REMOVE TREE* 2 EA $2315 $ Gl$o 6 ROOT SHAVE* 5 EA $ 3 qS $ 1-I 25 7 PCC SIDEWALK (T=4")* 200 SF $ ag $ 6.00D 8 PCC GRINDING* 3 EA $ $O O $ 2400 TOTAL BASE BID $ 17 6 ,.t125 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the 4'25%" limit as stated in Section 3-2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within FORTY-FIVE (45) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $500 per calendar day. Tame of Firm California Signature of BIDDER Title Van Nguyen - President Vice President, SecrMary, Treasurer Manager (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) ✓i: CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoingJis true and correct. Name of Finn California Professional Eno nl L�erina_ Inc A / Signature of BIDDER Title Van Nquven - President. Vice (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) W CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT CONTRACTOR'S LICENSING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: California Professional Engineering, Inc. Business Address: 929 Otterbein Ave Unit E La Puente, CA 91748 Business E -Mail Address: van@cpengineeringinc.com Telephone: 626-810-1338 State Contractor's License No. and Class: 793907 A, C-10 License Expiration Date: 4/30/2019 State Dept. of Industrial Relations (DIR) Registration No.: 1000001980 State De Registrar Signed: Title: 20F§P fo CITY OF SANTA ANA PROPOSAL PROJECTNO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ("Prevailing Wage Laws'), which require the payment of prevailing wage rates and the performance of other requirements on "public works' and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. Name of Firm California Professional Engf eedn_q Inc. Signature of BIDDER Title Van Nquven - President. Vice (if an individual, so CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS: CITY OF SANTA ANA ) s/4n1 N 6m%jeIN) , being duly sworn, deposes and says: ❑ 1NDIVIDUAL Thal he/she is the party nicking the foregoing proposal: ❑ PARTNERSHIP That he/she is a member of the co -partnership firm designated as: and who has been and is duly Nested with the authority to mnke and execute instruments for the co -partnership by: who constitute the other members of the copartnership. Fi�CORPORATION That he is of: President QAt,ffvO.NiA ppoyezylsr�t'r-rrsi-ry�iNc�,iwc a corporation which is making the foregoing proposal: ❑ JOINT VENTURE That he is of: one of the panics making die foregoing proposal as a joint venture, and the he/she has been and is duly vested with the authority to execute instruments for an on behalf of the parties ranking said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed c\ontr�U or hil ts�lf or any other person. Signature Subscribed and sworn to bkfore me this 14 day of nwveriA.P,� 2011_ Signature of officer Administering Oath (Notary Public) PLCASE 56E A -c c}tt;D zddflt CALIFORNIA ALL- PURPOSE CERTIFICATE OF ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of tf C%F0i-Nt A } County of tam nr4breas } On rlcuccAsca,y me, visFrN t�w(Ter+arm -�pL, _before scrt-—tu.ewce personally appeared ^T' NorM 'ZW -basis who proved to me on the of Satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. VIVIAN TRAN COMM. # 2216688 WITNESS my hand and official seal.NOTARY PUSUC.CALIFORNIA 0-y LOS ANGELES COUNTY ` omm. Erp lm Cdober 2.2021 Notary Public Signature (Notary Public Seal) INSTRUCTIONS FOR COMPLETING THIS FORM ADDITIONAL OPTIONAL INFORMATION TIN fornr complies with current California statutes regarding notmy wording and. ifneeded should be completed and attached to the document. ACAnowledgnhems DESCRIPTION OF THE ATTACHED DOCUMENT from other sloes nnm be completed for docianents being sent to dol stale long as the vording (foes not require the California notary to violate California notal Inv. ription of attached document) N State and County information must be the Slate and County where the document signer(s) personally appeared before the notary public for acknowledgment. ® Date of notarization must be the dale that the signer(s) personally appeared which ription of attached document continued) must also be the same date the acknowledgment is completed. ® The notary public mast print his or her name as it appears within his or her Pages Document Date commission followed by a comma and then your tilts (notary public). _ N print the nmes) or document signer(s) who personally appear at the time of notarisation. CITY CLAIMED BY THE SIGNER 0 Indicate the correct singular or plural forms by crossing off incorrect forms (i.e. he/shchhei- is /are ) or circling the correct forms. Failure to correctly indicate this Individual (s) infornmalion may lead to rejection of document recording. orporate Officer R 'nme notary seal impression must be clear and photographically reproducible. L p�YOLrN.I Impression must not cover text or lines. If seal impression smndges, re -seal if a Tilfe�— sufficient area permits.otherwise complete:m different acknmsiedgment form. R Signature of the notary public must match the signature on file with the once of Partners O the county clerk. Attorney -in -Fact 0 Additional information is not required but could help to ensure this Trustee(s) acknowledgment is not misused or attached to a different document. 0 Indicate title or type of attached document, nmber of pages and date. �ffler 0 Indicate the capacity claimed by the signer. If the claimed capacity is a corporate officer, indicate the title (i.e. CEO, CFO. Secretary). n t+nwv.NotaryClasses.com 800-873-9865 Sc2rA attach this document to the signed document with a staple. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SAN DPOINTE PASEO SECURITY LIGHTING PROJECT KNOW ALL PRESENT that, California Professional Engineering Inc. as BIDDER, and Allied World Insurance Company as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of _ Ten Percent of Total Bid Amount Dollars ($ 10.0% of Bid ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above -stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above -stated project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 13th day of November -1201-7. BIDDER" �t1 California Professional Engineerinq In&929 Otterbein Avenu4te. E, La Puente, CA 91748 ,T: 626-810-1338 SURETY* Allied World Insurance Company, 550 S. Hope Yung T. Mullick, Attorney-irf act, 24800 Ch Subscribed and sw n to before me .20 Signature: See Attached Notary Public in and for the County of Los Angeles, CA 90071; T: 213-416-1453 Drive, Suite 160, Mission Viejo, CA 92691 , T: 949-461-7000 this day of State of Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. P-7 of P-16 20B-14 CALIF®RN@A ALL- PURPOSE CERTIFICATE OF ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of epttpoo-wta } County of KGs ANcc�Les } On tJcgeKoo 11{ pan before me, V`Wt'W zahN , N-122 PURil ere msen name a 4 a o r e orcxer personally appeared V?rN tv ew who proved to me on the basis of satisfact6fy evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.VIVM convYl.a z2tsses COMM. WITNESS my hand and official seal.€m` NOTARY PUBLIC-CALIFORNIA OMT LOS ANGELES COUNTY Comm. Expiats Water t. 2021 Notary Public Signature (Notary Public Seal) ADDITIONAL OPTIONAL INFORMATION INST1tUCTIONS FOR COMPLETING THIS FORM This form cmnplles u'ldt Current California staturesregarding rmlmT u•axling and, DESCRIPTION OF THE ATTACHED DOCUMENT iftteeded shotdrl be conrpleled and anaeherllo the document.ifeknon•ledgntent.s front odrerstates n¢m be contpleled for documents being sent to that stale so long as the wording does not require the California notap to violate California norm)• lmv. (Title or description of attached document) 0 State and County information must be the State and County where the document signer(s) personally appeared before the notary public Ibr acknmvledgment. ® Dale of notarization must be the date that the signer(s) personally appeared which (Title or desaiption of attached document continued) must also be the same date the acknowledgment is completed. 0 The notary public must print his or her name as it appears within his or her Number of Pages _ Document Date commission followed by a comma and then your title (notary public). 0 Print the name(s) of document signer(s) who personally appear ;it the time of notarization. CAPACITY CLAIMED BY THE SIGNER E Indicate the correct singular or plural herons by crossing off incorrect fumes (i.e. he/she/they. is /are) or circling the correct fans. Failure to correctly indicate this Individual (s) intonation may [cad to rejection ordocument recording. Corporate Officer 0 The notary seal impression must be clear and photographically reproducible. P(L�yOVsTt-( Impression must not cover text or lines. If seal impression smudges, re-seal if a (Title) sufficient area permits, otherwise complete a different acknowledgment form. ❑ Partner(s) 0 Signature of the notary public must match the signature on file with the office of the County clerk. ❑ Attorney-in-Fact 0 Additional information is not required but could help to ensure this ❑ Trustee(s) acknowledgment is not misused or attached to a di fferem document. Other ® Indicate title or type of attached document, number of pages and date. L3® Indicate the capacity clairned by the signer. Ir the claimed capacity is a cutporate nicer, indicate the title (i.e. CEO, CFO. Secretary). 2015 Version www.NotaryClasses.com 800-873-9865 ec I (tach this document to the signet) document with a staple. CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA County of Orange On November 13, 2017 before me, Irene Luong Notary Public, Date Insert Name of Notary exactly as it eppearson the official seal personally appeared Yung T. Mullick Ills) of Signers) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within Instrument and acknowledged to me that he/shelthey executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the persons) _ IRENELUONG Notary Public - Califomla acted, executed the instrument. 3 Orange County Commission; 7207169 1 certify under PENALTY OF PERJURY under the laws of My comm. Expireslul27,2021 the Slate of California that the fore o' paragraph is true and correct. Witness mAhanda Signature Place Notary Seal Above r e uong OPTION pAL Though thandfcouldfprevent fraudulentt removal and law reattachment of the form to anotherydocument.document Description of Attached Document Title or Type of Document: Document Date: Number of Pages: Signer(s) Other Than Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: Signer's Name: ❑ Individual ❑ Individual ❑ Corporate Officer—Title(s): ❑ Corporate Officer —Title(s): ❑ Partner ❑ Limited ❑ General ❑ Partner ❑ Limited ❑ General row Im ❑ Attorney in Fact•• El Attorney in Fact ❑ Trustee •❑Trustee F1Guardian or Conservator Top of thumb here Li Guardian or Conservator Top of Thumb here ❑ Other: ❑ Other: Signer is Representing: Signer is Representing: 20B-16 LLL r�A ®��® ;Qt.��y/ WORLD AWED WORLD INSURANCE COMPANY 199 Ne7WaterStreet NY 10 tin York, NY 10038 YR1 ISA POWER OF ATTORNEY Issue Date: October 30, 2017 No. 32826-AI700 Single Transaction Limit: $10,000,000 KNOW ALL MEN BY THESE PRESENTS: Allied World Insurance Company, a New Harrpshfre corporation (the 'Companyl does hereby appoint NAME(s): FIRM: W. Moilanen Yung T. Mullick Stephanie Hoang Drive Suite 160 Mission Viejo, CA 92691 Its true and lawful Attomey(s)-in-Fact, with full authority to execute on its behalf bonds, undertakings, recogrdzances and other contracts of indemnity and writings obligatory in the nature thereof, issued in the course of its business, and to bind the Company thereby. This Pourer of Attorney shall remain in full force and effect for one year from the issued date above -referenced and shall expire on close of business of the first anniversary of such Issue Date. IN WITNESS WHEREOF, ALLIED WORLD INSURANCE COMPANY has caused these presents to be executed by the officer named below, who is duly authorized and empowered to execute on ft Company's behalf. n This 30th day of October, 2017 P R'OTAFld SEW. ^OTWSEAL I 12:r�i-2 Yi. 71dfil3xV, Rye P.f.Js ::;. ct hear:`;+c3 Ptaa. Covi'/ ofCcsr::imlo: 2Cl:a.r:r t$-715 Name: Robert F Staples Title: Senior Vice President - surety State y Pennsylvania County of Philadelphia Jss. O On this 30th day of October, 2017, before me come the ah�named officer of AWED I&J WORLD INSURANCE COMPANY, to me personally kmvm to be the Individual and officer described herein, and acknowledged that he executed the foregoing Instrument and Notary affixed the seals of said corporation thereto by authorityof his office. My Commission Expires: 11/14/2014 CERTIFICATE Excerpt of Resolution adopted by the Board of Directors dere ALLIED WORLD INSURANCE COMPANY (the "Corporation"), on December 31, 2012: RESOLVED, that the Iroperolfitersof the CapmkR the leaf of Ure shreN Wsness hne forthe Capcattion and their appointed designees (each an-Aullnrired Olfimf and odactiveN, the'Aaftfized Oficem') be. and each hiseb/is, authorized to appointme aaveAtlome/sin-Fad to tspresentard ad for andon behalf of the Corpomfon in the bansactonorlheCmnfam/s surely business to axeoM (mdef Lha mmmon seal d the CapmSon, t appmp iate) hon$ udutkkVs, meDpIzanms and off er mJ2ds cf hdernniy and vmli-Qs obrigatoryin Ne twWre trereaf. RESOLVED, ghat In connection vAh the Corporatais lmmaCon of surety business, the sgmWms and atestatms of the Authorized 05mos and the real of the Cohpomton may be a6ueed to any such Pmvar of Attorney a to any mit[kate relating thereto by fie, aid any such Po u of AVomey or cm6cale bearing such faceirfe sgreWres or famingto seal shat be wfd and binding upon the. Coryoralm when m afted wdh respect to any bad, ucderlafig, recogribance orother contract of indemnify awritcg Obligatory in the ware diareof. RESOLVED, that's connection vAh the Cohpo atim's hamac5a, of sealy txairass, the fanaimte a medanim'N reproduced sgrahxe of my Authorized Officer. whelher made heretofore or hereafter, vrhemverappearing upon a copy of any Power of Many oltn Cooperation, nrthsignaN2s affmad as neitabove noted, shall be wild and bnhdng upon the corporation hvith the same form and effect as though manually atfued. RESOLVED, that in mneclionwth the CaporetWia tmnsadrn of wreN brines, my each AdaneyWaddefvedng a seoeladal Or other certification that the foregoing resolutions s@I be in effect may Insert in such certification tha date thereof, said date to be not Liz don the date of delivery (hereof by wonAtaneWad. RESOLVED, that the Audnomed Offices be, aM each homby'n, aukrized to execute (under the coanon seat of the Corporation, if appmpdate), make. Ne and delver it the narne aM on behalf of the - CapamEm ani aM at reasserts, cehtdcales, agreertrenls, mxadmems, supF'ements, fretnrtnenk and other doamems whatsoever, and do any and ad other wings whatsoever in connection with the Corporation's transaction of surety businesses. as such Aultakad ODcer shall it Ns or her -absolute c saetm deem or deti Wrie appropriate and any of the forgoing resa'ukm, the transactions cmtempiated thereby and any am7arymatars thereto md'ab rdryal the purposes and intent 1Mneof, wdhdeenrngordeteanim on to be conclusively evidenced by my such exeahlin or the Iaidnng Of any such action by such Authorized Officer. I, Daniel Zharkovky, Secretary of the ALLIED WORLD INSURANCE COMPANY, do hereby certify thel the foregoing excerpts of Resolution adopted by the Board of Directors of this corporation, and the PoverolArmneyissued pursaW thereto, are true and correct, and that both the Resofuton a{hdlheP rofAdoan areinfullfaceandeted IN WITNESS WHEREOF, I have hereunto set my hand anda5xed thefacsumleseal of Ne corporation, thrEdnay of (5,y 201-7 All Claim Notices should be sent to the below: Allied World insurance Company Attn: Surety Department 30 South 17'^ Street, Suite 1600 Philadelphia, PA 19103 SUR 00046 00(05/2016) 20B-17 Daniel Zharkovky, AVP, Assistant General Counsel No. 3186-4 STATr OF CALIFORNIA DEPARTMENT OF INSURANCE SAIF FRA.\CISCO Amended Certificate of Authority THIS IS TO CERTIFY that, pmauanl to the Imwrance Code of the Stale of California, Allied World Insurance Company ofNew Hampshire, organized under the laws ofNew Hampshire, subject to ilsArticles ofincorporation or otimrfundanrmntal organizational documents, is hereby authorized to transact within thisState, subject to all provisions afthis Certificate, the following classes ofinsurance: Fire, Marine, Surety, Plate Class, Liability, Workers' Compensation, Common Carrier Liability, Boiler and Machinery, Burglary, Credit, Sprinkler, Team and Vehicle, Automobile, Aircraft, and Miscellaneous as such classes are now or may hereafter be defined in the insurance Laws ofthe Stale of California. THIS CERTIFICATE is expressly conditioned upon the holder hereofnow andhereafter being in full compliance with all, and not in violation ofanly, ofrhe applicable laps and lawful requirements made under authority ofthe laps ofthe Stale of California as long as such imps or requirements are in effect and applicable, and as such lays and requirements now are, or may hereafter be changed or amended IN WITNESS WHEREOF, effective as ofthe 22rtd day ofMrry, 2013, I have hereunto set my hand and caused my official seal to be gixed this 22ea day of May, 1013. Dave Jones /n,mnnre Cammisrivner BJ, Susan J. Stapp for Nettie Hoge Chief Depvty NO'T'ICE: Qualifiwtian with tile Secsrtary of State must be accomplished u tcquired by the California Corporations Code promptly a@er Iisuaaccofthis Certificate of Authority. Failure to do so will be a violation oris muco Cadesecfion 70t and willbe grounds fur revoking this Certificate of Authority pursuant la elle covanaon made in the application therefor and the conditions contained herein. 20B -A &.__.-..-- CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT LIST OF SUB -CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: o Streets, highways including bridge projects: %:% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: ''/z% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations(DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name TM st-vvk ErxECPP+sFS License #/Exp. 201705 01/3d/2018 DIR Reg. #/Exp. i 000001836 ob/�0/10rA Location 1551 w. Mh.= sT,ft"AttdAt Phone (114)ICU. - 60-6-7 Type Of Work I rtreoscx� Amount $ 650o Name VN License #/Ex DIR Reg. #/Exp. License # _ Location Phone Name License 4/Exp. DIR Reg. #/Exp. Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ Name Name License #/Exp. License #/Exp. DIR Reg.#/Exp. DIR Reg.#/Exp. License # License # Location Phone _ Type Of Work Amount $ t Signature of Bidder Location Phone Type Of Work Amount $ CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER has performed similar work within the past three years. Please See Attached Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 2. Please See Attached Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 3. Please See Attached Name and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Please See Attached 2020 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar improvement work in the past 5 years. 2. 3. Name and Name and Telephone Number of person familiar with project. Contract Amount Name and Address of owner. Type of Work Name and Telephone Number of person familiar with project. Contract Amount Name and Address of owner. Type of Work Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed Date Completed Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. 929 Otterbein Ave., Unit E La Puente, CA 91748 Ph: (626) 810-1338 Fax: (626) 8ID-1322 www.cpengineeringinc.com Calif6mia Professional Engineering; Inc. Street Ughting-Job References PROJECT. Design — Build High Voltage Streetlight System Rewiring Amount: $547,044.66 Owner: City of Santa Ana Project Manager: Tyrone Chesanek Email: tchesonek@sonta-ona.org Contact Phone M (714) 647-5690 Fax #: (714) 647-5622 Status: Completed Approximate Start/End Dates: Feb 2015 -March 2016 Description of Supplies, Equipment, or Services Provided: Convert High Voltage Wiring to Low Voltage Wiring, Design/Build, Installation of Lighting Fixtures, and Conduit. Installation of Snort Field Lighting System Amount: $65,501.00 Owner: City of Huntington Park Project Manager:Josette Espinosa Email: jespinosa@hpco.gov Contact Phone #: (323) 584-6216 Fax #: (323) 588-4577 Status: Completed Approximate Start/End Dates: Dec 2015 -Jan 2016 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring, Pull Box, Sports Field Lighting Fixtures, and Lighting Poles. Firestone Blvd Improvement Project Amount: $409,305.58 Owner: City of Downey Project Manager: Keith Hoey Page 1 of Docrrc mens Las! Updated .1512016 20B-22 Email: khoey@downeyca.org Contact Phone #: (561) 622-5898 Fax #: (562) 904-7296 Status: Completed Approximate Start/End Dates: April 2014 -August 2014 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring/Conductors, Pull Boxes, Pedestals, LED Factures, and Light Poles. Street Light in Lieu Amount: $244,716.35 Owner: City of Ontario Project Manager: Johnson Hua Email: jhua@ci.ontario.ca.us Contact Phone #: (909) 395-2131 Fax #: (909) 395-2122 Status: Completed Approximate Start/End Dates: Jan 2014 -April 2014 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring/Conductors, Pullboxes, Pedestals, LED Fixtures, and Light Poles. Old Towne Street Lighting Improvements Amount: $453,145.00 Owner: City of Orange Project Manager: Medel Llanes Email: mllones@cityoforange.org Contact Phone #: (714) 744-5535 Fax #: (714) 744-5573 Status: Completed Approximate Start/End Dates: Jan 2011 -April 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduit, Pullboxes, Pedestals, Street Lights w/Fixtures, and Light Poles. Installation of Street Lighting on Mountain Street from Craig Ave Amount: $335,166.00 Owner: City of Pasadena Project Manager: Chris Hernandez Email: cehernandez@cityofpasadena.net Contact Phone #: (626) 744-4303 Fax #: (626) 396-7931 Status: Completed Approximate Start/End Dates: Jan 2012 -May 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduit, Street Light Pullboxes, LED lamps, Post Top Concrete Streetlights, Street Light Conductors, and Modify Existing Street light Feed Point. Page 2 of 3 Document Lasl Updated 14/20/6 20B-23 Street Light Installation — Guinida Lane Amount: $202,345.50 Owner: City of Anaheim Project Manager: Mark Brownrigg Email: mbronwrigg@anaheim.net Contact Phone #: (714) 765-4300 Ext. 4596 Fax #: (714) 765-5225 Status: Completed Approximate Start/End Dates: Aug 2011 -March 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduits, Wirings, Service, Foundations, Street Light Poles, and Luminaires. Page 3 of 3 Document Last Updated 46!1016 20B-24 929 Otterbein Ave., Unit E La Puente, CA 91748 Ph: (626) 810-1338 Fax: (626) 810-1322 www.cpengineeringinc.com California Professional Engineering, Inc:- We intend to procure all bonds from: The Hanover Insurance Company Yung T. Mullick, Attorney -In -Fact 24800 Chrisanta Drive, Suite 160 Mission Viejo, CA 92691 949 -461 -7000 -office # 949 -461 -7725 -fax # ymullick@thebond-excthange.com We intend to procure all general/access liability/auto liability certificates from: Grosslight Insurance, Inc. George Duran, Agent Rancho'Cucamonga, CA 91730 909 -204=3629 -office # 909 -204 -3679 -fax # geor a 1.14rossli ht.com We intend to procure all workers' compensation certificates from: BBSI Magdalena Gilane, Agent 1950 Sunwest Lane, Suite 250 San Bernardino, CA 92408 909 -890 -0100 -office # 909 -890 -0120 -fax # magdalena.gilane@bbsihq.com Page I of 1 20B-25 Document Last Updated 9.7.1016 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sliam; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is pant of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false certification may subject the certifier to criminal pros aui tion. . I Signed State of California County of _-U nroa¢tcs vN VN VAJ Subscribed and sworn to (or affirmed) before me on this � V day oft 20'L;r by vrd—ttGN V^' , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature Notary Public Seal TL; /&SE 5W frrrAuteO V1Gf 26 6 CALIFORNIA ALL® PURPOSE CERVFICAiE OF ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of cftLiFagNto } County of uo5 rrt.xre%0 } On tuL.1ot7 before me, I (Here nsert name anC L1Te ulcer personally appeared vn^' Nclv.,Clt who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. VIVIAN WITNESS my hand and official seal. COMM.IRAN 1 y. M. 2216688 NOTARY PUBLIC -CALIFORNIA x LOS ANGELES COUNTY NT Comm EaDnes October 2. 2021 Notary Public Signature (Notary Public Seal) INSTRUCTIONS FOR COMPLETING THIS FORM ADDITIONAL OPTIONAL INFORMATION 7/risformcoraplieslridr nnrent Califoniiastaudesregarding Notmywnrdingmrd. DESCRIPTION OF THE ATTACHED DOCUMENT ifueeded,slrouldbecolnpletedandaNachedlolliedocraaent.Acknmvledgurens jinn, other stales may be completed far documents being seal to That stale so tang as lite wording does Plot require die California notary to violate California nolaq• ham (Title or description of attached document) ® State and County information must be the State and County where lire document signer(s) personally appeared before the notary public for acknowledgment. 0 Date of notarization must be the date that the signer(s) personally appeared which (Tille or description of attached document continued) must also he the sane date the acknowledgment is completed. N The notary public mus( print his or tier name as it appears within his or Iyer Number of Pages _ Document Date commission followed by a comma and then your title (notary public). © Print the namc(s) of document signer(s) who personally appear at the time of nolari22tion. CLAIMED BY THE SIGNER N Indicate the correct singular or plural forms by crossing off incorrect forms (i.e. he/she/the); is /ore ) or circling die correct forms. Failure to correctly indicate this idual (s) infommtion may lead to rejection of document recording. orate Officer 0 The unary seal impression must be clear and photographically reproducible. j Impression must not cover text or lines. If seal impression smudges, re -seal il'a `1��9�J (TIBe) sufficient area permits, otherwise complete a different acknowledgment form. ® Signature of the notary public must match the signature on rile with the office of er s t ) the county clerk. ey-in-Fact N Additional information is not required but could help to ensure this IL tee(s) acknowledgme t is not misused or attached to a different document. date. E Indicate title or type ofatached document, number of pages and r N Indicate the capacity claimed by the signer. If the claimed capacity is a corporate officer, indicate the title (i.e. CEO, CFO. Secretary). .NotaryClasses.com 800-873-9865 A Sc*4 attach this document to the signed document with a staple. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments ander this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 19651 and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SAN DPOINTE PASEO SECURITY LIGHTING PROJECT The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States, 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating tl is Segtion is subject to all the penalties imposed for a violation of the ChaNted..'--1 i Signed: Title: Van Firm: California Professional Engineering, Inc. Date: 11/14/17 fd3.qf P4I6 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: I. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other cont actors, except coptractors not signatory to the trust agreement shall pay a like amount toI aIi Ap en iceship Council. Signed: Title: Van Nguyen - President, Vice Presidents Secretary, Treasurer, Manager Firm: California Professional Engineering, Inc. Date: 11114/17 P-14 of P-16 20B-30 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT STATEMENT REGARDING "ANTI -KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be rohibited from inducing, by any means, any person employed in the construction or repair of p -iblic work, to give up any part of the compensation to which he/she is otherwise nti Signed: Title: Van Nguyen - President, Vice Preside t, Secretary, Treasurer, Manager Firm: California Professional Engineering, Inc. Date: 11/14/17 P-15 of P-16 20B-31 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No x If the answer is yes, explain the circumstances in the following space. P-16 of P-16 20B-32 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT 16-2648 SANDPOINTE PASEO SECURITY LIGHTING This CONSTRUCTION CONTRACT is made and entered into this 19a` day of December, 2017 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and California Professional Engineering, Inc. (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Sandpointe Paseo Security Lighting Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed One Hundred Seventy-six Thousand Four Hundred Twenty-five Dollars and No Cents ($176,425.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. mv.09ioinon 208-33 Pagel of3 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: httl)://www.santa-ana.org/pwa/documents/CWA.ndf 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 20B-34 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: JOIN FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: FRED MOUSAVIPOUR Executive Director Public Works Agency CITY OF SANTA ANA RAUL GODINEZ II City Manager CONTRACTOR: California Professional Engineering, Inc. VAN NGUYEN President 20B-35 Page 3 of 3 EXHIBIT A CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: California Professional Engineering, Inc. REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: BASE BID: Item Description Qty Unit Unit Price O oOb Amount I SANDPOINTE PASEO SECURITY LIGHTING I LS $ $ ISo ,oao 2 ADDITIONAL LIGHT POLE ASSEMBLY* 1 EA $ b, Doll $ b, 000 3 ADDITIONAL WIRING* 150 LF $ 12-00 $ y'00 4 ADDITIONAL CONDUIT* 150 LF $ 3S.00 $5450 5 REMOVE TREE* 2 EA $ 2X5 $ 5-750 6 ROOTSHAVE* 5 EA $ 3115 $ 1-125 7 PCC SIDEWALK (T=4")* 200 SF $ 25 $ 5 0c o 8 PCC GRINDING* 3 EA $ 00. 00 $ 2400 TOTAL BASE BID $ 17 b, H2S The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 3-2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. za9�3ra CITY OF SANTA ANA PROPOSAL PROJECT NO.: 16-2648 SANDPOINTE PASEO SECURITY LIGHTING PROJECT TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within FORTY-FIVE (45) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $500 per calendar day. / Name of Firm Signature of BIDDER Title Van (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) 208P_J/ pqpljiMoo COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 16-2648:-SANDPOINTE PASEO SECURITY LIGHTING Construction Contract $ 176,425.00 Contract Administration $ 11,178.00 Inspection and Testing $ 15,286.00 Contingencies $ 35,285.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 238,174.00 4ANIAki! 20B-39 ri- -1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PURCHASE AGREEMENTS FOR REAL PROPERTY ACQUISITION FOR BRISTOL STREET IMPROVEMENTS PHASE 4 (PROJECT NO. 116741) (NON -GENERAL FUND) (STRATEGIC PLAN NOS. 6, 1G; 3,2C) r r- CItY1MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2"c Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute Purchase Agreements for the real property acquisition, temporary construction easements, and goodwill (if any) with the property owners listed below, subject to nonsubstantive changes approved by the City Manager and City Attorney: No. Property Owner Property commonly Acquisition Amount known as / location Type 1 Pedro Castrejon and 1301 W. Camden Place Full $540,000 Natividad Castrejon (APN 408-334-18) 2. Approve an appropriation adjustment recognizing $1,000,000 from prior year fund balance in the Transportation System Improvement Area (TSIA) F revenue account, and appropriating the same into the Transportation System Improvement Area F expenditure account for Project 11-6741. DISCUSSION Bristol Street is a north -south transportation facility which is designated as a major arterial highway in the City's Circulation Element of the General Plan. Improving the 3.9 -mile Bristol Street segment from Warner Avenue to Memory Lane has been a long-term priority project that is being constructed in several phases. Improvements include widening the street from two to three lanes in each direction, raised landscape medians, and adding bike lanes. The City is acquiring properties for the development of Phase 4, bounded by Warner Avenue and Saint Andrew Place. Property acquisitions for this phase are expected to be completed by spring 2018, and construction is anticipated to begin in summer 2018. 20C-1 Purchase Agreement for Real Property Acquisition Bristol Street Improvements Phase 4 December 19, 2017 Page 2 The property acquisition is necessary to accommodate the improvements and widening for Phase 4 (Exhibit 1). The purchase offer was determined based on appraised values prepared by a California State licensed appraiser and was accepted by the property owners. The compensation amount is listed above and shown in the attached agreement (Exhibit 2). The Castrejon family is currently in escrow for a replacement home. The approval of this item will also ensure they receive funds necessary to complete this transaction. From 2015, when the City was initially awarded grant funding based on the amount of $18,936,000 to acquire right of way for the Bristol Street Improvements Project — Phase 4, property values have increased over 30 percent. As a result, additional funding is required to settle the remaining acquisitions to move the project forward toward completion. Conversely, the property values of the remnant properties created by the acquisitions for the project will also be affected by this increase in value. The project is located within Transportation System Improvement Area Fund F (TSIA-F), which has an unencumbered balance of $1,000,000. Staff recommends appropriating these funds to the project to complete the right-of-way acquisition activities. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). Approval of this item also supports the City's efforts to meet Goal #3 — Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies), Strategy C (support business development and job growth along transit corridors through the completion of critical transit plans/projects). ENVIRONMENTAL IMPACT In 1990, City Council approved the Bristol Street Final Environmental Impact Statement/Environmental Impact Report (FEIS/EIR No. 89-01). Due to several minor design modifications in Phase 4, which lies between Warner Avenue and St. Andrew Place, an Addendum to the FEIS/EIR was prepared and adopted pursuant to the California Environmental Quality Act by City Council on April 7, 2015. 20Ci-2 Purchase Agreement for Real Property Acquisition Bristol Street Improvements Phase 4 December 19, 2017 Page 3 FISCAL IMPACT The appropriation adjustment will recognize $1,000,000 from prior year fund balance in the Transportation System Improvement Area F revenue account (No. 03517002-50001), and appropriate the same amount into the Transportation System Improvement Area F expenditure account (No. 03517660-66100, Project 11-6741). Funds will be available for expenditure in Fiscal Year 2017-18, Project 11-6741, asfollows: Account Number Account Description I Amount 03517660-66100 Transportation System Improvement Area F 1 $540,000 r 'Freii Mousavipour Executive Director Public Works Agency FM/EWG/JG/ST Exhibits: 1. Location Map 2. Agreement — APN 408-334-18 APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 20C-3 Z\V\ ml�,\ v, 7, �1 w Francisco Gutierrez Executive Director Finance & Management Services Agency 20C-3 20C-4 MATCHLINE SEE BELOW RIGHT 1 I i I I j 408-336.17 j ST GERTRUDE PL --r------T-- I 1408471.01: I I i 408.471-17 7 R W _I 0 m WARNER AVENUE ELEGEND- ® -SUBJECT PP.DPERTY ® -ACQUIRED PPOPERTIES SANTA ANA PWAL PUBLIC TORa AQ Cy 1 I I --L .i_..i..__i yl ST ANDREW PL CARLTON PL I I GLENWOOD PL fi 1 fi� CAMDEN PL -T--T'•T �f� I I I . I - I �r� QST ANNE PL r-oT--7. 7---r- 7'7-'-T'--T---T o r-•r--r-•r-" I rl I I I MATCHLINE SEE TOP LEFT EXHIBIT 1 PURCHASE AGREEMENT FOR BRISTOL STREET IMPROVEMENTS PHASE 4 (PROJECT NO. 116741 - NONGENERAL'FUND) (Strategic Plan No. 6, 1, G; and 3, Z C) 20C-5 PAGE 1 OF 1 20C-6 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on Z" 1-7 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 PEDRO CASTREJON, an Individual, and NATIVIDAD CASTREJON, an individual, collectively (hereinafter "Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter 'Said Real Property") legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 1301-W. Camden Place, Santa Ana, CA 92704) (APN# 408-334-18) - Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, Within 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 speck, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the' conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of FIVE HUNDRED FORTY THOUSAND and ho1100 Dollars ($540,000:00) insuring the title of the City to said real properties are free and clear of any "and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. Exhibit 2 20C-7 4. Escrow. City agrees to open an escrow at the office of First American Title Insurance Company, 2 First American Way, Santa Ana, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the E"scrow 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 to the Seller within five (5) days after delivery of this Agreement, shalt 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. S. Property Taxes. Such real property taxes, if any, on said rear 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 fora refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property takes on said real property for said fiscal year which have been paid prior to the dale the deed conveying said real property to City is recorded which is allocable to that portion of the fiscal year"which begins on the date the deed conveying said real property to City is recorded and made uncollectible.if unpaid by reason of Section 5086 of the Revenue and Taxation Code - of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, N 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 yearw thin 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, the total sum of FIVE HUNDRED FORTY THOUSAND and no1100 Dollars ($540,000.00). 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; 200-8 (c) Delivery to City of the policy of title Insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. 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, and shall leave the Property in a broom swept condition. 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, unless a prior written agreement has been made with the City or its representatives. 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. B. Holdover Seiler. At the sole discrepancy of the City, the City may allowtheSeller to stay beyond the three days after the close of escrow as stated in Section 7a. In doing so, the Seller will become a Holdover Seller, and will be required to sign an interim rental agreement. Said rental agreement will provide the rental rate and terms of the lease. If the City or Its agents fail to provide said rental agreement to Seiler and Seller is still in occupancy of the Property after the three days after the close of escrow, then Seller is responsible to contact the, City or its agents, to determine as to where to send their rent payment. Failure of City or its agents to present the interim rental agreement to Seller does not absolve the Seller from paying rent. 9. Rental and Occupancy By Seller. Seller agrees to execute a complete, current and correct statement of rentals (Selier Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30 -day month/365-day year consistent with that statement, subject to approval of City. .Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. In return, the City agrees to reimburse seller lost rentals incurred by keeping units vacant through the close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Seller also warrants that there are no oral or written leases on all or any portion of the subject property exceeding a period of one month. 10. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other 20C-9 breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 11. 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. 12. 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. 13. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property. 14. Acknowledgment of Full Benefits and Release A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for Inverse condemnation; loss or Impairment of any "bonus value" attributable.to any lease; damage to or loss of improvements pertaining to the realty; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property , or challenge Buyers 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, 1263.026 and 1263.615; any other rights conferred upon Sellers pursuant to Code of Civil Procedure sections 1,245245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature. whatsoever relating to. or In connection with the acquisition of the, Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators; successors and assigns, hereby fully releases Buyer, its successors, agents, : representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage, which has been sustained by Seller, or may be sustained by Seller, as a result of Buyers 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 Buyers efforts to construct improvements on the Property. This acknowledgment and release shall survive the Close of Escrow. 15. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-36, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is 1301 W. Camden Place, Santa Ana, CA 92704. 16. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 17. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 20C-10 18. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California. or the United States Government, including, but not limited to, any material or substance which is (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account .Act), (iii) defined as a "hazardous 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, (lx) designated as a "hazardous substandes' pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. S6901 at seg. (42 U.S.C. S6903) or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental'Response, Compensation, as amended by Liability Act, 42. U.S.C. S9601 et seg. (42 U.S.C. S9601). 19. 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. 20. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon ([).the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of.any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost. wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). This indemnity extends only to liability created prior to or up to the date this escrow shall close. Seller shall not be responsible for acts or omissions to act post close of this escrow. 20C-11 21. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 22. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 23. 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. 24. 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 P.M. 25. Governing Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 26. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The provisions of this PSA shall be construed as to'their fair meaning, and not for or against any party based upon any attribution to such party'as the source of the language in question: 27. 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. 28. 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, 29. Applicability of Agreement To Asslqnees. This PSA 'shall be binding upon and shall Inure to the benefit of the successors and assigns of the Parties to this PSA 30. Authority to Execute Agreement. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this PSA,, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory oris withdrawn. 31. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. 20C-12 IN WITNESS WHEREOF, the Parties hereto have executed this Purchase and Sale Agreement on the date and year first written above. SELLER: f'.l Lla ��, J�L1ty� Date: L'.- ddro sa�anirldividual -- N 41 i w Ia A CAgrvc ;� Date: _ / - fS' - 17 Natividad Castrejon, an individbal CITY OF SANTA ANA: City/Buyer Date: Raul Godinez II City Manager ATTEST: Date: Maria D. Huizar City Clerk APPROVED AS TO FORM: v�.- w, T4,j Date: Jtfi M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL: Date: Fred Mousavipour Executive Director Public Works Agency 20C-13 EXHIBIT "A" LEGAL DESCRIPTION All right title and interest of Seller in and to that certain real property located in the City of Santa Ana, Orange County, California, described as follows: LOT 37 OF TRACT NO. 2209, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA AS PER MAP RECORDED IN BOOK 64, PAGE(S) 25 AND 26, OF MISCELLANEOUS MAPS IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY. EXCEPTING THEREFROM ALL OIL, GAS AND OTHER HYDROCARBONS AND MINERALS NOW AND HEREAFTER IN, ON AND UNDER THAT PART OF THE ABOVE DESCRIBED. LAND LYING BELOW A PLANE 500 FEET BELOW THE SURFACE OF SAID LAND, BUT WITHOUT THE RIGHT OF ENTRY OR ANY RIGHT TO MINE, DRILL FOR, OR CONDUCT ANY OTHER OPERATIONS ON OR FROM THE SURFACE OF SAID LAND, OR IN THAT PART ABOVE A PLANE 500 FEET BELOW SAID SURFACE, FOR THE PURPOSE OF EXPLOITING FOR, DEVELOPING, RECOVERING, PRODUCING, REMOVING OR MARKETING OF AN OF SAID SUBSTANCES AS RESERVED INA DEED TO JOHN P. GEORGE AND WIFE, RECORDED FEBRUARY '2, 1961. APN: 408-33418 20C-14 EXHIBIT "B" (First American) GENERAL ESCROW PROVISIONS All .disbursements shall be made by Escrows 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 fumish 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 orbrokers 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 withrespect 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 attorneys 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 $10.00 per month. Time is declared to be the essence of these instructions. If you are unable to comply within the time specified herein and such additional time as is required to make an examination of the official records, you will return all documents, money or property to the party entitled thereto upon satisfactory written demand and authorization. Any amendment of and/or supplement to any instructions must be in writing. The seller agrees to sell and the buyer agrees to buy the property herein described upon the terms hereof. These escrow instructions; and amendments hereto, may be executed in one or more counterparts, each of which independently shall have the same effect as if it were the original,_ and all of which taken together shall constitute one and the same Instruction. 20C-15 20C-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AWARD PURCHASE ORDER TO TRANSWEST TRUCK CENTER FOR A SPECIALLY EQUIPED FORD F-650 TRUCK & LATERAL LINING EQUIPMENT (SPECIFICATION NO. 17-110) {STRATEGIC PLAN NO. 6,2) �C�Y MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize a one-time purchase and payment of purchase order to Transwest Truck Center for the procurement of one Ford F-650 with cargo box body and lateral lining equipment in the amount of $215,260 plus a contingency of $5,000, for a total amount not to exceed $220,260, subject to nonsubstantive changes approved by"the City Manager and City Attorney. DISCUSSION , The Finance and Management Services Agency, Facilities, Fleet Maintenance and Central Stores Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The Public Works Agency is in need of a new vehicle for its Sewer Lateral Repair Program. For nearly a decade, the City has been successfully using contract services to rehabilitate the City's aging public sewer collection system using main lining, a form of trenchless technology. With this technology, new sewer piping is pushed through an existing pipe using hydraulic equipment. Very little excavation is required and the process can be completed in a relatively short amount of time. Proven success with this effective and cost-efficient technology for sewer main rehabilitation and repair has made it the best choice for the City's Sewer Lateral Repair Program. There are over 45,000 privately owned sewer laterals in the City which convey sewage from homes and businesses to the main public sewer collection system. The City's Sewer Lateral Repair Program provides for the repair or replacement of sewer laterals from the edge of the property owner's property line to where it connects to the public sewer main in the street. Sewer Enterprise staff performs these sewer lateral repairs and replacements on a daily basis, primarily 22A-1 22A-2 Contract Award for a Ford F-650 Truck/Lateral Lining Equipment December 19, 2017 Page 2 using pipe bursting trenchless technology and equipment with a much smaller roadway excavation footprint than traditional methods. The Sewer Lateral Repair Program has taken the lead in implementing trenchless technologies and equipment to limit roadway excavation footprints, which saves both time and money, and reduces inconvenience to the public. The proposed purchase of the sewer lateral lining truck and equipment expands the use of proven trenchless technology methods in the City, allowing staff to repair sewer laterals without the need to perform roadway excavation and increasing the effectiveness and efficiency of this popular program. Staff would only be performing sewer lateral lining; the majority of all main lining work performed in the City would continue to be accomplished through contracted services. The Notice Inviting Bids was advertised on September 18, 2017, on the City's online bid management and publication system. A summary of the bid invitations and bids received is as follows: 34 Vendors were notified 13 Vendors downloaded the bid packet 2 Santa Ana vendors downloaded the bid packet 1 Bid received 0 Bids received from Santa Ana vendors The bid was opened on October 18, 2017, and evaluated. The bid from Transwest Truck Center is responsive to the specifications and meets the City's requirements. A $5,000 contingency has been included in the award amount to allow for possible additional equipment needs such as additional lighting, upgraded communication system, or other factory equipment. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal #6 — Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds in the amount of $220,260 are available in Sanitary Sewer Service account (No. 05617640-66400) for expenditure in Fiscal Year 2017-18. APPROVED AS TO FUNDS AND ACCOUNTS: r T�\ C�SLAl� l Gll %_0 Fr d Mousavipour Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance and Management Services Agency FM/CL/sp 22A-3 22A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT WITH GRANICUS, INC. FOR AUTOMATED AGENDA WORKFLOW, WEB STREAMING AND ARCHIVING SERVICES (STRATEGIC PLAN NO. 5, 1) RECOMMENDED ACTION: CLERK OF COUNCIL USE ONLY: /177ZeMA ❑ As Recommended ❑ As Amended ❑ Ordinance on 1'' Reading ❑ Ordinance on 20 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 Granicus Inc. to continue providing web streaming, archiving services and for the implementation of automated agenda workflow in an amount of $55,126.64 which include $19,200 in one-time cost for the first year, second year in the amount of $38,441.50 and third year in the amount of $41,132.41 for a total aggregate amount of $134,,700.55 and an option for two one-year renewals at a 7% consumer price index increase, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In July of 2013, the City entered into an agreement with Granicus, Inc. to web stream and archive City Council meetings. Shortly after implementation, staff extended some of the features to allow boards/commissions and council committees to upload their agendas and provide an audio recording of their meeting on the same system, in one central location and will allow for continuity of services to staff and the community. The Open Platform package, as referred to by Granicus, is a cloud -based solution that manages and stores unlimited amount of public meeting video, minutes and audio files. This service enhancement has allowed the City to further strengthen City's efforts towards greater transparency, accountability, public information accessibility seven days a week. Current features of the product include: • Live and on -demand webcasting of public meetings, accessible via internet and mobile devices. Government Transparency Suite - achieve paperless agendas through a website with complete searchable access to all public meeting information; also provides an iPad application for Council members with the option for note -taking (also referred to as iLegislate), links to materials and past meeting videos. 25A-1 Agreement with Granicus December 19, 2017 Page 2 of 5 • Built-in reports and analytics on visitor trends. • Ability to view meeting webcast on Android and IOS mobile devices. • Viewers can jump to any topic on a video through index points. • Quickly locate agenda material including minutes, ordinances and resolutions, or video related to a specific topic, using search engine. • Minutes – ability to quickly produce Action Minutes for City Council, Council Committee, and all Boards and Commissions. The contract with Granicus, Inc. will expire on December 31, 2017. The Clerk of the Council Office released a Request for Proposal in September, 2017 and received six bids from the following: Granicus, Provox, Swagit, Civic Plus, Accela, and Prime Gov. Staff reviewed the proposals and based on relevant experience and pricing recommends that Granicus continue to be the City's provider for said service. In addition, staff is recommending the automated agenda management component, which has one-time costs and annual service maintenance fees included in their proposal. The automated agenda workflow, known as Legistar will allow staff to manage the entire legislative process from start to finish; from drafting agenda reports, through assignment to various departments and/or division, to final approval, all designed to reduce workloads and create a more efficient method for managing decisions. The system will eliminate manual workflows; automate agenda item approvals with electronic approval processes; simplify the agenda creation—automatically compile files and supporting materials for upcoming meetings; organize, store and retrieve electronic documents; and easily track legislation and generate historical reports for staff, citizens and council. Granicus also offers other features and products that will be evaluated in the near future as a possible third phase. Below are those features as an advance of future considerations: • VoteCast - modernizes the public meeting voting process by eliminating the tedium of hand counting, paper voting and the use of outdated standalone systems. • eComment - an easy way to add voices to the democratic process and makes participation in public meetings more convenient with a web -based form tightly integrated with your published agenda. Residents can review agenda item details, indicate their position on an item and leave feedback, which elected officials can review in -meeting. • Closed Captioning - synchronized to meeting webcasts and can be recorded in real-time or added to an archived event. Closed caption text is searchable, giving audiences the ability to search meeting records by the spoken word, further promoting access to the public regarding the issues they care about most. Also, Granicus, Inc. has offered a promotional opportunity on the purchase and installation of Legistar if two or more Orange County cities approve a contract before the end of the year. The City of Huntington Beach has already approved a contract and we are waiting to hear from other surrounding cities. The discount would be reflected on the 2nd -year invoice. Promotional offer includes: Reduce annual maintenance fee by nearly $1,000 for each city; $15K installation costs 25A-2 Agreement with Granicus December 19, 2017 Page 3 of 5 per site if two sign up; $1 OK installation cost per site if three sign up; $5K installation cost per site if four sign up; and Hosting a 2018 user group with training/collaboration in Orange County. Breakdown of first year implementation fees, as follow, with a 7% consumer price index increase every year thereafter: Product Quantity Metrics Fees Legislative Management Services Package Standard 1 Each $0.00 Le istar Administration Training Online 4 hours $900.00 Le istar Needs Analysis and Configuration Services 3 Hours $4,800.00 Le istar Project Management and Deployment Services 4.5 Hours $8,100.00 Le istar Training - OnSite Per Day 3 (Days) $5,400.00 Total One -Time Fees $19,200.00 Annual Service Fee: Product Quantity Metrics Annual Costs Le istar Automated Agenda System) Per Year $14,000.00 Webcasting & Archiving Per Year $11,111.64 Minute Maker Per Year $10,815.00 Annual Service Fee $2,500 $35,926.64 STRATEGIC PLAN Approval of this agreement allows us to meet Goal #5. Community Health, Livability, Engagement & Sustainability, Priority #1, Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities. FISCAL IMPACT Funds available for the webcasting and minutes component of the system in the Clerk of the Council Office budget and the balance equally charged to each City Department for a total first year cost of $55,126.64. Funding for future years will be budgeted and available. Department Account CY 2018 CY 2019 CY 2020 City Attorney's Office 01108032-62300 $3,320 $2,500 $2,500 City Manager's Office 01105015-62300 $3,320 $2,500 $2,500 Clerk of the Council Office 01107031-62300 $21,926.64 $13,441.50 16,132.41 25A-3 Agreement with Granicus December 19, 2017 Page 4 of 5 Department Account CY 2018 CY 2019 CY 2020 Community Development 01118810-62300 and 67018843-62300- 14810008001-3090 $3,320 $2,500 $2,500 Finance and Management Services 01110110-62300 $3,320 $2,500 $2,500 Information and Technology Services 10920145-62300 $3,320 $2,500 $2,500 Parks, Recreation and Community Services 01113200-62300 / 90201201102-3000 $3,320 $2,500 $2,500 Personnel Services 01109050-62300 $3,320 $2,500 $2,500 Planning and Building 01116500-62300 01116510-62300 $2,000 $1,320 $2,500 $2,500 Police Department 01114400-62300 $3,320 $2,500 $2,500 Public Works 10117601-62300 $3,320 $2,500 $2,500 $55,126.64 $38,441.50 $41,132.41 a2�20� Maria D. Huizar Clerk of the Council Robert Cortez Deputy City Man City Manager's Office red Mousavipour Executive Director Public Works Agency Candida Neal Acting Executive Director Planning and Building Agency APPROVED AS TO FUNDS AND ACCOUNT: A X -�� Francisco Gutierrez Executive Director Finance & Management Services Agency Sonia Carvalho City Attorney City Attorney's Office Ed-Raya�— Executive Director Personnel Services Agency Rert Z`u 8ch ie e Interim Executiv rector Community Development Agency 25A-4 Agreement with Granicus December 19, 2017 Page 5 of 5 Gerardo Mouet Dave-vdl tin, Acting Police Chief. Executive Director Police Department Parks, Recreating and Community Services Agency 44 kly Jaq# Ciulla Chjbf Information Officer Infbrmiation Technology Exhibits: 1. Agreement 2. Request for Proposal 25A-5 25A-6 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 19�h day of December, 2017 by and between Granicus, Inc., ("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 web -based public agency agenda management software including agenda posting, workflow, archives, and video streaming. B. The City Issued and Request for Proposals for these services in September 2017 and six companies responded. City staff reviewed all six proposals and Consultant's proposal was selected. C. Consultant represents that Consultant is able and willing to provide such services to the City. D. 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 submitted its proposal in response to City's request for proposal for services in September 2017. Consultant's proposal was selected from six proposals submitted. Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described in the scope of services portion of the City's Request for Proposal which is attached hereto as though fully set forth herein and labeled as Exhibit A and Contractor's proposal labeled as Exhibit B attached hereto. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges Identified in Contractor's proposal labeled as Exhibit B and attached hereto. For each one year term of the agreement, the compensation for the agreement shall not exceed the following: Exhibit 1 25A-7 Term Not to Exceed Amount 1/1/18-12/31/18 $35;926.64 1/1/19-12/31/19 $38,441.50 1/1/20-12/31/20 $41,132.41 1/1/21-12/31/21(optional term) $44,011.68 1/1/22-12/31/22 (option term) $47,092.50 Total not to exceed amount for Agreement if all options are exercised: $206,604.73 Consultant has offered a promotional opportunity on the purchase and Installation of Legistar, its software -as -a service solution, if two or more Orange County cities approve a contract before the end of the year. The City of Huntington Beach has already approved a contract and City is waiting to hear from other surrounding cities, on same. Thediscount would be reflected on the 2nd -year invoice. Promotional offer includes: Reduce annual maintenance fee by nearly $1000 for each city; $15K Installation costs per site if 2 sign up; $10K installation cost per site if 3 sign up; $5K installation cost per site if 4 sign up; and Hosting a 2018 user group with training/collaboration in Orange County. c. 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. 3. TERM This Agreement shall commence on January 1, 2018 for a three year term with the option for the City to grant up to two 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 Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws, Consultant 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. 25A-8 S. 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 Consultantshall be provided in a manner consistentwith 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") except as specifically noted in this section. 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 anytime, provided that any such use not within the purposes intended bythis Agreement shall be at City's sole risk. Consultant hereby grants and Customer herby accepts, solely for its internal use, a worldwide, revocable, non-exclusive, non-transferrable right to use the Granicus Products and Services to the extent allowed in the relevant Order, SOW or Exhibit. City shall not: 1. Access or use any portion of Granicus Products and Services, except as expressly allowed by this Agreement or each Order, SOW or Exhibit placed hereunder; 2. Disassemble, decompile, or otherwise reverse engineer all or any portion of the Granicus Products and Services; 3. Use the Granicus Products and Services for any unlawful purposes; 4. Export or allow access to the Granicus Products and Services in violation of U.S. laws or regulations; 5. Except as expressly permitted in this Agreement, subcontract, disclose, rent, or lease the Granicus Products and Services, or any portion thereof, for third party use; or 6. Modify, adapt, or use the Granicus Products and Services to develop any software application intended for resale which uses the Granicus Products and Services in whole or in part. 25A-9 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, resultingfrom 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, and representatives as additional insured(s); (b) be primary and not contributory with respectto insurance or self-insurance programs maintained bythe 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty 25A-10 (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 rightto be paid for its time and materials expended priorto 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. LIMITATION OF LIABILITY a. EXCLUSION OF CONSEQUENTIONAL AND RELATED DAMAGES. UNDER NO CIRCUMSTANCES SHALL CONSULTANT BE LIABLE FOR ANY SPECIAL, INDIRECT, PUNITVE, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, WHETHER AN ACTION IS IN CONTRACT OR TORT AND REGARDLESS OF THE THEORY OF LIABILITY, EVEN IF A PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. FURTHER, CONSULTANTSHALL NOT BE LIABLE FOR: (A) ERROR OR INTERRUPTION OF USE OR FOR LOSS OR INACCURACY OR CORRUPTION OF CUSTOMER DATA; (B) COST OF PROCUREMENT OF SUBSTITUTE GOODS, SERVICES OR TECHNOLOGY; (C) LOSS OF BUSINESS; (D) DAMAGES ARISING OUT OF ACCESS TO OR INABILITY TO ACCESS THE SERVICES, SOFTWARE, CONTENT, OR RELATED TECHNICAL SUPPORT; OR (E) FOR ANY MATTER BEYOND GRANICUS' REASONABLE CONTROL, EVEN IF CONSULTANT HAS BEEN ADVISED OF THE POSSIBILITY OF ANY OF THE FOREGOING LOSSES OR DAMAGES. b. LIMITATION OF LIABILITY. IN NO INSTANCE SHALL EITHER PARTY'S LIABILITY TO THE OTHER PARTY FOR DIRECT DAMAGES UNDER THIS AGREEMENT (WHETHER IN CONTRACT OR TORT OR OTHERWISE) EXCEED THE FEES PAID BY CITY FOR THE CONSULTANT'S PRODUCTS AND SERVICES DURING THE SIX (6) MONTHS IMMEDIATELY PRECEEDING THE DATE THE DAMAGED PARTY NOTIFIES THE OTHER PARTY IN WRITING OF THE CLAIM FOR DIRECT DAMAGES. 9. 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. 25A-11 10. 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 Cityfor 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. 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 a. In General. Consultant understands that its professional responsibility Is solely to City. Consultant represents and warrants that it presently has no interest, and will not acquire any direct or indirect interest, that would conflict with its performance of this agreement. Consultant shall not employ or subcontract with a person having such an interest in the performance of this agreement. b. Subsequent Conflict of Interest. Consultant agrees that if an actual or potential conflict of Interest on the part of Consultant is discovered after award, the Consultant will make a full disclosure in writing to the City. This disclosure shall include a description of actions, which the Consultant has taken or proposes to take, after consultation with the City to avoid, mitigate, or neutralize the actual or potential conflict. Within 45 days, the Consultant shall have taken all necessary steps to avoid, mitigate, or neutralize the conflict of interest to the satisfaction of the City. 25A-12 C. Interests of City Officers and Staff. No officer, member or employee of City and no member of the City Council shall have any pecuniary interest, direct or indirect, in this agreement or the proceeds thereof. Neither Consultant nor any member of any Consultant's family shall serve on any City board or committee or hold any such position which either by rule, practice or action nominates, recommends, or supervises Consultant's performance of the Scope of Work or authorizes funding to Consultant. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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, 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. 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 After the initial one (1) year period, either party may terminate this Agreement upon thirty (90) days written notice to the other party. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant priorto receipt of such notice of termination, subject to the following conditions - 25A -1 3 onditions: 25A-13 a. As a condition of such payment, the City Clerk 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 he 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. 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 waiverof 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 Consultant shall, throughoutthe 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. 20. 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. 25A-14 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 copy to: 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: Mark Hynes, Chief Executive Officer Granicus, Inc. Washington DC Office 1152 15th Street, NW, Suite 800 Washington, D.C. 20005 Fax: 202 407-7501 www.granicus.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 deposited In the United States mail, duly registered or certified, with postage prepaid, and addressed asset 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. 25A-15 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: `.} 0,Wl'a, Laura Rossini, Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA Raul Godinez, II City Manager CONSULTANT: /' 0-- Mark Hya CEO Tax IDH /-/Yy/0138 25A-16 EXH I BIT A SCOPE OF SERVICES 25A-17 Appendix ATTACHMENT 1: SCOPE OF WORK Introduction and Background: The City of Santa Ana is seeking responses to this RFP from qualified vendors to provide Geographic Information System (GIS) Data and Services as described below in three separate Proposal Options. Vendors may choose to propose on as many of the Proposal Options as their firm is capable of delivering. The City will evaluate each Proposal Option separately and choose the vendor or vendors that provide the most quality and value to the City. Example: Vendor X chooses to submit a response for Proposal Option 1. Vendor Y chooses to submit a response for Proposal Options 1 and 2. • The City evaluates the submitted proposals. The City may choose to select: o Vendor X for Proposal Option 1. o Vendor Y for Proposal Option 2. Each vendor must submit a fee proposal for each Proposal Option separately. If a vendor does not submit separate sealed fee proposal for each Proposal Option, the proposal maybe considered non- responsive and it may not be accepted. Each vendor maysubmit a combined fee proposal for all submitted Proposal Options if they believe a cost savings can be achieved by providing all of the services for all submitted Proposal Options. Example: Vendor Z chooses to submit a response for Proposal Options 1 and 2. o Vendor Z must submit: • A sealed fee proposal for Option 1. • A sealed fee proposal for Option 2. o Vendor Z may submit: A sealed fee proposal for Option 1, and 2 with one combined cost. The City also desires to enter into a contract with the selected vendor(s) for an initial term of three (3) years with the option for one, two-year extension. This contract will allow the City to purchase additional data and services from the vendor(s) as needed. City of Santa Ana RFP 17-107 Page 12 25A-18 INTRODUCTION AND BACKGROUND: The City of Santa Ana is located 20 miles south of Los Angeles. Santa Ana is an attractive community that is known for its unique businesses and strong community ties. The City of Santa Ana was Incorporated in 1869 and operates as a Charter City with a seven (7) member Council and Council/Manager form of government. Currently, the City does not have an agenda management system. Staff members may submit reports and attachments for upcoming meetings to be reviewed and approved using standard email system. Following review and approval, the Clerk of the Council staff uploads the approved reports onto Access database that is used as workflow system. When the agenda packet is complete, it is manually added to the City of Santa Ana's Electronic Document Management System (EDMS), Laserfiche. After agenda packets are created, they are manually uploaded into Granicus. Granicus provides video streaming services of City Council Meetings and audio recordings for all board/commission meetings in addition to council committee meetings. Meetings may be viewed/heard live or on the City's website. During City Council meetings, Clerk of the Council staff performs time stamping. The packets for City Council and all other legislative meetings may be accessed using Granicus. Meetings are all paperless: Council Members and board/commission members may access the packet during meetings using this !Legislate or by accessing from the City's website. Notes taken on a personal device in the iLegislate app can be accessed using another device by logging into one's account. SCOPE OF WORK: The following scope describes the City's ideal automated agenda workflow and video streaming/archiving solution. Proposals may: 1. Combine automated agenda workflow and video streaming and archiving; 2. Be limited to automated agenda workflow; or 3. Be limited video streaming and archiving. If the proposal includes both automated agenda workflow and video streaming and archiving, each component must be capable of being purchased and implemented independent of the other component. Proposal pricing should indicate total pricing for each individual component. Proposals that offer discounted pricing for purchasing both automated workflow and video streaming services shall be indicated in the cost proposal. A. Automated Agenda Workflow The ideal automated agenda workflow program should have the following features and functionality: 1. Customizable Workflow—the system allows the workflow to be customized as needed City of Santa Ana RFP 17-107 Page 13 25A-19 and allow for different workflows to be used for different departments or meeting types. 2. Email Notifications — send email notifications when an item has been approved, rejected, needs furtherwork, orwhen a reviewer has an item to approve. The system should also include an option to send reviewers and submitters reminders when they have outstanding items to do. 3. Web Access—the program should be accessible via the web, so that users may submit, review, and approve/deny items from the web. Web access should be compatible with common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. 4. File Upload Options — the program should allow users to upload different file types, including Word documents, PDF, Excel, and image files. 5. Preparing & Editing Agenda Staff Reports — the program will allow users to prepare reports outside of the program, using programs such as Microsoft Word, then allow users to upload reports in Word or PDF file format. The program will also allow reviewers to make edits to reports. If reports are submitted as Word documents, the reviewer should have the ability to download the report, make changes, and upload the edited document. 6. Reviewer Options — reviewers in the workflow should have the option to provide comments and feedback to submitters as well make changes to reports or attachments. Item History — the system should document the progress of an item as it moves through the workflow, including when an item was submitted, reviewed, rejected, approved, and any comments provided by reviewers. 7. Export to Single PDF Document —the program should export the agenda packet into a single PDF document. 8. Agenda in Word Format — the program should allow the agenda for a meeting to be exported to Word document. 9. Templates —the program should include the option to create a template for agendas. The program should allow the City Clerk to easily modify existing templates or create new templates as needed. The option to integrate templates for staff reports will be considered favorably. 10. Agenda Reporting—the program should have the ability to generate reports of agenda items by Council meeting dates. For example, a future Council item report that shows upcoming meeting dates and the items tentatively planned for those dates. 11. Export to Laserfiche — the program should be able to easily integrate with the Laserfiche enterprise content management system. The proposer is responsible for verifying Laserfiche licensing and functionality. City of Santa Ana RFP 17-107 Page 14 25A-20 B. Video Streaming & Archiving The ideal program should have the following features and functionality: Live & On Demand — the program should allow videos to be available for live meetings and on demand from a desktop or mobile device. The program should automatically compensate video quality according to the bandwidth of the receiving device to ensure stable viewing. Additionally, viewers should be able to view meeting videos from common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. 2. Agenda Packet — the corresponding agenda packet should be viewable while watching meeting videos. The program should provide full text search of all agenda packet materials. 3. Indexing — the program should allow videos to be indexed while the meeting is happening. The program should also allow indexing so that links from the agenda will take videos to the corresponding portion of the meeting video. 4. Archive Integration — the program should allow the City's existing videos to be integrated into the program. The City has videos for City Council meetings and audio files for council committees and boards/commissions or roughly 150 meetings. 5. Browser Compatibility — the program should be compatible with common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. All programs (Automated Agenda Work Flow and Video Streaming Archiving) should include the following: C. Accessible through Mobile Devices Allow Council Members, Commissioners, staff, and the public to access the agenda, agenda packet and attachments, and meeting videos through a mobile device, whether through the agenda workflow or video streaming side of the program(s). The mobile access should allow users to view agendas, staff reports, and attachments. If the program allows users to take notes that can be accessed on different devices, please note. D. Analytics Collect web analytics of public viewing and accessing agendas, agenda packets, and meeting videos. E. Support&Training The proposal should include in-person administrator training and user training for City staff members who will be using the program. The proposal should include the option for support on an ongoing basis, including after-hours support. Access to a support "knowledge base" for general or technical inquiries City of Santa Ana RFP 17-107 Page 15 25A-21 is also desired. F. Technical Considerations Santa Ana is open to either an on premise solution or a cloud/hosted solution. Current technical environment consists of: • Windows 7 and Windows 10 PCs • Microsoft Office 2010, 2013, 2016, but planning on migrating all to 2016 this year. • VMWare virtual server environment • Microsoft Exchange Server 2010, but planning upgrade to Exchange 2016 this year. • Laserfiche EDMS 9.2, Laserfiche Forms 10.2 The ideal program will be compatible with and will not require upgrades to the existing systems. The proposed solution must allow delegate users and groups, as well as security access that is authenticated against the City's Active Directory for single sign -on. The proposal should include long-term warranty for all system hardware, if applicable, and ongoing support and maintenance of any software. G. Anticipated Timeline The ideal program will be functional with all staff and administrator training completed by the end of December, 2017. City of Santa Ana RFP 17-107 Page 16 25A-22 EXHIBIT B FEE PROPOSAL 25A-23 G GRANICUS Quote Number: Q-15812 Quote Prepared On: 12/5/2017 Quote Valid Through: 11/22/2017 Payment Terms: Net 30 Procurement Vehicle Direct In Support of: Santa Ana. CA Granicus Contact: Name: Josh Humi Phone: +17182080144 Email: joshua.humi@granicus.com The Agreement shall commence on the date this document is signed and continue for 3 years. j . 1 m. ,.^f`J `'+�", r�"�ia�?i.•�..,.3 ' 3 +a��°'^»a^-Wi;� ��,.r r'�i �.�v.� x Product Name Product Description Invoice Quantity One -Time Open Platform Open Platform is access to MediaManager, Schedule 1 Each Total Legistar Needs Implementation includes: Milestones 24 Hours $4,800.00 Analysis and • Access to an implementation consultant Configuration These are able to be published and services until project acceptance • Access to existing Web -based recorded trainings around standard account functions and capabilities • Up to five two-hour needs analysis calls with a business analyst The implementation process takes three to six months, on average, depending on the availability of stakeholders. Legistar Project Legistar Project Management and Milestones 36 Hours $8,100.00 Management Deployment Services is the professional and Deployment service time for deploying a Legistar services system. Legistar - Onsite Legistar - Onsite Training is for onsite Milestones 3 Days $5,400.00 Training training for Legistar, which allows clients to have a Granicus trainer onsite to show them how to use the system. Legistar Admin - Legistar Admin - Online Training Milestones 4 Hours $900.00 Online Training is for online training for Legistar Administration, which allows clients to have online sessions with a Granicus trainer to learn how to use the system. TOTAL: $19,200.00 Product Name Product Description Invoice Schedule Quantity Annual Total Open Platform Open Platform is access to MediaManager, Annual 1 Each $3,386.64 Suite upload of archives, ability to post agendas/documents, and index of archives. These are able to be published and accessible through a searchable viewpage. Q-15612 :1215/2017 Page 1 of 4 25A-24 ect G PSuppomant arta An a,rCA GRAN I C U S In Support of: Santa Ana, CA Product Name Product Description Invoice Quantity Annual Schedule Total Gracious Encoding Granicus Encoding Appliance Software (GT) Annual 1 Each $2,472.00 Appliance Software This includes the LiveManager Software (GT) solution where webcasts are started/ stopped, agendas amended and indexed, votes and attendance recorded, and minutes created. Meeting Efficiency Meeting Efficiency is a hybrid Software- Annual 1 Each $10,815.00 Suite as -a -Service (SaaS) and Hardware -as -a - Service (Haag) solution that enables government organizations to simplify the in -meeting management and post -meeting minutes creation processes of the clerk's office. Ey leveraging this solution, the - client will be able to streamline meeting data capture and minutes production, reducing staff efforts and decreasing time to get minutes published. During a meeting, record roll calls, motions, votes, notes, and speakers, all indexed with video. Use the index points to quickly edit minutes, templates to format in Microsoft Word or HTML, and publish online with the click of a button. Meeting Efficiency includes: • Unlimited user accounts • Unlimited meeting bodies • Unlimited storage of minutes documents -Access to one Gracious platform site • Access to the LiveManager software application for recording information during meetings • Access to the Word Add-in software component for minutes formatting in MS Word if desired -One MS Word or HTML minutes template (additional templates can be purchased if needed) Government Government Transparency are the live in- Annual 1 Each $5,253.00 Transparency Suite meeting functions. Streaming of an event, pushing of documents, indexing of event, creation of minutes. Q-15812: 12/5/2017 Page 2 of 4 25A-25 G GRAN 'p\ I 1 I Procurement Vehicle: Direct G I\ A 1 V I C �d S In Support of Santa Ana CA Product Name Product Description Invoice Schedule Quantity Annual Total Legistar Legistar is a Software -as -a -Service Annual 1 Each $14,000.00 $ 11,572.0 $ 12,382.09 (Seas) solution that enables government Government Transparency Suite $ 5,620.71 $ 6,014.16 Legistar organizations to automate the entire Legislative process of the clerk's office. By leveraging Legietar, the client will be able to easily manage the entire legislative process from drafting files, through assignment to various departments, to final approval. Legistar includes: • Unlimited user accounts • Unlimited meeting bodies and meeting types • Unlimited data storage and retention • Configuration services for one meeting body\type • One Legistar database • One InSite web portal • Design services for one agenda report template • Design services for one minute's report template TOTAL: $35,926.64 Product Name Year Year Open Platform Suite $ 3,023.7 $ 3,877.36 Granicus Encoding Appliance Software (GT) $ 2,646.G41 $ 2,830.19 Meeting Efficiency Suite $ 11,572.0 $ 12,382.09 Government Transparency Suite $ 5,620.71 $ 6,014.16 Legistar $ 14.980.Gq $ 16,028.6 TOTAL $ 38,441.501 $ 41,132.41 ����,��S,Ixtz,/rh ��.^it`�I�.e.�:r'a�.z. � v,._r::;� .��.. ..lu ��`51`n�.s.�i„A.��..G�rv'..✓Lay..�:uaSWi�,._:a.._�5*3��:S:�a�`r'r??�:.i.�e',,i:Y_stcf.:s�i.�.tl ROL • All fees are due at the beginning of the period of performance. Any lapse in payment may result in suspension of service and will require the payment of a setup fee to reinstate the subscription. • This quote is exclusive of applicable state, local, and federal taxes, which, if any, will be included In the Invoice. It is the responsibility of Santa Ana, CA to provide applicable exemption certificate(s). • Upon the effective date, this Agreement shall supersede and replace any previous agreement between the parties. All prior agreements are hereby void and of no force and effect. • If Client's solution requires any onsite training, Client agrees to pay travel expenses for Granicus Q-15812:12151201 i employees not to exceed $2,000.00 per trip. Page 3 of 4 25A-26 GGRANICUS Procurement Vehirle. Dlfe(:t In Support of Santa Ana. CA i ✓Z Y.r �T_ R. �'T 3 N` f3 '? 5 "Jh a'.ZT�3`�` Signature: Name: Title: Date: Name: Phone: Email: Address: Page 4 of 4 25A-27 Billing Iniorrhation Q-15812: 12/5/2017 EXHIBIT C CERTIFICATIONS 25A-28 ATTACIIMENT 3: CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code section 112 and Public Contract code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid Is not made In the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put In afalse or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to out in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not In any manner, directly or Indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone Interested In the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged Information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, orto any member oragentthereofto effectuate a collusive or sham bid. Note; The above Non -collusion Affidavit is part of the Proposal. BIDDERS are cautioned that r9aldng a false4certifcation may subject the certifier to criminal prosecution. Signed State of Colorado County of Denver Subscribed and sworn to (or affirmed) before me on thls 23rd day of October , 2017, by Jason Hetcher, Chief Operating Officer proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me ' KATAIAt1 p, WILLIAMS U7ARY PUBLIC O �-LC r � i��L SATE OF i;OLORA00 NOT Y ID T.B084033fiB3 Notary Public Slgnatu re Notary Public Seal <AYO 'S3&ONE%fIREB NOVEMBER]TBMl city of Santa Ana RFP 17-107 Page 26 25A-29 NON -LOBBYING CERTIFICATION 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 any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for Influencing or attempting to influence an officer or employee of any 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, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in conformance with its instructions, This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered Into, Submission of this certification is a prerequisite for making or entering Into this transaction Imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure, The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be Included in all lower tier subcontracts, which exceed $100,00 nd that all chs breclplents shall certify and disclose accordingly. Signed: r Title: Chief Operating Officer Firm: Gronicus, Inc. Date: October 23, 2017 City of Santa Ana RFP 17.107 Page 27 25A-30 NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows; The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, Including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2 The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultantshall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice In conspicuous places available to employees and applicants for employment. 4 The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all Information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6 In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said 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 invoked as provided In Executive Order 11245 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. City of Santa Ana RFP 17-107 Page 28 25A-31 7. The Consultant shall Include the portion of the sentence Immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor Issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that In the event the Consultant becomes involved In, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter Into such litigation to protect th@ Interests of the United States, 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties Imposed for a violation of the Ch iter. Signed: 29 374 If I Title: Chief Operating Officer Firm: Granicus, Inc. Date: October 23, 2017 City of Santa Ana RFP 17407 Page 29 25A-32 ORIGINAL G GRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Cover Letter To Whom this May Concern, Thank you for providing Granicus with the opportunity to continue to support your critical legislative processes. We look forward to building upon our five-year relationship with the City of Santa Ana. In our Scope of Work section we will describe in detail why Legistar is the best fit for Santa Ana; however, I would like to take a moment to address some of the challenges you describe in the Introduction and Background section of the RFP: • Granicus is the only solution that fully Integrates with your current video and EDMS. You mention numerous points in the agenda process where files are downloaded/uploaded. By choosing Legistar you can keep your current products and eliminate any uploads or downloads. Not only is this more efficient, but it will also increase accuracy by eliminating any duplicated data entry. Moreover, you will avoid the expense and time required to replace your video or EDMS system. Council can continue to use !Legislate. By installing Legistar, Council will not need to learn a new system for viewing their agendas on tablets. Changing in - meeting software can often lead to interrupted meetings and complaints from council members happy with the current system. Our solutions are stable and Industry-leading products. This year numerous agenda management solutions have been purchased by other companies (Novus/BoardSync). This will not happen with Legistar because it is Granicus' core product with more than 20 of the top 30 cities in the country using it. You will continue to see more consolidation in the coming years but you can rest assured that we would never sell Legistar. granicus.com I info@granicus.com Exhibit 2 25A-33 page 1 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving • Leading technology that Is consistently updated. An early version of Legistar invented agenda management 30 years ago. Over that time technology has changed dramatically and Legistar has always lead that change. We are an agile development shop which means every four weeks we release new features and fix any issues. We have all our developers in the United States and you have access to a whole team that can support your technology needs. Whether that is your customer success manager whose only goal is to help you get the most from your products, direct access to the product manager for feature requests, a large customer care team and your strategic account manager to help you clarify your future goals. Not to mention Granicus University which consists of our online video library, monthly trainings and best practices. Strong California presence. Currently more than 345 of Granicus' clients are based in CA with many of them in Orange County. By continuing to work with us. you can not only leverage our support team but also work with your neighbors to learn best practices and other tips. This concentration in California means Granicus stays on top of legislation that may require new software features. We feel privileged to partner with California and to provide software, hardware, infrastructure, services, and expertise to quickly adopt to any new legal requirements. It is our goal to help your government build trust with citizens, reduce staff time spent on processing meetings, and engage citizens in new ways. Granicus is your one stop shop for all your pre, during and post meeting needs, with one invoice and one customer care to call for support. We look forward to continuing our critical relationship Santa Ana --a vital part of the Granicus family. Sincerely, Joshua Hurni, Client Executive Josh uc.hurni@aranicus.com Granfcus' statements regarding its plans, directions, and intent are subject to change or withdrawal without notice at Granicus' sole discretion. The information mentioned regarding potential future products is not a commitment, promise, or legal obligation to deliver any material, code, or functionality. Unless otherwise stated, this proposal is valid for 120 days. granicus.com I info@granicus.com 25A-34 page 2 GG R A N ICU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Table of Contents Contents CoverLetter................................................................................................................................... 1 Tableof Contents......................................................................................................................... 3 FirmInformation............................................................................................................................4 GranicusManagement Team................................................................................................ 5 Description of Proposed Solution......................:........................................................................ 7 GranicusOpen Platform.......................................................................................................... 7 Webcasting...............................................................................................................................8 MeetingEfficiency.................................................................................................................. 10 AgendaManagement.......................................................................................................... 11 Legistar......................................................:..............................................................................12 Scopeof Work.........................................................................................................................21 KeyStaff....................................................................................................................................... 26 Implementation &Training........................................................................................................27 PriceProposal.............................................................................................................................. 45 Software & Hardware Requirements .......................................................................................46 Support. Maintenance. & Upgrades .......................................................................................46 SecurityOverview...................................................................................................................49 Rightsto Data & Content..........................................................................................................50 ContractTermination................................................................................................................. 50 BusinessLicense..........................................................................................................................50 StandardAgreement.................................................................................................................50 References..................................................................................................................................59 SupplementalMaterials............................................................................................................. 60 granicus.com I info@granicus.com 25A-35 page 3 25A-36 G GRANICUS Firm Information RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Strea Granicus provides technology that empowers government organizations to create better lives for the people they serve. By offering the industry's leading cloud -based solutions for communications, meeting and agenda management, and digital services to more than 3,000 public sector organizations, Granicus helps turn government missions into quantifiable realities. Granicus products connect more than 150 million people, creating a powerful network to enhance government transparency and citizen engagement. By optimizing decision-making processes, Granicus strives to help government realize better outcomes and have a greater impact for the citizens they serve. As a company, Granicus helps empower some of the most creative people in the world who innovate within complex public sector organizations. We help make policies more effective and to transform the citizen experience so that everything from road closures to fostering programs are better communicated, understood, and ultimately successful. Granicus was founded in 1999, and in late 2016, merged with GovDelivery (also founded in 1999). While Granicus had traditionally been focused on innovation in the legislative and rule-making process, GovDelivery led the way in transforming how governments communicate with the public on a day-to-day basis to support everything from flu shot programs to new veterans benefits. The two companies' missions aligned perfectly to cover the full range of government's mission - to make the rules and laws we live by while delivering services that bring value to the public. This powerful alignment allows us to bring even more scale and innovation to the clients we serve. Washington D.C. Denver 1152 15th Street NW, Suite 800 707 17th Street, Suite 4000 Washington, DC 20005 Denver, CO 80202 Main: 202.407.7500 Main: 720.240.9586 Fax: 202.407.7501 Fax: 720.501.5171 St. Paul UK 408 St. Peter St, Suite 600 The Beehive, City Place, St. Paul, MN 55102 Gatwick, RH6 OPA Main: 651.726.7309 Main: 0800.032.5769 Fax: 651.665.0943 Website: www.granicus.com Dun & Bradstreet #: 12-910-6469 granicus.com I info@granicus.com page 4 25A-37 GG R AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving GRANICUS MANAGEMENT TEAM Mark Hynes - Chief Executive Officer Mark currently serves as CEO of Granicus, the leading provider of cloud -based government software solutions. Prior to Granicus and since 2010, Mark served as Chief Strategy and Development Officer as well as President, Technology Services, for Altisource, a public real estate and mortgage technology and services company. Before joining Altisource, he served as President of Digi -Net Technologies, Inc., an early pioneer in marketing analytics software -as -a -service solutions. Mark also co-founded Xevo, Inc., a leading provider of service provisioning technologies to application service providers, where he held the position of Chief Operating Officer. Mark began his career with Bain & Company as a consultant. He holds a Bachelor of Business Administration from James Madison University and a Master of Business Administration from Harvard University. Jason Fletcher - Chief Operating Officer Jason is passionate about instilling a culture of high performance with a team focused on continual improvement, individual ownership and intellectual curiosity. Jason believes strongly in building product that is inspired by and provides deep value to the Granicus client base. Jason's primary goal is aggressive and strategic growth, keeping Granicus a celebrated leader in government technology. A Denver native, he graduated from the Leeds School of Business at the University of Colorado Boulder. Over his 17 -year career, Jason has successfully guided key teams for major organizations, including as President of CII, an organization that experienced a fourfold rate of growth under his stewardship. Bob Ainsbury- Chief Product Officer A Silicon Valley technologist with roots in engineering and a rich history in high growth companies of all sizes. His business and technology perspectives have been quoted in the Wall Street Journal, The Financial Times, on CBS Radio, and on National Public Radio. Steve Ressler - Chief Marketing Officer and President of GovLoop Steve is the CMO of Granicus and the Founder and President of GovLoop.com, which connects and fosters collaboration among more than 250,000+ members of the government community. Steve is a third -generation public sector leader, and spent six years in roles in the federal government. Steve was a member of the 2015 class of Presidential Leadership Scholars. granicus.com j info@granicus.com 25A-38 page 5 G GRAN f C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Eric Gibson - Chief Finance Officer As the Granicus Chief Financial Officer, Eric is a client -focused executive with a proven track record leading and managing change and impacting business results by leveraging a broad experiential base of strategic planning, financing, acquisitions, financial management, and process improvement. Prior to coming to Granicus, Eric served as an Executive Vice President and CFO for Dimension Data. Howard Langsam - Executive Vice President of Sales Howard Langsam is Executive Vice President of Sales at Granicus and is responsible for the company's growth across all product lines and markets. Howard brings to this role more than 20 years of sales and leadership experience in technology companies of all sizes. Prior to Granicus, Howard served as SVP of Public Sector for NTT DATA, one of the world's leading technology services companies, where he led the State and Local Government business unit to triple in revenue during his 6 -year tenure. His earlier roles spanned high-growth tech startup Vastera; IBM, the largest tech company in the world; and Accenture, one of the world's leading consulting firms. Carrie Clsek- Vice President of Human Resources Carrie leads recruitment and employee experience at Granicus. She brings a passion for creating highly -engaged and customer -focused teams to Granicus and has a track record of supporting the professional development of Granicus team members. Carrie has been leading human resources in growth oriented technology companies since 1999 and has been working with Granicus since 2008. She has guided integration efforts through five acquisitions. Carrie was recognized with the Twin Cities Business Wonder Woman award for innovative leadership at Granicus and in the broader business community in 2017. granicus.com I info@granicus.com 25A-39 page 6 GG R A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Description of Proposed Solution Granicus is pleased to present the below proposed solution of new technology and expert professional services to provide your city with a solution that meets and exceeds the requirements set forth In this Request for Proposal. Our 100% cloud -hosted software solutions were designed specifically for governments like yours to spend less time managing the manual artifacts of the legislative process and more time engaging important stakeholders in productive ways. We make this possible by providing our clients with all the hardware and software necessary to streamline and automate everything from online video streaming to paperless agenda creation and publication. Additionally, our user-friendly and easy -to -deploy software solutions were built to make Installation and deployment as effortless as possible. Below please find a description of each of the proposed Granicus Suites, as well as a narrative of our implementation methodology, timeline of milestones, and a support and training overview. GRANICUS OPEN PLATFORM The Granicus Open Platform is the cloud -based foundation for all Granicus applications. It allows government organizations to manage and store an unlimited amount government public meeting data. It is the core of our content management, administration and distribution tools and includes free access to our APIs and SDKs, helping you seamlessly connect your Granicus solution to systems in place. The Granicus Platform includes: The Granicus Open AN and SDK We can provide a fully documented and supported Application Programmatic Interface (API) and Software Developer Kit (SDK). This open architecture enables customers and developers to seamlessly integrate existing or future enterprise systems with Granicus. Developers typically use the API to add, update, extract, delete and ultimately customize how information is presented. We believe open systems and interoperability are critical components of any modern software solution. Granicus is committed to building open architectures, standards, and lasting partnerships with industry leaders. We want to offer clients the most complete solutions on the market, without forcing them into a single system for all enterprise tasks. granicus.com I info@granicus.com 25A-40 page 7 GGRAN I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving WEBCASTING The Webcasting suite gives your citizens greater access to public meetings and records online. Take the next step towards transparency by streaming meetings and events live, linking related documents to your video and providing advanced searching of archives. Granlcus Webcasting gives you unlimited cloud bandwidth and storage as well as local live and on -demand streaming. This solution also allows you to connect agenda data to tablet devices to review agendas and supporting documents, take notes and more through the !Legislate@ application. Give citizens convenient access to live and archived " streaming through yourwebsite • Reduce public inquiries with searchable, self-serviceL�F access online =_ .__-_-.. • Import agendas and index video live to ur"" eliminate hours of work • Manage and distribute unlimited meetings and events—all completely automated • Reach a broader audience - integrate closed captions with video • Understand and measure public participation with in-depth video analytics Easy -to -Use Public Website Publish live and archived videos to a media portal on your website to make it easy for the public to access your content. Enable audiences to share videos over social networking sites or through email to drive greater visibility and viewership. Mobile -Enabled Delivery The Government Transparency Suite allows citizens to view videos, agendas, minutes, and supporting documents on mobile devices. By providing live and on -demand streaming via mobile devices, you will be able to reach the broadest audience possible at all times. "We had resistance from members of our staff who did not want to change their in - meeting process, so we needed to make sure that any integration we built was as seamless as possible and did not affect workflows." Karen Rodriguez, Senior Systems Analyst II, City Clerk Systems Division, Los Angeles, CA granicus.ccm I info@granicus.com 25A-41 •.•-: G R A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Agenda Index Points Deliver a rich user experience by synchronizing and cross-linking materials to the video. Citizens can watch indexed videos, browse agendas, and view supporting materials— staff reports, memos, and ordinances --all within a single multimedia player. watch those discussions Advanced Search "Drill Down" Empower residents to find the information they need through a self-service search engine. Search across public meeting archives—meeting or event data, including: agendas, minutes, notes, motions, votes, and captions. With advanced filters for date range, data type, and more, the public is able to accurately define their search criteria to find the information they need. Downloadable Media & Alerts: • DOWNLOADABLE MEDIA: Offer downloadable podcasts for citizens. Media files can be easily delivered as downloadable video (MP4) formats. Reach more citizens using mobile devices and popular media and social media networks. • RSS: Viewers can setup RSS subscriptions to receive automatic notifications when the most recent content is available: specific files, agendas or minutes. This feature simplifies the ability for citizens to get real time updates straight to their inbox. USER SEARCH ALERTS: Just as RSS subscriptions allow residents to receive updates on specific information, our user search alerts update citizens as information they care about becomes available in the system. "Granicus is my frontline for research requests. Now that we've built 2 or 3 years -worth of meetings in there and all the items attached to it, it's very, very comprehensive and puts it all right in front of you quickly." Bill Dow, Records Manager / Deputy City Clerk Keene, NN granicus.com I info®granicus.com 25A-42 page 9 ' o Supporting documents are displayed alongside the video. r Viewers --► can use jump -to points and links within documents to watch those discussions Advanced Search "Drill Down" Empower residents to find the information they need through a self-service search engine. Search across public meeting archives—meeting or event data, including: agendas, minutes, notes, motions, votes, and captions. With advanced filters for date range, data type, and more, the public is able to accurately define their search criteria to find the information they need. Downloadable Media & Alerts: • DOWNLOADABLE MEDIA: Offer downloadable podcasts for citizens. Media files can be easily delivered as downloadable video (MP4) formats. Reach more citizens using mobile devices and popular media and social media networks. • RSS: Viewers can setup RSS subscriptions to receive automatic notifications when the most recent content is available: specific files, agendas or minutes. This feature simplifies the ability for citizens to get real time updates straight to their inbox. USER SEARCH ALERTS: Just as RSS subscriptions allow residents to receive updates on specific information, our user search alerts update citizens as information they care about becomes available in the system. "Granicus is my frontline for research requests. Now that we've built 2 or 3 years -worth of meetings in there and all the items attached to it, it's very, very comprehensive and puts it all right in front of you quickly." Bill Dow, Records Manager / Deputy City Clerk Keene, NN granicus.com I info®granicus.com 25A-42 page 9 G G R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving MEETING EFFICIENCY The Meeting Efficiency Suite is a live meeting workflow solution that combines minutes with a meeting's recording. Capture and publish minutes, saving staff time and cutting administrative costs. Record roll-call,x�_��_ agenda items, speakers, motions, s �•" _•>�; votes, and notes through a simple eaacu interface. After the meeting, finalize �^ y Nswron: minutes quickly and easily in Microsoft WordTM. With VoteLog, •�� allow the public to track legislation, ordinances, and even voting ryc--- `� K' member records through your — - �` website. - - • Meeting preparation tools • Live minutes automation • Quick notes and text expansion • Minutes editing and publishing • Generate linked minutes granicus.com I info@granicus.com 25A-43 page 10 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving AGENDA MANAGEMENT Legislative workflows often require a significant commitment from clerical staff. Drafting legislation, getting items approved, compiling information from various departments, and creating an agenda are integral parts of the pre -meeting process, yet can be very time-consuming. Then, there are live and post -meeting processes that staff must follow to ensure an accurate account of a meeting. With so many moving parts, steps can be overlooked or items can be inadvertently dropped. Using a completely automated, round-trip legislative workflow solution can save staff countless hours while helping them maintain legislative accuracy. Granicus' Agenda Management tools allow government staff to easily manage the entire legislative and agenda creation process from start to finish. From drafting files, through assignment to various departments, to final approval, these software tools are designed to reduce workloads and create a more efficient method for managing decisions. • Eliminate manual workflows. Create and manage items for agendas in one system. • Automate agenda item approvals with electronic approval processes. • Simplify agenda creation—automatically compile files and supporting materials for upcoming meetings. • Organize, store and retrieve electronic documents. • Easily track legislation and generate historical reports for staff, citizens and council. Legistar helps governments organize, store, and easily retrieve items for agenda creation all in one system. Legistar also maintains all legislative data and tracks each item's path through the entire process. Both systems allow staff to quickly and easily publish agenda and minutes documents to the Web, helping ensure records availability and promote government transparency. "We had an increased commitment to transparency. When we made the shift to Legistar, it was so easy to become transparent. So, with transparency obligations, it made sense to unify everything." LyndsyWillette, Agenda Coordinator, Commerce City, CC granicus.com I info@granicus.com 25A-44 page 11 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving LEGISTAR Legistar, the first software to be designed specifically to handle government's legislative process and in use by more than 300 public organizations, has proven to handle the most complex and multi -phase agenda and legislative processes with a powerful yet user-friendly interface. With Legistar, item approvals are managed _ ' automatically; approvers are notified when y it's their turn to review a submitted item. G L ' Seamlessly allow for Stott and elected "'•. v =-.- officials to review agendas and supporting '� °� • " "^•" documents, take notes, bookmark items ofr _ interest and more through the !Legislate application's supported systems. naakawwe rowanmwee ung Capture all meeting actions after the meeting in the public record; plus, organize and store electronic documents of any file format in one repository. All documents are automatically tagged and indexed, making search and retrieval easy. Legistar allows you to track legislation from inception through approvals and actions taken by all acting bodies. • Agenda item drafting • Electronic approval process • Agenda packet generation and publication • Document organization, storage, and retrieval • Continuous legislative workflow • Legislative data tracking and search Key Benefits INTUITIVE USER INTERFACE: Legistar provides an intuitive and automated methodology for managing legislative information. The home screen displays the appropriate tools based upon that individual's security permissions, the most recent agendas, minutes, and legislative files that the user has been working on as well as any items pending their approval. This main menu provides immediate. access to general reports as well as instant search features. EASY -To -USE HELP FUNCTIONALITY: Granicus provides comprehensive online help features at all screen levels that is logically organized and easy-to-use. Help information dynamically displays topics related to the current function the user is working on and allows the user to do general searching for help information. granicus.com I info@granicus.com 25A-45 page 12 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Users can find topics from the tree menu or keyword search and find "how to" instructions on all functions. The "Help" key provides categories including topics specific to the form or function they are using, technical support for error message capture, the ability to submit a new feature request (Wish List), and other help functionality. "Help" consists of both tutorial assistance and helpful tips that have primarily been provided by other Gronicus users. Legislative Files CREATE A LEGISLATIVE ITEM: Legislative files are the building blocks of the Legistar system. These items ® °smn`=I`"i"u are used to build all documents assembled and published through the system (agenda items, resolutions, minutes, etc.). — The system generates a unique ID tracking . number for each new legislative file. Separate, automatic numbering may also be used for enacted ordinances, resolutions, general file numbering, or the operator may enter a unique identifier. Numbering syntax is definable by you to match your current numbering style. Legislative files may include: • File Type and current File Status • File Number and/or separate Legislative ID • Introduction, Final Action and Variable Dates • Associating Costs of File • Controlling Committee • Legislative Sponsor or Author (one or more) • Requesting Department/Organization • Variable User Defined Data and Date Fields • File Name and Description (variable length) • Indexed Keywords (one or more) All data fields are automatically indexed and may be used individually or in combination with other fields for fast information retrieval. With dynamic entries, search is easy. Users can instantly search all text fields for a name, term or other identifier in one step. Legistar creates and maintains a dynamic link between the legislative tracking data described above and the text for each action file. Commonly used search criteria can be saved for each user. The text of each legislative file may include the title, an analysis or summary, the body of the document, a fiscal note, staff recommendations, suggested motions, and any other supplementary notes and background information. granicus.com I info@granicus.com 25A-46 page 13 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving DRAFT LEGISLATIVE TEXT: Legistar includes a complete file text -drafting tool -set component that allows you to store and use any number of different templates. The drafting editor includes a complete set of drafting tools, including predefined boilerplates available for a specific file type. Additionally, a user can draft a new legislative text based on text from a different file altogether (e.g., a similar past file, an outside Word file, or other imported text). Other standard features include: file version control, user definable data fields, spell checking, and more. The drafting tool -set includes: • Any number of predefined drafting templates, • Text File import for outside documents, • User defined library of pre -defined text sections for commonly required legal definitions and other, • Spell check library with user defined exception dictionary, • Active common phrase library for repetitive sentences, descriptions and other • Auto save and section recognition function to automatically populate the Agenda Title and other appropriate sections, • Version control management including saving Word Track Changes edited versions • Option to include plain text or text attributes (i.e. underline, strike-thru, font color, etc.) in published agenda. Additionally, you can define certain required fields that must be completed in order to process the request, such as a dollar amount. This control not only facilitates the pre - introduction review steps, but it helps reduce any redirects associated with missing or incorrectly drafted information. Smart Calendar Management Overview: The Legislative Management Suite provides you with the ability to schedule, store, and track all dates, times, and locations of meetings. You can schedule as for into the future as needed and publish all dates to your public legislative portal. This feature also allows users to manage items and to automatically include them on the appropriate agenda without having to predefine agenda dates for all meeting bodies. The unique Smart Calendar feature makes certain that items are never lost or forgotten and are always acted on by the appropriate body. granicus.com I info@granicus.com 25A-47 page 14 GGR A N I C v s RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving PREPARING AGENDA ITEMS BASED ON DATES/SCHEDULES: The system automatically places an item on the appropriate meeting body's calendar based on the controlling body and the status of the item. This feature gives users flexibility in managing item placement as well as guaranteeing items will be acted on and never misplaced. When assigned, file agenda dates are color -coded to provide a quick visual reference that indicates past, present, or future agenda assignment dates. The calendar function provides three options for placing an item on on agenda: 1. The requestor may open the calendar icon and select a specific date, if known 2. The requestor may enter a general date and the system will automatically place the item on the next appropriate meeting agenda on or after that date 3. The requestor may leave the agenda date field blank and the system will automatically place the item on the next appropriate meeting agenda once all the approval criteria is met An item will not be placed on the agenda unless the appropriate approvals have been logged or until an authorized individual sets the status of another defined item. CALENDAR PUBLICATION: End users have access to a dynamic calendar of all meetings or other scheduled meetings and events. Staff, board/committee members and citizens can view schedules along with agendas and minutes through an Internet browser. The fully integrated calendar uses a dynamic link to the meeting records stored in the Granicus system. Simply add a new meeting and the scheduled event automatically appears in the online meeting calendar for the correct date. Users can search available data, sort the calendar by a particular meeting body, and view events for a particular day, month, or an entire year. All related public file information is automatically included and - dynamically linked to the agenda and record in this single on-line screen form. Staff and citizens can drill down to individual file information, attachments, related files, sponsors, previous actions and vote information and much more. granicus.com I info@granicus.com page 15 25A-48 N✓~ lmYEi 4.ve• ,490 p•ry µv � vnuu +.n+u� n•.+e• 6yY vMiu e.te�n ,,yp,y, r.m• n.ve.n n.•.so- granicus.com I info@granicus.com page 15 25A-48 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Automated Agenda Assembly CUSTOMIZE AGENDAS FOR EACH MEETING BODY: Leglstar includes the ability to automatically generate and format unlimited agendas for any meeting body including boards, councils, committees, commissions, and departmental agendas. The entire agenda assembly methodology is identified and defined by your current workflow during implementation. The system will automatically gather and compile the appropriate data for each — - meeting body's agenda. PAPERLESS AGENDA APPLICATION, (LEGISLATE®: Allows staff and elected members to review paperless agendas, supporting documents, and take personal notes all through 10S, Android and Windows systems cvay.�._...,. .s. ieoareiwmrmm m. Legislative Task and Activity Tracking In addition to the agenda item approval tracking, Legistar tracks the path of each ordinance, resolution, and other legislation with a series of historical records marking the life of the issue through the legislative process. Each historical record can be described by legislative actions: referrals, responses on a referral, reasons that an action was taken, or any discussions or background information that led up to that action. For each tracked agenda item, the system captures the following data in the historical record: • Meeting body or department taking the action • Action taken and date • Verbatim action notation and full minutes text Version of the text file that was current when the action was taken • Target of the action (e.g., to whom a referral is being sent) • Date returned (used for referrals) • Due date, if any (used for referrals) Mover, seconder, and individual votes Individual routing entries, version changes, referrals to departments, final approvals, and other file events are automatically captured by the system and can be queried, displayed, and included in appropriate reports. granicus.com ) info@granicus.com 25A-49 page 16 GGR A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Online, Legislative Portal and Public Access Standard Website Integration: Granicus is committed to ensuring your citizen -facing web - portal fits into your website seamlessly. Legistar ` ` `- offers a standard research portal for legislative _ Information that matches the look and feel of - - your branded website and Is open to the public. Publishing your public records to an easy -to- --- navigate page can significantly reduce public information requests as well as costs associated with copying and printing. This public -facing portal provides a complete browser -based solution for organizing, searching, printing, and otherwise accessing public information. No additional work is required by the clerk's office, IT or other departments to maintain the page, significantly reducing the administrative burden of updating public information and responding to information requests. The legislative web portal includes the following features: LEGISLATION RESEARCH: Allow staff and public users to access legislative file information and reports through the Internet. All publicly available legislative files, supporting documents and attachments, important dates, and more can be accessed online at any time. MEETINGS CALENDAR: Provide public access to a dynamic calendar of all board, committee or other scheduled meetings and events. Staff, board members, and citizens can view schedules, agendas, and minutes through an Internet browser. Users can search available data, sort the calendar by a particular meeting body, and.view events for a particular day, month, or an entire year. Plus, the PDF Server automatically converts Excel, Word, MS Office documents, and other file attachments to PDF documents. DEPARTMENTS AND PEOPLE: The "Departments and People" tab allows constituents to search, view, or contact council, committee and other elected and/or appointed members through your website. Staff, board members and citizens can view representatives' information, open positions, terms of office, vacancies, and more. As you add or change office membership or personal information, updates automatically appear on your public legislative portal under the "Departments and People" tab. granicus.com I info@granicus.com 25A-50 page 17 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving STREAMING VIDEO OR AUDIO: Many government agencies now maintain digital video or audio recordings of their public meetings. Take recordings a step further and provide the public with a recording indexed to an agenda or minutes record. PUBLIC AND PRIVATE ACCESS: You have a great deal of flexibility in configuring the system's appearance. Configurations Include the website header, graphics, fonts, skins, and messages that match the look and feel of your website. The legislative portal is accessible through an Internet browser and is intuitive and flexible. The general public, businesses, media, and others can access, search, track, and share public data through this page. Authorized staff members may have extended functionality through a secure personal login. Authorized users have the ability to add attachments to a meeting agenda record, including approved minutes of the previous meeting to add to the current meeting. Search Legislation and Subscribe to Online Notifications The public legislative portal includes a number of intuitive search and communications tools that allow users to be notified when information of interest is published. Users can also provide feedback to representatives or share search results over social networking sites. Subscription and share features include: RSS: Our web portal also includes standard RSS feeds. Staff and citizens can subscribe to content and receive real-time notification when it's updated for things like legislative history changes to items. SOCIAL BOOKMARKING: Social bookmarking is available for board members and users, allowing them to store, organize, search, and manage agenda bookmarks. Our customized web portal allows users to save webpage links that they want to keep and/or share. These bookmarks can be saved privately, shared only with specified people or groups, or shared inside certain networks or another combination of domains. ADVANCED SEARCH: Granicus provides advanced search capabilities modeled after Google Search. Granicus search allows you to search all legislative data, including meeting videos if available. Filter searches by date, item status, department or meeting body, and more. Results take the user to the specific record or the point in the meeting video when the searched topic was discussed. The search engine allows users to perform an unlimited number of search parameters at the same time and do complex inquiries in a single pass. These search qualities are available both internally for staff and to the public via your online legislative research portal. granicus.com I info@granicus.com 25A-51 page 18 GR A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving System Reports Reports are automatically generated based on the data entered into the system. Once data has been added, the system uses its built-in sort and formatting routines, defined by the documents they are intended to produce, to abstract the correct information, and produce all requested documents in specific formats: agendas, certifications, notices, and minutes. Some standard report types are listed below. The operator may also specify the printing of subsets of pages of a report, rather than the entire report. • Hearing notices Subject matter index • Agenda item reports • Matters introduced Voting record • Matter summary • Meeting attendance Mailing labels • Item master • Meeting calendar Agenda and Minutes reports Certified copy • Pending Items list Meeting referral notice Signature cop! These and other system generated reports may be previewed, directed to a printer, saved to a local directory, or exported in PDF or HTML format for later use or transmission to other departments via electronic mail or media transfer. In addition, a number of table and status reports are included with the system and can be generated on demand by system users. Automated Minutes Annotation The minutes feature within Legistar was designed by clerks to significantly reduce the time it takes to create and publish minutes. All actions, votes, and notes can be captured for a seamless, round-trip workflow. Staff can publish draft minutes to the organization's website within minutes of a meeting's adjournment. Pius, the system can reassign agenda items to the appropriate department based on the actions taken during a meeting, saving staff time and reducing errors. Administrative Controls, Featuring Remote Administration Legistar has very defined administration privileges with hundreds of security settings. Security features can be defined to a single field, user, or group and include permissions that can be applied to all data and activities. Granicus provides full system administration experts who will work with you to provide administration remotely, in addition to training you on your own administration control settings. Our administrative and technical support is available to you 24/7,365 days a year to assist you in configuring your system. Administration is easily managed through intuitive forms and table -controlled settings that do not require technical expertise. Even users with limited technical skills can be trained on how to create and manage security and other administrative modifications. granicus.com I info@granicus.com 25A-52 page 19 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Define an unlimited number of security groups, each having its own settings and names. For example, a "Legal Office" group could have "add" and "edit' access but permission to generate an agenda or take minutes. Secured and non -secured statuses on different file types, agendas, and minutes allow you to further define the records that can be viewed. For example, the Finance Department could be restricted to creating/editing agendas and minutes only for the Finance Committee. You can control access to most functions, including viewing, editing, and deleting records and agendas and printing reports. Security can be set for all of the following functions: • Viewing, adding, editing and deleting files • All text functions • Editing fields within the Legislative File screen • Adding, viewing, or editing agendas and minutes • Viewing or editing legislative history lines granicus.com I info@granicus.com 25A-53 page 20 GR A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving SCOPE OF WORK The following scope describes the City's ideal automated agenda workflow and video streaming/archiving solution. Proposals may: 1. Combine automated agenda workflow and video streaming and archiving; Granicus Response: Standard feature of the proposed combined systems. The Granicus Platform allows different components to seamlessly talk and share content without integration effort or cost. This also provides easy functional scalability as desired. 2. Be limited to automated agenda workflow; or Granicus Response: Although Legistar can be a stand-alone solution for agenda workflow -we are proposing that the City utilize Legistar in conjunction with our video streaming and archiving application for a fully integrated solution. 3. Be limited video streaming and archiving. Granicus Response: although our video streaming and archiving offering can be a stand-alone solution, we are proposing that the City utilize Legistar in conjunction with these services for a fully integrated solution. If the proposal includes both automated agenda workflow and video streaming and archiving, each component must be capable of being purchased and implemented independent of the other component. Proposal pricing should indicate total pricing for each individual component. Proposals that offer discounted pricing for purchasing both automated workflow and video streaming services shall be indicated in the cost proposal. Granicus Response: as noted above - our software con be utilized as stand-alone products, or as a comprehensive solution to the City's needs. A. Automated Agenda Workflow The ideal automated agenda workflow program should have the following features and functionality: 1. Customizable Workflow - the system allows the workflow to be customized as needed and allow for different workflows to be used for different departments or meeting types. Granicus Response: Standard feature set of Legistar. 2. Email Notifications- send email notifications when an item has been approved, rejected, needs further work, or when a reviewer has an item to approve. The system should also include an option to send reviewers and submitters reminders when they have outstanding items to do. Granicus Response: Standard feature set of Legistar. granicus.com I info@granicus.com 25A-54 page 21 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 3. Web Access - the program should be accessible via the web, so that users may submit, review, and approve/deny items from the web. Web access should be compatible with common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. Granicus Response: Standard feature of Legistar. 4. File Upload Options - the program should allow users to upload different file types, including Word documents, PDF, Excel, and image files. Granicus Response: Standard feature of Legistar. 5. Preparing & Editing Agenda Staff Reports - the program will allow users to prepare reports outside of the program, using programs such as Microsoft Word, then allow users to upload reports in Word or PDF file format. The program will also allow reviewers to make edits to reports. If reports are submitted as Word documents, the reviewer should have the ability to download the report, make changes, and upload the edited document. Granicus Response: Standard function is included that allows approvers with appropriate permissions to download a text file locally, make edits off-line and upload the edited version back to the file. This includes the ability for the System Administrator to elect to use either MS Word or the built-in RTF editor. Either choice will host City definable text templates for drafting reports. 6. Reviewer Options - reviewers in the workflow should have the option to provide comments and feedback to submitters as well make changes to reports or attachments. Item History - the system should document the progress of an item as it moves through the workflow, including when an item was submitted, reviewed, rejected, approved, and any comments provided by reviewers. Granicus Response: Standard feature set of Legistar. An unlimited number of pre- defined workflow sequences may be stored and adapted to standard or ad-hoc approval workflows. This includes the ability to route, escalate, delegate, pause and request additional review time, and more. All actions are recorded in a detailed transaction log and all approvers are notified of status and actions taken by others for complete transparency. 7. Export to Single PDF Document - the program should export the agenda packet into a single PDF document. Granicus Response: Standard feature of Legistar. 8. Agenda in Word Format - the program should allow the agenda for a meeting to be exported to Word document. Granicus Response: Standard feature of Legistar. granicus.com I info@granicus.com 25A-55 page 22 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 9. Templates - the program should include the option to create a template for agendas. The program should allow the City Clerk to easily modify existing templates or create new templates as needed. The option to integrate templates for staff reports will be considered favorably. Granicus Response: Standard feature of Legistar includes the qbility to define and unlimited number of meeting body agenda formats. Heading definitions, font, point size and color can be unique for each body as well as committee or department logo and agenda definitions. All aspects of agenda creation can be managed by the City System Administrator without needing to contact Granicus. 10. Agenda Reporting - the program should have the ability to generate reports of agenda items by Council meeting dates. For example, a future Council item report that shows upcoming meeting dates and the items tentatively planned for those dates. Granicus Response: Standard feature of Legistar. The system includes over 30 standard file and agenda reports including user level ad-hoc content selection. 11. Export to Laserfiche - the program should be able to easily integrate with the Laserfiche enterprise content management system. The proposer is responsible for verifying Laserfiche licensing and functionality. Granicus Response: Full comprehensive Granicus/Laserfiche integration module is included in this proposal. B. Video Streaming & Archiving The ideal program should have the following features and functionality: 1. Live & On Demand - the program should allow videos to be available for live meetings and on demand from a desktop or mobile device. The program should automatically compensate video quality according to the bandwidth of the receiving device to ensure stable viewing. Additionally, viewers should be able to view meeting videos from common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. Granicus Response: Standard feature of our Video Streaming & Archiving system. 2. Agenda Packet - the corresponding agenda packet should be viewable while watching meeting videos. The program should provide full text search of all agenda packet materials. Granicus Response: Standard feature of our Video Streaming & Archiving system. 3. Indexing - the program should allow videos to be indexed while the meeting is happening. The program should also allow indexing so that links form the agenda will take videos to the corresponding portion of the meeting video. Granicus Response: Standard feature of our Video Streaming & Archiving system. granicus.com I info@granicus.com 25A-56 page 23 G GR A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 4. Archive Integration - the program should allow the City's existing videos to be Integrated into the program. The City has videos for City Council meetings and audio files for council committees and boards/commissions or roughly 150 meetings. Granicus Response: Standard feature of our Video Streaming & Archiving system. 5. Browser Compatibility- the program should be compatible with common browsers, such as Internet Explorer, Firefox, Chrome, and Safari. Granicus Response: Standard feature of our Video Streaming & Archiving system. All programs (Automated Agenda Work Flow and Video Streaming Archiving) should include the following: C. Accessible through Mobile Devices Allow Council Members, Commissioners, staff, and the public to access the agenda, agenda packet and attachments, and meeting videos through a mobile device, whether through the agenda workflow or video streaming side of the progrom(s). The mobile access should allow users to view agendas, staff reports, and attachments. If the program allows users to take notes that can be accessed on different devices. Granicus Response: Standard feature set of our proposed systems. D. Analytics Collect web analytics of public viewing and accessing agendas, agenda packets, and meeting videos. Granicus Response: Standard feature of our Video Streaming & Archiving system. E. Support & Training The proposal should include in-person administrator training and user training for City staff members who will be using the program. The proposal should include the option for support on an ongoing basis, including after-hours support. Access to a support "knowledge base" for general or technical inquiries is also desired. Granicus Response: Standard feature of our Video Streaming & Archiving system. F. Technical Considerations Santa Ana is open to either an on -premise solution or a cloud/hosted solution. Granicus Response: Our mission is to help state and local government agencies utilize technology to help them achieve their mission without wasting precious resources, which is why we strongly recommend customers choose a software -as -a -service solution (SaaS). The ultimate benefit of SaaS is that customers can spend less time on undifferentiated tasks, and more time focusing on the core competencies that add value to their organizations. granicus.com I info@granicus.com 25A-57 page 24 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving With Granicus SaaS offerings, you have the added benefit of our partnership with Amazon Web Services (AWS). The AWS virtual infrastructure has been designed to provide optimum availability while ensuring complete customer privacy and segregation. AWS's highly secure data centers use state-of-the-art electronic surveillance and multi -factor access control systems and maintain strict, least - privileged -based access authorizations. Their environmental systems are designed to minimize the impact of disruptions to operations, and their multiple geographic regions and availability zones allow customers to remain resilient in the face of most failure modes, including natural disasters or system failures. AWS manages over 1,800 security controls to provide an optimally secure environment for all of their customers. Current technical environment consists of: • Windows 7 and Windows 10 PCs • Microsoft Office 2010, 2013, 2016, but planning on migrating all to 2016 this year. • VMWare virtual server environment • Microsoft Exchange Server 2010, but planning upgrade to Exchange 2016 this year. • Laserfiche EDMS 9.2, Laserfiche Forms 10.2 The ideal program will be compatible with and will not require upgrades to the existing systems. Granicus Response: We do not anticipate any compatibility issues with the City's current technical environment. The proposed solution must allow delegate users and groups, as well as security access that is authenticated against the City's Active Directory for single sign -on. Granicus Response: When Administrators choose to configure Active Directory Authentication for Legistar, a run-time query is made against the customer provided Active Directory endpoint and the current user credentials (signed in to the Windows machine) that is attempting to sign -in to Legistar is validated against AD as a valid and active user account. Once authenticated against AD, the users authorization (Roles and permissions) are determined via the permissions configured for that user In Legistar The proposal should include long-term warranty for all system hardware, if applicable, and ongoing support and maintenance of any software. Granicus Response: Please see the Support and Maintenance section of our proposal for more information on this requirement. granicus.com I info@granicus.com 25A-58 page 25 G G R A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Key Staff Granicus Response: Please see the following section 4. Project Teams: 4.1. Granicus Project Team, for detailed information on who Granicus assigns to a project team. Please note that although we cannot assign specific personnel prior to a contract award, Josh Hurni will continue to be your primary point of contact throughout the project. granicus.com I info@granicus.com 25A-59 page 26 GG R A N I C U S RFP NO.: 17-1 G7 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Implementation & Training Please note that since the City is a current Video Streaming S Archiving customer, we have not included an implementation timeline for these services. The below information is for Legistor implementation only. 1. INTRODUCTION AND BACKGROUND This Scope of Work ("SOW") defines deliverables, responsible parties and timelines for the implementation, and post -implementation service and support, of the legislative management solution provided by Granicus, Inc. ("Granicus") to the City of Santa Ana ("Client"). This SOW is an integrated component of the final contract between Client and Granicus. Client has selected Granicus to provide a(n) Agenda Management (Legistar) solution. Business objectives to be achieved by this solution are as follows: Open Platform and Government Transparency with Legistar • Reduce public inquiries with searchable, self-service access online Allow the public to track legislation, ordinances, and voting member records through Client website Provide historical tracking and reporting on all legislation initiated in the solution Legistar • Streamline business process and workflow throughout the legislation process: from drafting through adoption and filing • Perform tasks associated with legislation drafting, review, approval, and filing process electronically • Automate the legislative workflow with electronic approvals and signatures All Solutions • Receive training for all members of the organization through a "train -the -trainer" concept • Substantially reduce hardcopy printing of documents related to meetings and legislation granicus.com I info@granicus.com 25A-60 page 27 GGR A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 2. PROJECT SCOPE 2.1. Granicus Modules Included in this solutlon, Client will receive the following Granicus modules: LEGISTAR is Granicus's end-to-end legislative management solution. Features include: a. Live recording of actions, notes, speakers, and attendees will be through LiveManager. These recordings import directly and automatically into Legistar (user will initiate this action), automating the minutes recording process. b. Granicus will configure Legistar and Media Manager to allow for an import and export process to occur. Granicus will perform one or more tests after Legistar is configured to confirm data Imports and exports from Legistar and Media Manager. c. Automation of the following business processes to support a streamlined workflow, with modifications to achieve the best practices as necessary: I. Legislation Drafting and Submission: when departments, agencies or Council Member initiate legislation II. Legislation Review and Approval: draft legislation delivered to departments/agencies or meeting body for review and approval 111. Agenda Management: create and publish meeting agendas, provide supporting material, and manage status of agenda items (e.g., withdrawal, held, etc.) IV. Meeting Management: create meeting minutes, provide supporting material, and manage status of meeting items V. Public Portal: publish items (e.g. agendas, minutes, statuses) and video to Client public portal VI. Amendments: can be recorded at every point of the legislative process VII. Bill Closeout: record approvals, electronic signatures (Approval Tracking System) and digital filing VIII. Version Control: full version control of legislative files (not attachments) throughout the legislative cycle d. Electronic legislative history tracking and reporting: ability to research previous and current legislation created within the system and supporting material, the actions taken on the item/current status, and report on it. e. Granicus provides a selection of standard formatting for a variety of reports/documents (e.g. agenda packets, minutes, meeting calendar, attendance report, etc.). Granicus will deliver these reports/documents as part of the functionality of the system. Utilization of any or all of these reports is at Client's discretion. f. Samples of the reports/documents with the default configuration can be viewed at: http://tinyuri.com/oanlamr. These reports/documents can be modified at Client's request at no additional cost if the requested modifications do not granicus.com I info@granicus.com 25A-61 page 28 G G R AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving require changes to the application's core code. Changes that require core code modifications are considered out of scope. g. Development of up to 25 workflows for the primary meeting body that can be used concurrently, allowing unique departmental processes to be tracked electronically. Additional workflows can be created by internal users and training will be provided on how to do so during System Administration Training. h. Creation of an InSite webpage which can be customized, as desired, in the following ways: I. Insertion of a header/banner image at the top of InSite (Client can specify or Granicus can pull an image off of its homepage). The image should be at least 100px high, logos are preferable. II. ii. InSite color theme. Please select one from the following options presented here: http://tiny.cc/o9l e5x. III. iii. Removal of any of the default tabs (e.g., People, Council, and Departments) IV, iv. Change of any of the captions/labels (e.g., changing "Legislative Text" to read "Staff Report" or changing "Calendar" to read "Schedule") V. v. Remove fields or captions VI. vi. For existing Clients: a tab created to point to the existing view pages VII. vii. Note: InSite is not developed or supported when used as an iFrame. Individual colors in the text/design elements cannot be individually changed. InSite must use the theme system. 2.2. Licensing, Training, Managed Services, and Support a. The licensing for this solution is considered to be a site license. b. Software configuration and installation as included in the upfront and managed service fees c. Installation of the software system into one environment d. Configuration, support, and software updates for one meeting body are included in the monthly managed service fees. A meeting body is understood to mean a body that requires any combination of the following: I. A unique agenda template II. A unique minutes template III. Any other unique template IV. A separate meeting type, title, or purpose Additional meeting bodies are considered out of scope. e. Integration and validation with existing Granicus solution and content f. Go -Live support g. Training Classes. Granicus will provide online training to Client's designated System Administrators and on-site training for user training, which will be administered in a train -the -trainer approach. granicus.com I info@granicus.com page 29 25A-62 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving h. Access to reference and support materials and documentation 1. API Integrations. Granicus makes available the use of its various APIs to Its Clients to enable them to extend their Granicus data in a variety of ways. Examples include leveraging the AN to Import data from a third -party system into Granicus and, conversely, exporting data to a third party system. Granicus will provide its APIs, as well as any existing documentation, to Client upon request. Any modification to the AN is considered out of scope. 2.3. Additional Components, Not Included (For Legistar Only) 1. MUNICODE INTEGRATION: Legistar-Municode integration so that so that legislative searches conducted on Client's InSite page can return data from both Client's Legistar database and Municode. 2. LASERFICHE INTEGRATION: Laserfiche Integration so that files can be both retrieved from and deposited into the Loserfiche system (Laserfiche required). 3. An ADDITIONAL DATABASE can be purchased if an additional training or QA environment is required. 4. ATS (APPROVAL TRACKING SYSTEM/ONLINE APPROVAL SYSTEM): (Note: This a default component of the Legistar system that allows for electronic approval to be used in the various workflows and is optional.) Granicus will review the approval tracking sequences with Client on Needs Analysis Call #3 and configure up to 25 complete sequences. Client's project team is responsible for configuring additional approval tracking sequences if more than 25 are required. granicus.com I info@granicus.com 25A-63 page 30 G G R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 3. OUT OF SCOPE This section captures the most common out -of -scope scenarios that Granicus encounters during the lifecycle of any given project. Granicus will not engage in any out -of -scope work without prior written approval from Client. Any product change or enhancement not explicitly listed in the project scope in Section 2 is considered out-cf- scope. 1, CREATION OF CUSTOM REPORTS a. A custom report is defined as a report that requires modifications to the core application code in order to achieve a desired format or purpose. b. Examples of out -of -scope custom reports include, but are not limited to: I. Creating a brand new data field that does not exist on any report or existing database II. Having data that displays on one type of report display on another III. Adding a second logo to a report IV. In general, modifications to formatting (font, size, or justifications), or hiding or moving certain data elements on a single report, are not considered custom reports, and are thus considered "in -scope." c. The creation of any custom reports requires a separate assessment and project scope. Billing for custom reports is assessed on an hourly basis at the current professional services rate. 2. AN Integrations a. Examples of out -of -scope AN requests include, but are not limited to: I. Requests to make modifications to API functionality to accommodate any third party integration II. Any feasibility/data gap analysis to determine whether or not an API will be suitable for any Client integration or business need III. Any custom programming/configuration done by a Granicus staff member or contractor to accomplish or in pursuit of accomplishing any AN integration IV. Any request for support regarding a third -party integration not created by Granicus or its contractors V. Any other AN integration not clearly defined by this original scope of work b. Billing for out -of -scope API integrations is assessed on an hourly basis at the current professional services rate. granicus.com I info@granicus.ccm 25A-64 page 31 GG R A N ICU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 3. Data conversion and migration of historical data into Granicus: A data conversion/migration is defined as a service whereby Client requests Granicus to move, convert, upload, or otherwise make available any data not originally generated by a Granicus product to appear or be utilized in Client's Granicus solution. Common scenarios include (but are not limited to): a. Moving previous video data captured by another system or process into the Granicus solution b. Moving previous agenda, minutes, legislative documents or data into the Granicus solution c. Ensuring the video data and meeting documents remain associated with a specific meeting 4. Product changes or enhancements: If Client wishes to make a feature request, it may do so at any time through its Granicus Granicus Project Manager during this implementation. Granicus, at its sole discretion, will then choose whether to and how to implement any given product request. granicus.com I info@granicus.com 25A-65 page 32 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 4. PROJECT TEAMS 4.1. Granlcus Project Team Granicus will assign the following team members to Client's implementation project: PROJECT MANAGER (GRANICUS PM): This is the primary person responsible for the implementation of and adherence to project plans. See below for the full job description. 2. BUSINESS ANALYST (LEGISTAR ONLY): This person leads the customization and set up of the Legistar solution. 3. DESIGNER: The Designer is responsible for customizations and modifications of Granicus products that relate to reports and web design. 4. SOLUTION VALIDATION ENGINEER: This team member is responsible for reviewing Client's technical compatibility with new or existing Granicus solutions. He or she will confirm the solution will work in Client environment and ensure Client will maximize the intended and desired benefits from the solution. 5. PRODUCT TRAINER: The Trainer delivers instructor -led online or in-person training. Granicus reserves the right to make adjustments to the project team roles as deemed appropriate. The Granicus resources assigned to this project will be knowledgeable of the Granicus modules included in the solution and Client's business processes and requirements. These resources shall be fully capable of performing assigned duties, fulfilling project commitments, and communicating with Client team members effectively. granicus.com I info@granicus.com 25A-66 page 33 GGR AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving GRANICUS PROJECT MANAGER RESPONSIBILITIES The Granicus Project Manager will manage the Granicus project team and work with Client's Project Manager to establish a framework for communication, documentation, and reporting to be used throughout the project. The Granicus Project Manager responsibilities include, but are not limited to: 1. Collaborating with Client's Project Manager to establish a project plan, including the project schedule and deliverables 2. Giving Granicus team members a clear understanding of their respective responsibilities throughout the project 3. Managing the activities of the Granicus project team to help maintain on-time completion of deliverables 4. Ensuring Granicus completes all unit and integration testing on all configurations and interfaces prior to training 5. Monitoring the progress of the project and advising Client Project Manager of any risks that could impact an on-time completion of specific tasks and deliverables 6. Maintaining regular communications with Client Project Manager 7. Managing escalations and timely resolution of any issues 8. Managing the approval and timely completion of change orders 9. Maintaining documentation of decisions made, commitments and follow-up items, deliverables, and other items/issues associated with the project for which Granicus is responsible granicus.com I info@granicus.com 25A-67 page 34 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 4.2. Client Project Team Client will assign the following team roles: 1. PROJECT MANAGER (CLIENT PM): This is the main point of contact responsible for the implementation and adherence to project plans. See 4.2.1 below for the full job description. 2. CLERK: It is important that the Clerk is an integral part of the Project Team to be the expert on the legislative process of the Council, from the approval process of legislation to the creation of minutes. This person will also be responsible for indexing the recording during the meeting if video/audio recording is involved, 3. IT LEAD: The IT Lead works closely with the Project Manager to ensure that the solution is deployed properly and helps solve IT issues that might arise. 4. SOLUTION ADMINISTRATOR: The Solution Administrator should be a person who is closely involved with the legislative and meeting processes: from the approval process of legislation to the creation of minutes to the online publication of meetings. The Solution Administrator's responsibilities wIII include, but not be limited to: collaboration with Granicus resources on the project schedule deliverables; and coordination with key stakeholders, representatives, and decision makers. 5. BACKUP SOLUTION ADMINISTRATOR: This Backup Solution Administrator will serve as the backup to the Solution Administrator and preferably has a solid understanding of the legislative and meeting processes of Client jurisdiction as well as a good level of technological skills. 6. (OP GT ONLY) VIDEO INDEXER: Should the solution include video, the Video Indexer will be indexing/time-stamping the video In LiveManager If the Clerk cannot. This person can be from the Clerk's staff or a member of the AN team depending on Client's unique workflow. 7. SUBJECT MATTER EXPERTS (SMEs), including but not limited to: Client Council Secretary, Legislative Analyst (s), and other representatives, as deemed appropriate, from Client Attorney's Office, Mayor's Office, Clerk & Recorder's Office, Budget Management Office, etc. Granicus will work with Client to make adjustments to the project team roles as deemed appropriate. The allocation of Client resources to the project may be variable according to: 1, The duration of the project 2. The level of internal Client agreement 3. The number of customizations required in the solution granicus.com I info@granicus.com 25A-68 page 35 G GRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Client resources assigned to this project shall be fully capable of performing assigned duties, fulfill project commitments and communicate with Granicus team members effectively. CLIENT PROJECT MANAGER RESPONSIBILITIES Client Project Manager shall manage Client's project team and work with the Granicus Project Manager to establish a framework for communication, documentation and reporting to be used throughout the project. Client's Project Manager Responsibilities include, but are not limited to the following: 1. Collaborate with the Granicus Project Manager to establish the project schedule and deliverables 2. Ensure that all members of Client project team have a clear understanding of their respective responsibilities throughout the project 3. Manage the activities of Client's project team and partner resources to ensure the on-time completion of tasks and deliverables; create, maintain/update and complete all required project artifacts and other documentation 4. Monitor the progress of the project and advise the Granicus Project Manager of any risks that could impact an on-time completion of deliverables 5. Manage and track the project budget; flag for the project sponsors if additional funds are needed to complete the project 6. Maintain regular communications with the Granicus Project Manager and Client's project sponsors 7. Ensure that members of the Granicus Project Team have to Client's legislative process documentation and other Client resources to gain a sufficient understanding Client's legislative process and requirements to ensure a successful and effective implementation of the solution 8. Ensure that any customizations to the solution are fully specified and documented 9. Ensure that change orders contain a complete description and specification of the changes required granicus.com I info@granicus.com 25A-69 page 36 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Sfreaming/Archiving 5. PROJECT TIMELINE Work shall be performed according to the target milestone timeline below, based on projects similar to Client's. Timelines may change based on mutual agreement between Client and Granicus. Phase Scheduled Completion 1 Project Start -Up 2 weeks from contract execution 2 Implementation 1-9 week(s) from contract execution 3 Implementation Completion 1-10 week(s) from contract execution 4 Training 11-14 weeks from contract execution 5 Scope of Work Completion 12-15 weeks from contract.execution 6. MILESTONES For each milestone, Client's authorized representative shall give final, written approval that individual deliverables and milestones have been completed. 6.1. Milestone 1: Project Start Up 6.1.1. Staffing and Project Management Success of the project is dependent on both Granicus's and Client's commitment to collaborating and performing the tasks and obligations described in this SOW. Both Granicus and Client shall provide reasonable turnaround times (to be mutually agreed upon) on critical decisions, information requests, and approvals that are required to ensure that project tasks and deliverables are completed on time. 6.1.2. Project Plan Client and Granicus will work together to develop a comprehensive project plan consisting, at a minimum, of the components outlined below which are broken out by responsibility and ownership. DELIVERABLES: 1. Communication Plan: Client and Granicus will collaborate on and document processes to communicate project information to Client and vice versa. The plan, at minimum, should include: a. Regularly Scheduled Status Calls: Members of both Client and 'Granicus project teams should participate in regularly scheduled calls to provide status updates, discuss open issues, project risks, etc. b. Written Status Updates: Both Client and Granicus Project Managers should also provide written status updates at regularly scheduled intervals (e,g., weekly) to an agreed upon distribution of stakeholders, project team members and other appropriate personnel at both Client and Granicus. granicus.com I info@granicus.com 25A-70 page 37 GOR AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving c. Escalations: In the event that the Granicus Project Manager does not respond to Client's needs, Client shall directly contact Granicus's Director of Professional Services (please email implementation@granicus.com to contact the Director of Professional Services). 2. Resource Plan: Client and Granicus will collaborate to compile a list of all personnel from Client and Granicus that are associated with the project. The list should include each person's role in the project and contact information as well as their allocation to the project. 3. Training Plan: Granicus will provide Client with the Training Plan on the Project Kickoff Call. 6.2. Milestone 2: Implementation Granicus will deliver any required and purchased hardware to Client. Granicus will install and configure solution software for Client. Customization and Configuration Design Phase: Granicus will collaborate with Client to develop the architecture and configuration design for each module of the overall solution. Deliverables: a. Architecture Design Document b. Summary of Configuration Design Document Open Platform: The Granicus Open Platform is the cloud -based foundation for all Granicus applications. It allows government organizations to manage and store an unlimited amount of government public meeting data and includes free access to Granicus's APIs and SDKs. The Granicus Open Platform includes the ability to upload and publish content including videos and documents. DELIVERABLES: MediaManager. MediaManager is a web -based platform that allows data to flow among the various Granicus modules included in the solution. For example, agendas created in Legistar can be accessed during meetings via LiveManager and also from mobile devices using the iLegislate app. Also, meeting videos recorded through LiveManager can be trimmed from MediaManager. MediaManager is a hosted on the Granicus cloud, therefore it will not have to be installed on individual user machines. MedlaManager Deliverables: a. Granicus will provide a MediaManager URL (usually clientname.granicus.com). b. Granicus will provide a username and password for the primary stakeholder (usually the Client Project Manager). c. Client will receive a public -facing citizen web portal. granicus.com I info@granicus.com 25A-71 page 38 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Meeting Efficiency (Legistar Clients Only): Legistar clients will have the ability to import data recorded in LlveManager—including motions, votes, notes, and speakers—directly into the minutes in Legistar. Legistar. Legistar is the primary module that makes up the Granicus legislative management solution. It has functionality to draft and submit legislative items, agenda management, automated process workflow and approvals/electronic signatures, and document storage and organization. DELIVERABLES: a. Legistar installation package and instructions b. Needs Analysis Survey c. Based on the information provided in the Needs Analysis Survey, a Granicus Business Analyst will conduct Needs Analysis Calls to configure Legistar in accordance with Client's requirements, including: I. Templates used for data entry (e.g. legislation creation) II. Agenda Templates: Granicus will create and configure meeting agenda templates for one meeting body. III. Legislative and Minutes Templates: Granicus will create and configure one legislative item template and one minutes template. IV. Legislative process workflows V. User groups, roles, and permissions d. Legistar Output (Reports) Review: Granicus will work with Client to determine if standard Legistar output (reports) available from Legistar meet Client's requirements. For any requirements not met, Granicus will work with Client to define any needs that require custom configuration (to exclude customizations that would require changes to Legistar's base code). e. InSite: Granicus will set up an online public portal for Client that allows staff and public users to access meeting calendar/schedule, legislative files, supporting documentation, meeting agendas, minutes and videos at any time (current and past/archived). Users will be able to search, sort and export data to Excel, Microsoft Word or PDF. Designated Client users will be able to'publish meeting agendas and supporting documents, minutes, video, etc., to InSite directly from Legistar (and not via MediaManager). Access to Legistar: Client staff and Council Members who have access to Legistar will be able to access the application from outside of Client's network through a log -in on the InSite page. This will provide access to full functionality in Legistar including the ability to draft, edit, review and approve items, etc. (note that when accessing items via the iLegislate app, users are limited to read-only and bookmaking capabilities). granicus.com I info@granicus.com 25A-72 page 39 G GR AN I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving a. Granicus will create Client's InSite webpage and will customize it to reflect Client's branding limited to: I. Insertion of a header/banner image at the top of InSite (Client can specify or Granicus can pull an image off of its homepage). The image should be at least 100px high, logos are preferable. ll. Creation of standard player page with Client header. III. InSite color theme. Please select one from the following options: http://tiny.cc/o9l e5x IV. Removal any of the default tabs (e.g., People, Council, and Departments) V. Change of any of the captions/labels (e.g., changing "Legislative Text" to read "Staff Report" or changing "Calendar" to read "Schedule") VI. Remove fields or captions VII. For existing Clients: a tab created to point to the existing view pages. Note: InSite is not developed or supported when used as an !Frame. Individual colors in the text/design elements cannot be individually changed. InSite must use the theme system. b. Granicus will present the customizations to Client for approval prior to deployment being considered complete. c. Granicus will enable the publication of agendas, minutes, legislative documents, video, etc., from Legistar to InSite. d. Granicus will enable access to Client's InSite page from Client webpage. 6.3. Milestone 3: Implementation Completion Granicus performs unit and end to end testing as part of the normal development process. Granicus will conduct unit testing and integration testing using the following script for this implementation. (Please note this testing may be limited to one client machine and/or Granicus Encoding Appliance residing at Client.) Client is responsible for all client end-to-end testing. Granicus will resolve all defects and complete any change requests that arise during testing and will review the fixes for all defects with Client. A change request is defined as request to add, modify, or delete a specific unit of functionality from what was documented in the original requirements. A defect is defined as any error, flaw, mistake, failure, or fault that prevents a unit of functionality, or the system, from working as intended, or to produce an incorrect result. Any and all security flaws (in any application layer) shall also be classified as defects. Client will test and sign off on defects as they are resolved. Any presence of defects or process of resolving defects will not impede milestone close out without Granicus's express approval. DELIVERABLE: Written confirmation of the successful completion of testing granicus.com ) info@granicus.com 25A-73 page 40 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 6.4. Milestone 4: Training Granicus will conduct training for Client identified staff that will cover the essential concepts and standard navigation of the solution and tasks related to Client's legislative business processes. Client will utilize a train -the -trainer approach for end user training. Scheduling of all training sessions shall be coordinated with and approved by Client. Granicus will authorize Client to videotape training sessions for internal use and to reproduce any the training materials such as training guides, screenshots, in part or whole, for its own purposes. Training is comprised of the following components, depending on Client's solution: Module or software Solution I Training Provided Legislative Management Admin Training: Two 2 -hour online, instructor -led sessions prior to onsite training. Three days onsite Day 1: Project Overview, Drafter Training, Approver Training, and Agenda Generation Prep Day 2: Agenda Generation, LiveManager, and MediaManager Day 3: Minutes Processing, Workflow Review, and Requirements: 1. Client will ensure that training participants have a working familiarity with the standard Microsoft Windows conventions and terminology. 2. On-site training locations will include one computer for use by each participant. Granicus will provide Client with instructions regarding the set up required for Client computers that will be used in training. Client will prepare all computers per the instructions provided prior to the training class start time. DELIVERABLES: a. Class outline and user roles involved b. Training materials c. Electronic copies of user manuals and quick reference guides for each functional module covered in training granicus.com I info@granicus.com 25A-74 page 41 G G R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 6.5. Milestone 5: Scope of Work Complete Final acceptance will be based on successful testing and implementation of the system, defined as: 1. Integration tested (with ability to provide evidence of testing upon Client's request) 2. End-to-end configuration and functionally tested 6.5.1. DOCUMENTATION Granicus will provide documentation to support the software. Any software tools or utilities that are desirable to tune, test, maintain, or support the software shall be specified by Granicus. Documentation will include but is not limited to: 1. Technical administration 2. Software configuration 3. Technical architecture diagram 4. Data flow diagram 5. Application administrator guide 6. End-user day-to-day operation guide 7. Quick Reference Guides by job function 6.5.2. CLOSE-OUT PROCESS 1. Close out invoicing 2. Finalize and deliver remaining documentation, recorded trainings, etc. 3. Granicus will provide a plan to Client for post -implementation support and maintenance. After Milestone 4: Training, Client will be introduced to assigned Client Success Manager (CSM) who will serve as the primary contact for any issues Client encounters or questions remaining in the first 30 days of solution usage. CSM will educate Client on how best to engage with and access the Granicus Customer Support Team. After the initial 30 -day period with the dedicated CSM, the Customer Support Team will be responsible for assisting Client with any issues, granicus.com I info@granicus.com 25A-75 page 42 GG R A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 7. ASSUMPTIONS This proposal is based upon the assumptions below. If for some reason these assumptions are false, it may result in a scope change and an impact on the proposed project. 7.1. Project Management Assumptions 1. Success of the project is dependent on both Granicus and Client's commitment to collaborating on and performing the tasks and obligations described in this SOW. Granicus assumes that Client will provide reasonable turnaround time (to be mutually agreed upon) on critical decisions, essential information, and approvals that are required to continue with work in progress or that is critical to meeting a deliverable due date. Granicus expects that a decision will be elevated to the appropriate Client management level to make a decision in a timely manner. 2. Client will perform its obligations and render the assistance described in this SOW in a timely manner and in a manner as to adhere to the final schedule. In the event that Granicus is delayed or prevented from performing its obligations, to the extent that the delay is caused by factors beyond the reasonable control of Granicus, including without limitation, the inability of Client to perform its responsibilities (i.e. finalizing the requirements) in a timely manner, Granicus will be entitled to an equitable adjustment in the timetable. 3. Project initiation will occur upon signature of the Agreement by both parties. All dates in this SOW are subject to a mutually agreed upon schedule after execution of the Agreement. 7.2. Technical Assumptions 1. Remote Management: Granicus maintains and monitors the software performance of its solutions. All software patches and Granicus software updates are performed on a determined schedule. Remote support, management, patching, reporting and logging are performed using ScreenConnect. Installation of third party software not specifically approved by Granicus may detrimentally impact the server's performance. In extreme cases, the server may need to be reimaged to restore normal operations; in this case, a reimaging fee may be charged. 2. Software Technical Requirements: The Encoding Appliance and Performance Accelerator are managed through Granicus's hosted software program known as MediaManager. The administration feature in MediaManager is a central hub for preparing and publishing content in Client's Granicus solution. In addition to publishing content, Client can manage user access and view usage reports. granicus.com I info@granicus.com 25A-76 page 43 G G R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving MediaManager administration requires use of a system that meets the following specifications: Computer Windows-based PC Recommended Browser Internet Explorer 9 or newer Internet Access Access to Client MediaManager site (clientna me.granicus.com) MediaManager allows system administrators to have granular control over the actions that users are allowed to perform. In addition to meeting the system requirements that are listed above, each user must have been granted access rights to the tools that they wish to use. 7.3. Scope and Cost Assumptions 1. Both Granicus and Client will follow a Change Order process for handling any work that is not defined in this Scope of Work. The Change Order process is jointly managed by the Granicus and Client Project Managers. All changes must be documented in a Change Log, and approved by both parties prior to work being undertaken. 2. Requested Client changes to the Scope of Work may increase project costs or introduce timeline delays. 7.4. Training Assumptions Client will have appropriate staff members attend and participate in the training sessions as to allow the training sessions to be completed in the time designated in the project plan. It is critical that senior personnel from Client attend all necessary training in that they will be the people that the junior people come to for assistance. 2. Granicus assumes that Client will provide a training facility suitable for those purposes and in a timeframe supported by the project plan. 3. Granicus will train a core group of users onsite. These users will be responsible for educating others within Client organization after formal Granicus training ends (the "train -the -trainer" approach). granicus.com I info@granicus.com 25A-77 page 44 G -R A N I C -U S Price Proposal Implementation Fees RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Annual SaaS Fee :pi 611 '1 0 v 6fwllme� � Legislative Management 1 (Each) $0.00 Services Package Per Year $11,111.64 (Standard) Per Year $10,815.00 Legistar Administration .5 (Hours) $850.00 Training - (Online) (0.5 Days) Legistar Needs Analysis 3 (Hours) $5,700.00 and Configuration Services Legistar Project 4.5 (Hours) $7,650.00 Management and Deployment Services Legistar Training - (OnSlfe) 3 (Days) $5,100.00 Per Da Total 1 Investment $19,300 Annual SaaS Fee :pi ArfnU01' Le,gistar Per Year $14,916.00 Webcasting Per Year $11,111.64 Minutes Per Year $10,815.00 Total Annual Investment $36,842.64 Please note that a group purchasing option is available for cities in Orange County if you are interested in taking part in their contract. *Subject to a 5% annual increase to account for growth in site size and traffic granicus.com I info@granicus.com page 45 25A-78 G G R AN I C U S RFP NO: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Software & Hardware Requirements Please see the prior section 7.2. Technical Assumptions, for this information. Support, Maintenance, & Upgrades our support team includes dedicated personnel to handle direct phone and email support. Clients also have access to the Granicus Help Portal for self -training and issue submission. Security patches and necessary upgrades are scheduled immediately upon discovery (normally within a few hours of being brought to our team's attention). We assist onsite tech staff with all updates as part of the annual maintenance, including new features (as part of our normal ongoing development cycle) for the modules and systems you have purchased. The impact on your staff is normally no more than a few hours. UP -TIME GUARANTEE 99.976 Granicus, Inc., represents and warrants a 99.9% up -time guarantee per month for its hosted services. Granicus, Inc., will provide notification of any system -wide outages within one hour from the time the issue is first recognized by our operations team. Notifications will be posted on status.granicusops.com. Email notifications can be subscribed to from that page. SCHEDULED MAINTENANCE Scheduled maintenance of the Granicus Solution will not be counted as downtime, and will only take place between 9:00 PM and 2:00 AM MST on Fridays. This maintenance window allows Granicus staff to continue to monitor and test the production system through the weekend, ensuring a smooth maintenance deployment. Granicus, Inc., will provide the customer with at least two (2) days prior notice for any scheduled maintenance. All system maintenance will only be performed during these times, except in the case of an emergency. When emergency maintenance is required, the customer will receive as much advance notice as possible. Granicus, Inc., will clearly post that the site is down for maintenance and the expected duration of the maintenance. Notifications will be posted on status.granicusops.com and can be subscribed to from that page. granicus.com I Info@granicus.com 25A-79 page 46 GG R A N I C U S RFP NO,: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving How to contact Granicus The Customer Care staff at Granicus, Inc., may be contacted by the customer via Internet, email, or telephone. CONTACT INFORMATION Online (recommended) Email Phone (for urgent issues) SUPPORT HOURS Regular Hours Prime Hours After Hours Support Weekend On Call www.granicus.com.createacase customercare@granicus.com (877) 889-5495 ext.) 6:00 AM - 6:00 PM MST Monday - Friday 8:00 AM - 6:00 PM MST Monday - Friday 6:00 PM -11:00 PM MST Monday - Friday 6:00 AM - 6:00 PM MST Saturday & Sunday How We Rank Cases PRIORITY 1: EMERGENCY INITIAL RESPONSE: WITHIN 1 HOUR DURING PRIME HOURS Severe application problem that causes productivity to cease for a large number of staff or complete loss of service to either website or intranet (application -related site outage). Examples: • _Web server is running but application is non- functional • SQL -server errors not related to hardware PRIORITY 2: HIGH INITIAL RESPONSE: WITHIN 4 HOURS DURING PRIME HOURS Application/service is available, but in a degraded mode. A work -around is possible or a brief loss of service is acceptable. Impacts only a small group or causes work to cease for an individual. Example: • Site is operational, but search, calendar or other modular functionality is non- operational or impaired PRIOIRTY 3: MEDIUM INITIAL RESPONSE: I BUSINESS DAY Moderate business impact; issues have affected productivity. A work -around may exist or the problem is for a non business -critical task. Examples: • File attachments won't upload • Text is not rendering correctly PRIORITY 4: LOW INITIAL RESPONSE:3 BUSINESS DAYS Limited business impact, Requests can be scheduled. Examples: • Programmatic change to back -end or front-end to improve efficiency • Distribution of all patches and upgrade granicus.com I info@granicus.com 25A-80 page 47 G G R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Do ahy.pa.rts of the NO PRIORITY 1: EMERGENCY product Work? CALL GRANICUS CUSTOMER CARE 1-877-889-5495 OPT, 1 Is your YES a problem limited, to only some parts of the product? Is the system working but not to. your satisfaction? can you, . complete your work ih any capacity at all? YES Initial response within 1 hour during prime hours (M -F 8am-6pm MST) With updates as scheduled with Grancius NO -* PRIORITY 2: HIGH SUBMIT A CASE VIA THE HELP CENTER W W W.GRAN ICUS.COM/C REATEACASE Initial response within 4 hours during prime hours (M -F 8am-6pm MST) with updates as scheduled with Granicus PRIORITY 3: MEDIUM SUBMIT A CASE VIA THE HELP CENTER W W W.GRANICUS.COM/CR EATEACASE Initial response: 1 business day Staff will be notified when Granicus completes the rbpair YES --► PRIORITY 4: LOW SUBMIT A CASE VIA THE HELP CENTER W W W.GRANICUS.COM/CREATEACASE granicus.com I Info@granicus.com 25A-81 Initial response within 3 business days during prime hours (M -F Sam-6pm MST) with updates as scheduled with Grancius page 48 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving SECURITY OVERVIEW Data Center Security Having a robust and secure data center implementation is a necessity, not an option. Granicus Data Centers are designed for reliability and redundancy. Our data centers are guided by a "defense -in-depth" security strategy to ensure reliable access of government data. With a 99.97. uptime, we are confident that customer data are always available. Data Center Requirements Granicus Server Locations • Secure - SSAE-16 Accreditation • Primary Data Center in Ashburn, VA • Reliable Network • Backup Data Center in San Francisco, CA • Data Availability: 99.98% Uptime • Redundant Backups Architecture & Data Center Redundancy The Granicus Primary Data Center is architected with redundant systems to ensure that there is no single point of failure and disruptions have no impact on the availability of Granicus applications. Robust Security Layers Granicus implements a series of protective layers so that no single solution is relied upon to provide security, including: • Hosting facilities that meet or exceed Tier III standards that are engineered to ensure application and data availability and security • Edge -to -edge security, visibility, and carrier -class threat management and remediation. We utilize industry-leading tools to compare real-time network traffic and flag any anomalies such as: Denial of Service (DoS) and Distributed Denial of Service (DDoS) attacks, worms or botnets. • Network issues: traffic and routing instability, equipment failures, or misconfigurations • Hardened, stateful inspection firewall technology • An Intrusion Detection System (IDS) utilizing signature-, protocol-, and anomaly - based inspection methods • 24x7x365 firewall, VPN, and IDS support and maintenance • Security policies and procedures that are constantly maintained, tested, and updated A Security Incident Response team/SSAE-16 accreditation ensures all customer data is secure from any tampering. granicus.com I info@granicus.com 25A-82 page 49 GG R AN I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Rights to Data & Content All data or content generated in or through the proposed solution must be accessible and exportable by the City of Santa Ana at all times in standard format that does not require custom licensing. The proposal should include confirmation that the selected proposer will make data/content accessible and exportable in this manner at all times without cost to the City. Granicus Response: We provide a RESTful WebAPI that allows data to be extracted in and out of the Legislative Management solution in a XML format. Contract Termination Indicate whether the proposer has had a contract terminated in the last five years. Please specify if the contract was terminated for default or some other reason. For the purposes of this RFP, termination for default is defined as notice to stop performance due to a vendor's non-performance or poor performance and the issue of performance either a) was not litigated; b) was litigated and such litigation determined that the vendor was in default; or c) is the subject of pending litigation. Submit full details of the termination, including the other party's name, address, and phone number. Include your position on the matter. The City will evaluate the facts in its sole discretion. If the proposer has not experienced any such terminations in the past five years, please indicate this. Granicus Response: We have not experienced any such terminations in the past five years. Business License The selected proposer must possess a City of Santa Ana business license while conducting work under this contract. The proposal should include confirmation that the proposer agrees to obtain a business license if selected. Granicus Response: We agree to obtain a business license if selected. Standard Agreement Granicus Response: If awarded the opportunity to work with Santa Ana, we request that the City use our Master Services Agreement as the starting point for negotiations with the City. The Agreement has been included in the following pages. granicus.com I info@granicus.com 25A-83 page 50 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Master Subscription Agreement This Master Subscription Agreement ("Agreement) Is made by and between the party procuring Granicus Products and Services ("Customer") and GOVDeliyery, LLC, a Minnesota Limited Liability Company d/b/a Granlcus ("Gmnicus"). Customer and Granicus may each he referred to herein as "Party' or collectively as "Parties". By accessing the Granicus Products and Services, Customer accepts this Agreement. In the event there is a conflict between this Agreement and any other contract Customer has far the Granicus Products and Services ("Contract"), the terms of the Contract shall preva 11. Due to the rapidly changing nature of digital communications, this Agreement may be updated from time to time at Grdnicus'sole discretion. Notification to Customer will he via email or posting to the Granicuswebsite. L Definitions. In addition to terms defined elsewhere In this Agreement, the following terms shall have the meaning specified: "Agreement Term" means the total time covered by the Initial Term and all Extension Terms for each Order, SOW or Exhibit under this Agreement, further specified In Section 7.3 - °Exhibit" means any exhibit referenced herein and attached hereto. "Extensian Term" any term that Increases the length of the Initial Term of this Agreement. "Fees" mean the fees charged by Granicus for the Granicus Products and Services as identified on each Order, SOW or Exhibit and, unless otherwise stated in each Order, SOW or Exhibit, invoiced upon commencement of the Order Term. "Granims Products and Services" means the products and services made available "to Customer pursuant to this Agreement, which may Include Granicus products, services, application software accessible for use by Customer an a subscription basis ("SaaS"), Granicus professional services, content from any professional services or other required equipment components ("Required Hardware"), as specified In each Order, SOW or Exhibit "InitialTerm" shall have the meaning specified In the Order, SOW or Exhibit between Granicus and Customer for the first duration of performance that Customer has access to Granicus Products and Services. "Order" means a written order, proposal, or purchase document In which Granicus agrees to provide and Customer agrees to purchase specific Granicus Products and Services. "Order Term" shall mean the then -current duration of performance Identified an each Order, SOW or Exhibit, for which Granicus has committed to provide, and Customer has committed to pay for, Granicus Products and Services. "Statement of Work" or "SOW" means a written order, proposal, or purchase document that is signed by both Parties and describes the Granicus Products and Services to be provided and/or performed by Granicus. Each Order, SOW or Exhibit shall describe the Parties' performance obligations and any assumptions or contingencies associated with the implementations of the Granicus Products and Services, as specified in each Order, SOW or Exhibit placed hereunder. "Support" means the tingeing support and maintenance services performed by Granicus related to the Granicus Products and Services as specified in each Order; SOW or Exhibit placed between the Parties. 2. Ordering and Scope 2.1. Ordering Granicus Products and Services. The Parties may execute one or more Order, SOW or Exhibit related to the sale and purchase of Granicus Products and Services. Each Order, SOW or Exhibit will generally Include an Itemized list of the Granicus Products and Services as well as the Order Term for such Gmnlcus Products and granicus.com I info@granicus.com 25A-84 August 6, 2017 page 51 G G R AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Services. Each Order, SOW or Exhibit must, generally, he signed by the Parties; although, when a validly -issued purchase order by Customer accompanies the Order, SOW or Exhibit, then the Order, SOW or Exhibit need not be executed by the Parties. Each Order, SOW or Exhlbit dated on or after the Effective Date shall be governed by this Agreement regardless of any pre-printed legal terms on each Order, SOW or Exhibit, and by this reference is incorporated herein. 2.2. Support. Basic support related to standard Granicus Products and Services is Included within the fees paid during the Order Term. Granicus may update Its Support obligations under this Agreement, so long as the functionality purchased by Customer Is not materially diminished, 2.3. Future Functionality. Customer acknowledges that any purchase hereunder is not contingent on the delivery of any future functionality or features. 2.4. Cooperative Purchasing. To the extent permitted by law and approved by Customer, the terms of this Agreement and set forth in one or more Order, SOW or Exhibit maybe extended for use by other municipalities, school districts and governmental agencies upon execution of an addendum or other signed writing setting forth all of the terms and conditions for such use. The applicable fees for additional municipalities, school districts or governmental agencies will be provided by Granicus to Customer and the applicable additional party upon written request. 3. Use of Granicus Products and Services and Proprietary Rights 3.1. Granicus Products and Services. The Granicus Products and Services are purchased by Customer as subscriptions during an OrderTerm specified in each Order, SOW or Exhibit. Additional Granicus Products and Services may be added during an Order Term as described in Section 2.1. 3.2. Permitted Use. Subject to the terms and conditions of this Agreement, Granicus hereby grants during each Order Ter, and Customer herby accepts, solely for Its internal use, a worldwide, revocable, non-exclusive, non-transferrable right to use the Granicus Products and Services to the extent allowed In the relevant Order, SOW or Exhibit (collectively the "Permitted Use°). The Permitted Use shall also Include the right, subject to the conditions and restrictions set forth herein, to use the Granicus Products and Services up to the levels limited in the applicable Order, SOW or Exhibit. 3.2.1. Data Sources. Data uploaded into Granicus Products and Services must be brought in from Customer sources (Interactions with and users and opt -in contact lists). Customer cannot upload purchased contact Information Into Granlcus Products and Services without Granicus' written permission and professional services support for list cleansing. 3.2.2. Content. Customer can only use Granicus Products and Services to share content that is created by and owned by Customer and/or content for related organizations provided that it is insupport of other organizations but not as a primary communication vehicle for other organizations that do not have a Granicus subscription. Any content deemed inappropriate for a public audience or In support of programs or topla that are unrelated to Customer, can he removed or limited by Granicus. 3.2.3. Granlcus Communications Suite Subscriber Information 3.2.3.1. Data Provided by Customer. Data provided by Customer and contact Information gathered through Custamers own web properties or activities will remain the property of Customer (°Direct Subscriber"(, including any and all personally Identifiable information (Pit). Granicus will not release the data without the express written permission of Customer, unless required by law. 3.2.3.2. Data Obtained through the Granlcus Advanced Network 3.2.3.2.1. Granicus offers a Saa5 product, known as the Communications Cloud, that offers Direct Subscribers recommendations to subscriber to other Granicus customer's digital communication (the "Advanced Network" ). When a Direct Subscriber signs up through one of granicus.com I info@granicus.com 25A-85 August 6, 2017 page 52 GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving the recommendations of the Advanced Network, that subscriber is a "Network Subscriber" to the agency it subscribed to through the Advanced Network 3.2.3.2.2. Access to the Advanced Network is a benefit of the Communicatlons Claud subscription with Granicus. Network Subscribers are available for use only while Customer is under an active subscriptlun with Granicus. Network Subscribers will not transfer to Customer upon termination of any Granicus Order, SOW or Exhibit. Customer shall not use or transfer any of the Network Subscribers after termination of Its Order, SOW or Exhibit placed under this Agreement All Inforr etlon related to Network Subscribers must be destroyed by Customer within 15 calendardays of the Order, SOW or Exhibit placed under this Agreement terminating. 3.2.3.2.3. Opt -In. During the last 10 calendar days of Customer's Order Term for the terminating Order, SOW ar Exhlbit placed under this Agreement, Customer may send an opt -In email to Network Subscribers thatshall Include an explanation of Customers relationship with Granicus terminating and that the Network Subscribers may visit Customers website to subscribe to further updates from Customer in the future. Any Network Subscriberthat does not opt -In will not he transferred with the subscriber list provided to Customer upon termination. 3.2.4. Advertising. Granicus Products and Services shall not be used to promote producrs or services available for sale through Customer or any third party unless approved In writing, in advance, by Granicus. Granicus reserves the right to request the details of any agreement between Customer and a third party that compensates Customer for the right to have Information Included in Content distributed or made available through Granicus Products and Services priorto approving the presence of Advertising within Granicus Products and Services. 3.3. Restrictions. Customer shall not: 3.3.1. Access or use any portion of Granicus Products and Services, except as expressly allowed by this Agreement or each Order, SOW or Exhibit placed hereunder; 3.3.2. Disassemble, decompfle, or otherwise reverse engineer all or any portion of the Granicus Products and Services; 3.3.3. Use the Granicus Products and Services for any unlawful purposes; 3.3.4. Export or allow access to the Granicus Products and Services In violation of U.S. laws or regulations; 3.3.5. Except as expressly permitted in this Agreement, subcontract, disclose, rent, or lease the Granicus Products and Services, or any portion thereof, for third party use; or 3.3.6. Modify, adapt, or use the Granicus Products and Services to develop any software application Intended for resale which uses the Granicus Products and Services in whole or in part. 3.4. Customer Feedback. Customer herby grants to Granicus an Irrevocable, non-exclusive, perpetual, royalty -free transferrable license, with right to sublicense, to use and incorporate Into the Granicus Products and Services any suggestion, enhancement, request, recommendation, correction or other feedback provided by Customer relating to the use of the Granicus Products and Services. B.S. Required Hardware. For Required Hardware purchased from Granicus by Customer, Granicus will provide to Customer a three (3) year warranty with respect to the Required Hardware. Within the three (3) year warranty, period, Granicus shall repair or replace any Required Hardware provided directly from Granicus that falls to function properly due to normal wear and tear, defective werkma nship, or defective materials. Required Hardware warranty shall commence on the Effective Date of each applicable Order, SOW or Exhibit. 3.6. Reservation of Rights. Subject to the limited rights expressly granted hereunder, Granicus and/or Its licensors reserve all right, title and interest in the Granfcus Products and Services, the documentation and resulting product Including all related Intellectual property rights. Further, no Implied licenses are granted to Customer. 4. Payment granicus.com I info@granicus,com r August 6, 2017 page 53 GGR A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 4.1, Fees. Customer agrees to pay all fees, costs and other amounts as specified in each Order, SOW a Exhibit. Granlcus reserves the right to suspend any Granlcus Products and Services should there be a lapse in payment. A lapse In the term of each Order, SOW or Exhibit will require the payment of a setup fee to reinstate the subscription. All fees are exclusive of app cahie state, local, and federal taxes, which, if any, will be included in the invoice. It Is Customers responsibility to provide applicable exemption certificate(s). Unless Indicated otherwise in the applicable Order, SOW or Exhibit, the fees shall be invoiced by Granas and paid by Customer asfollows: 4.L3. Products. Product setup and annual fees are due at the beginning of the Initial Term, then annuallyat the beginning of any Extended Term or Order Term, within thirty (30) days of recelpt of Invoice. 4.L2. Services. Services supporting Products shall be paid annually commencing upon the completion of the Product Implementation, or the Product being ready for Customer's use. Fees shall he paid by Customer within thirty (30) days of receipt of invoice. 4.L3. Required Hardware. For Required Hardware, delivery is complete once Customer receives Required Hardware components with the configured Granlcus Product and Services. 4.2. Disputed Invoiced Amounts. Customer shall provide Granicus with detailed written notice of any amount(s) Customer reasonably disputes within thirty (30) days receipt of Invoice for said amount(s) atissue. Granlcus will not exercise its rights under 4.1 above if Customer has, In good faith, disputed an invoice and is diligently trying to resolve the dispute. Customers failure to provide Granicus with notice of any disputed Invoiced amount(s) shall be deemed to be Customer's acceptance of the content of such Invoice. 4.3. Price Increases. Any price increases net negotiated in advance shall be provided by Granlcus to Customer at least thirty (30) days priorto the end of the OrderTerm. Upon each yearly anniversary during the term of this Agreement (Including the Initlal Term, all Extended Terms, and all OrderTerms), the Granlcus Product and Services fees shall automatically increase from the previous term's tees by five (5) percent paryear. S. Representations, Warranties and Disclaimers 5.1. Representations. Each Party represents that it has validly entered Into this Agreement and has the legal power to do so. 5.2. Warranties. Granicus warrants that It takes all precautions that are standard in the industry to Increase the likelihood of a successful performance for the Granlcus Products and Services; however, the Granicus Products and Services are provided "AS Is" and as available. 5.3. Disclaimers. EACH PARTY HEREBY DISCLAIMS ANY AND ALL OTHER WARRANTIES OF ANY NATURE WHATSOEVER WHETHER ORAL AND WRITTEN, EXPRESS OR IMPLIED, INCLUDING, WITHOUT LIMITATION, THE IMPLIED WARRANTIES OF MERCHANTABILITY, TITLE, NON -INFRINGEMENT, AND FITNESS FOR A PARTICULAR PURPOSE. GRANICUS DOES NOT WARRANT THAT GRAN ICUS PRODUCTS AND SERVICES WILL MEET CUSTOM ER'S REQU IREMENTS OR THAT THE OPERATION THEREOF WI LL BE UNINTERRUPTED OR ERROR FREE. 6. Confidential Information 6.1. Confidential Information. It is expected that one Party (disclosing Party) may disclose to the other Party (receiving Party) certain Information which maybe considered confidential and/or trade secret information ("Confidential Information'). Confidential Information shall Include: (1) Granlcus' Products and Services, (I1) non- public information if it is clearly and conspicuously marked as "confidential" or with similar designation at the time of disclosure; (iii) non-public information of the disclosing Party if it is Identified as confidential and/or proprietary before, during, or promptly after presentation or communication and (fv) any information that should he reasonably understood to be confidential or proprietary to the receiving Party, given the nature of the Information and the context in which disclosed. 6.2. Exceptions. Confidential Information shall not Include Information which: (f) Is or becomes public knowledge through no fault of the receiving Party; (if) was In the receiving Partys possession before receipt from the disclosing Party; (Ili) is rightfully receiving by the receiving party from a third party without any duty of August 6, 2017 granicus.com I info@granicus.com 25A-87 page 54 G GRAN ICUS RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving confidentiality; (iv) is disclosed by the disclosing Party without a duty of con fidentrality on the third party; (v) Is In dependengydevelcped by the receiving Party without use or reference to the disclosing Party's Confidential Information, or (vi) is disclosed with the prior written approval of the disclosing Party. Confidential Information of disclosing Party maybe disclosed In response to a valid court order or other legal process, only to the extent required by such order or process and, If allowed bylaw, only after the recipient has given the owner written notice of such court order or other legal process promptly and the opportunity for the owner to seek a protective order or confidential treatment of such Confidential Information. 6.3. Storage and Sending. In the event that Granicus Products and Services wlll be used to store and/or send Confidential Information, Granicus must be notified In writin&Jn advance of the storage or sending. Should Customer provide such notice, Customer must ensure that that Ccnfldentlal Information or sensitive information Is stared behind a secure interface and that Granicus Products and Services be used only to notify people of updates to the Information that can be accessed after authentication against a secure interface managed by Customer. Customer Is ultimately accountable for the security and privacy of data held by Granicus on its behalf. 6.4. Return of Canfrda mile Information. Upon request of the dlsclosing Party, termination, or expiration of this Agreement, the receiving Party shall, to the extent commercially practicable, destroy the disclosing Party's Confidential Information and, at the disclosing Party's request, certify the same. 7. Termand7erminatlan 7.1. Agreement Term. The Agreement Term shall begin on the Effective Date and continue through the latest date of the OrderTerrn of each Order, SOW or Exhibit under this agreement, unless otherwise terminated as provided in this Section 7. Each Order, SOW or Exhibit will specify an OrderTerm for the Granicus Products and Services provided under the respective Order, SOW or Exhlblt. Customer's right to access or use the Granicus Products and Services will cease at the end of the Order Term identified within each Order, SOW or Exhibit, unless either extended or earlier terminated as provided In this Section 7. Unless a Party has given written notice to the other Party at least ninety (90) days prior to the end of the Order Term, the Granicus Products and Services will automatically renew for an Extension Term equal induration to the Initial Term, or the than- current Order Term. 7.2. Effect of Termination. If the Parties agree to terminate this Agreement and an Order, SOW or Exhibit is still in effect at the time of termination, then the terms and conditions contained In this Agreement shall continue to govern the outstanding Order, SOW or Exhibit until termination or expiration thereof. If the Agreement Is terminated for breach, then unless otherwise agreed to In writing, all outstanding Orders, SOWS or Exhibits shall immediately terminate as of the Agreement termination date. Unless otherwise stated in this Agreement, In no event shall Customer be entitled to a refund of any prepaid fees upon termination. 7.3. Termination for Cause. The non -breaching Party may terminate this Agreement upon written notice if the other Party Is In material breach of this Agreement and fails to cure such breach within thirty (30) days after the non -breaching Party provides written notice of the breach. A Party may also terminate this Agreement Immediately upon notice if the other Party: (a) is liquidated, dissolved, or adjudged to he Ina state of bankruptcy or receivership; (b) is insolvent, unable to pay its debts as they became due, makes an assignment for the benefit of creditors or takes advantage or any law for the benefit of debtors; or (c) ceases to conduct business for any reason on an ongoing basis leaving no successor in Interest. Granlcus may, without liability, Immediately suspend or terminate any or all Order, SOW or Exhibit issued hereunder If any Fees owed under this Agreement are past due pursuant to Section 4.1. 7.4. Rights and Obligations After Termination. In the event of expiration or termination of this Agreement, Customer shall immediately pay to Granicus all Fees due to Granlcus through the date of expiration or termination. August 6, 3017 granicus.com I info@granicus.com page 55 r•• GGRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 7.S. Survival. All rights granted hereunder shall terminate the latter of the termination or expiration date of this Agreement, or each Order, SOW c Exhibit. The provisions of this Agreement with respect to warranties, liability, and confidentiality shall survive terminatlan of this Agreement and continue in full force and effect. B. Limitation of Liability B.I. EXCLUSIO N OF CONSEQUENTIONAL AND RELATED DAMAGES. UN DER NO CIRCUMSTANCES SHALL GRANICUS BE LIABLE FOR ANY SPECIAL, INDIRECT, PUNITVE, INCIDENTAL, OR CONSEQUENTIAL DAMAGES, WHETHER AN ACTION 15 IN CONTRACTOR TORT AND REGARDLESS OF THE 7HEORY OF LIABILITY, EVEN IF A PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SU CH DAMAGES, FURTHER, GRAN ICUS SHALL NOT BE LIABLE FOR: (A) ERROR OR INTERRUPTION OF USE OR FOR LOSS OR INACCURACY OR CORRUPTION OF CUSTOMER DATA; (0) COST OF PROCUREMENT OF SUBSTITUTE GOODS, SERVICES OR TECH NOLOGY; (C) LOSS OF BUSINESS; (D) DAMAGES ARISING OUT OF ACCESS TO OR INABILITY TO ACCESS THE SERVICES, 50FTWARE, CONTENT, OR RELATED TECHNICAL SU PPO RT; OR IE) FOR ANY MATTER BEYOND GRAN ICUS' REASONABLE CONTROL, EVEN IF GRAN ICUS HAS BEEN ADVISED OF TH E POSSIBILITY OF ANY OF THE FOREGOING LOSSES OR DAMAGES. 0.2. LIMITATION OF LIABILITY. IN NO INSTANCE SHALL EITHER PARTY'S LIABILITY TO THE OTHER PARTY FOR DIRECT DAMAGES UN DERTHIS AGREEMENT (WHETHER IN CONTRACT OR TO RT OR OTHERWISE) EXCEED THE FEES PAI D BY CUSTOMER FOR TH E GRAN ICU5 PRODUCTS AND SERVICES DU RI NGTHE SIX (6) MONTHS IMMEDIATELY PROCEEDING THE DATE THE DAMAGED PARTY NOTIFIES THE OTHER PARTY IN WRITING OF THE CLAIM FOR DIRECT DAMAGES. NEITH ER PARTY MAY INSTITUTE AN ACTION I N ANY FORM ARISING OUT OF NOR IN CONNECTION WITH TH 15 AGREEMENT MORE THAN TWO (2) YEARS AFTER THE CAUSE OF ACTION HAS ARISEN. THE ABOVE LIMITATIONS WILL NOT LIMIT CUSTOMER'S PAYMENT OBLIGATIONS UNDER SECTION 4 ABOVE. 9. Indemnification 9.1. Indemnification by Granicus. Granicus will defend Customer from and against all losses, liabilities, damages and expenses arising from any claim or suit by a third party unaffiliated with either Party to this Agreement (°Claims") and shall pay all losses, damages, liabilities, settlements, judgments, awards, Interest, civil penalties, and reasonable expenses lcollectively, "Lasses;' and including reasonable attorneys' fees and court casts), to the extent arising out of any Claims by any third parry that Granicus Products and Services infringe a valid U.S. copyright or U.S, patent issued as of the date of the applicable Order, SOW or Exhibit. In the event of such a Claim, If Granlcus determines that an affected Order, SOW or Exhibit Is likely, or if the Solution Is determined in a final, non -appealable judgment by a court of competent jurisdiction, to Infringe a valid US. copyright or U.S. patent Issued as of the date of the applicable Order, SOW or Exhibit, Granicus will, in its discretion: (a) replace the affected Granicus Products and Services; (b) modify the affected Granicus Products and Services to render it non -infringing; or (c) terminate this Agreement or the applicable Order, SOW or Exhibit with respect to the affected Solution and refund to You any prepaid fees for the then -remaining or unexpired portion of the Subscription Order Tenn. Notwithstanding the foregoing, Granicus shall have no obligation to indemnify, defend, or hold Customer harmless from any Claim to the extent it is based upon:(!) a modification to any Solution by Customer (or by anyone under Customers direction or control or using login or passwords assigned to Customer); (II) a modification made by Granicus pursuant to Customer's required Instructions or specifications or In reliance on materials or Information provided by Customer, or (Iii) Customer's use (or use by anyone under Customer's direction or control or using logins or passwords assigned to Customer) of any Granicus Products and Services other than In accordance with this Agreement. This Section 9.1 sets forth Customer's sole and exclusive remedy, and Granicus' entire liability, for any Claim that the Granicus Products and Services or any other materials provided by Granicus violate or Infringe upon the rights of any third party. 9.2. Indemnification by Customer. Customer shall defend, indemnify, and hold Granicus harmless from and against any Claims, and shall pay all Losses, to the extent arising out of or related to (a) Customer's (or that of anyone authorized by Customer or using login or passwords assigned to Customer) use or modification of any Granicus Products and Services; (b) any Customer content, or (c) Customer's violation of applicable law. August 6, 2017 gronicus.com I info@grcnicus.com 25A-89 page 56 GRAN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving 9.3. Defense. With regard to any Claim subject to indemnificatian pursuant to this Sectien 9: (a) the Party seeking Indemnification shall promptly notify the Indemnifying Party upon becoming aware of the Claim; (b) the indemnlfying Party shall promptly assume sole defense and control of such Claim upon becoming aware thereof; and (c) the Indemnified Party shall reasonably cooperate with the Indemnifying Party regarding such Claim. Nevertheless, the Indemnified Party may reasonably participate In such defense, at its expense, with counsel of Its choice, but shall not settle any such Claim without the indemnifying Party's prior written consent. The Indemnifying Party shalI not settle or ccmpramise any Claim In any manner that Imposes any obligations upon the Indemnified Party without the prior written consent of the indemnified Party. 10. General 10.1. Relationship afthe Parties. Granicus and Customer acknowledge that theyoperate independentof each other. Nothing In this Agreement shall he deemed or construed to create a joint venture, partnership, agency, or employee/employer relationship between the Parties for any purpose, including, but not limited to, taxes or employee benefits. Each Party will be solely responsible forthe payment of all taxes and Insurance for Its employees and business operations. 10.2. Subcontractors. Granicus agrees that itshall be responsible for all acts andomissions of its subcontractors to the same extent Granicus would be responsible If committed directly by Granicus. 10.3. Headings. The varlous section headings of this Agreement are Inserted only for convenience of reference and are not intended, nor shall they be construed to modify, define, limit, or expand the intent of the Parties. 10.4. Amendments. This Agreement may not be amended or modified except by a written instrument signed by authorized representatives of both Parties. Notwithstanding the foregoing, Granicus retains the right to revise the policies referenced herein at any time, so long as the revisions are reasonable and consistent with industry practices, legal requirements, and the requirements of any third -party suppliers. 10.5. Severability. To the extent permitted by applicable law, the parties hereby waive any previslon of law that would render any clause of this Agreement Invalid or otherwise unenforceable in any respect. In the event that a provision of this Agreement is held to be invalid orotherwise unenforceable, such provision will be Interpreted to fulfill its Intended purpose to the maximum extent permitted by applicable law, and the remaining provisions of this Agreement will continue in full forte and effect. 10.6. Assignment Neither Party may assign, delegate, or otherwise transfer this Agreement or any of Its rights or obligations hereunder, either voluntarily or by operation of law, without the prior written consent of the other Party (such consent not to be unreasonably withheld); provided, however, that either Party may assign this Agreement without the other Party's consent In the event of any successor or assign that has acquired all, or substantially all, of the assigning Party's business by means of merger, stock purchase, asset purchase, or otherwise. Any assignment or attempted assignment in violation of this Agreement shall be null and vold. 10.7. No Third -Party Beneficiaries.Subject to Section 9.6, this Agreement is binding upon, and Insures solely to the benefit of the Parties hereto and their respective permitted successors and assigns; there are no third - party beneficiaries to this Agreement, 10.8. Notice. Other the n routine administrative communications, which may he exchanged by the Parties via email or other means, all notices, consents, and approvals hereunder shall be In writing and shall be deemed to have been given upon; (a) personal delivery; (b) the day of receipt, as shawn in the applicable carrier's systems, if sent via FedEx, UPS, DH L, or other nationally recognized express carrier, (c) the third business day after sending by U,S. Postal Service, First Class, postage prepaid, return receipt requested; or (d) sending by email, with confirmed receipt from the receiving party. 10.9. Force Majeure. Neither Party shall he In breach of this Agreement solely due to breach caused by circumstances beyond the control and without the fault or negligence of the Party falling to perform. Such granicus.com I info@granicus.com 25A-90 August 6, 3017 page 57 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving causes Include but are not limited to acts of God, wars, fires, Floods, government regulations, shortage or supplies, acts of terrorism, or strikes. 10.10. Choice of law and Jurisdiction. This Agreement shall be governed by and Interpreted under the laws of the State of Minnesota, without reference to the State's principles of conflicts of law. The parties expressly consent and submit to the exclusive jurisdiction of the state and federal courts of Ramsey County, Minnesota. 10.11. Entire Agreement. This Agreement, together with all Orders, SOWS or Exhibits referenced herein, sets forth the entire understanding of the Parties with respect to the subject matter of this Agreement, and supersedes any and all prior oral and written understandings, quotations, communications, and agreements. Granlcus and Customer agree that any and all Orders, SOWS or Exhibits are Incorporated herein by this reference. In the event of possible conflict or Inconsistency between such documents, the conflict or inconsistency shall he resolved by giving precedence In the following order: (1) the terms of this Agreement; (2) Exhibits (excluding orders) hereto; (3) Orders; and (4) all other SOWS or other purchase documents. 10.12. Reference. Notwithstanding any other terms to the contrary contained herein, Customergrants Granlcus the right to use Customers name and logo in customer lists and marketing materials. 10.13. Injunctive Relief. Granicus is entitled to obtain Injunctive relief If Customers use of Granas Products and Services Is In violation of any restrictions set forth in this Agreement. granicus.com I Info@granicus.com 25A=91 August 6,2017 page 58 GG R A N I CU S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving References Client Reference Santa Barbara County Address 105 E. Anapamu St., Room 406, Santa Barbara, CA 93101 Main Contact Chelsea Lenzi, Deputy Clerk Contact 805-568-2242, clenzi@countvofsb.ora Client since 2000 Solutions Legistar Agenda Management System, Open Platform Suite, Government Transparency Managed Services Hardware (GT), Performance Accelerator Hardware, Government Transparency Managed Services Client Reference The City of Sacramento Address 915 1 Street - 5th Floor, Sacramento, CA 95814 Main Contact Wendy Klock -Johnson, Assistant Clerk Contact 916-808-7509, wkiohnson@citvofsacramento.ora Client since 2006 Solutions Legistar, Granicus Encoding Appliance Software, Performance Accelerator Suite, VoteCast Standard Package, Granicus Streaming Solution, eComment, Open Platform Suite, Boards and Commissions, Meeting Efficiency Suite Client Reference The City of Oakland Address 150 Frank H Ogawa Plaza Suite 7216 Oakland, CA 94612 Main Contact Oakland, LaTonda Simmons, City Clerk Contact (510) 238-7370, Isimmons@oaklandnet.com Client since 2007 Solution Open Platform Suite, Boards and Commissions, Legistar, Granicus Encoding Appliance Software, Citizen Participation Suite, Government Transparency Suite, Meeting Efficiency Suite, Performance Accelerator Suit, Granicus Encoding Appliance Hardware, Communications Cloud granicus.com I info@granicus.com 25A-92 page 59 G G R AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving WHO WE ARE The public sector is under pressure to do more with less, while citizens demand more transparency, faster access, and better digital services. Government succeeds when It leverages modern technology to efficiently get day to day tasks done, and to bridge the gap between agency and citizen. By coming together with GovDelivery, Granicus Is connecting a powerful global network of 150 million people for over 3,000 government organizations at the local, state and federal levels. It is our goal to help you better communicate, manage meetings and agendas, and increase the use of digital services to increase citizen engagement. If you're ready to take a leap forward, we'd love to help. granicus.com I info@granicus.com 25A-93 page 60 GG R A N I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving Vi g ti�my a8my QN �Qns C' FZ D ..o QyoggS ���3Yg WWLu (Da dX6mn�'3-E�9 :Q �kBEe�83gN o E a m E v c c nho o G E E a £�2o ag v Oz�-o� aO cx CJ g v e s �s granicus.com I info@granicus.com 25A-94 page 61 i G R AN I C U S RFP NO.: 17-107 Automated Agenda Workflow Program and Meeting Video Streaming/Archiving ABOUT GRANICUS Granicus provides technology that empowers government organizations to create better lives for the people they serve. By offering the Industry's leading cloud -based solutionsforcommunications, meeting and agenda management, and digital services to over 3,000 public sector organizations, Granicus helps turn government missions into quantifiable realities. Granicus products connect over 150 million people, creating a powerful network to enhance citizen engagement. By optimizing decision-making processes, Granicus strives to help government see better outcomes and a greater impact for the citizens they serve. For more information on Granicus, visit granicus.com. SERVING 3,000+ GOVERNMENT ORGANIZATIONS �dN v. -, O� COUNiY OF StnRwater Portof •'x' iti{ atii a MARIfV ••';••••.•- -•, Tacoma WELLINGTON CREL-K •¢ AROSE i.y.. •a Bouldercounty °# Or C10 UPERTINO granicus.com I info@granicus.com 25A-95 page 62 APPFNDIX ATTACEIAMNT 3: CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid Is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or Indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not In any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged Information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note; The above Non -collusion Affidavit Is part of the Proposal. BIDDERS are cautioned that raking a falsWuprtif�cation may subject the certifier to criminal prosecution. Signed State of Colorado Countyof Denver Subscribed and sworn to (or affirmed) before me on this 23rd_ day of October , 2017, by Jason Fletcher, Chief Operating Officer , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature ICATAIAH'3 "LLIAMB NOTARY PUBLIC STATE OF i:OLORA00 NOTARY ID 200249336.93 Notary Public Seal sapNOQ'� sNOVeMBeR7zo2o City of Santa Ana RFP 17-107 Page 26 25A-96 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 any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any 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, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure of Lobbying Activities," in conformance with its Instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered Into. Submission of this certification is a prerequisite for making or entering into this transaction Imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be Included in all lower tier subcontracts, which exceed $100,00 nd that all uch s ibrecipients shall certify and disclose accordingly. Signed: r Title: Chief Operaiing Officer Firm: Granicus, Inc. Date: October 23, 2017 City of Santa Ana RFP 17-107 Page 27 25A-97 NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2 The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4 The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all Information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary. of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said 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 24,1955, and such other sanctions may be Imposed and remedies invoked as provided In Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. City of Santa Ana RFP 17-107 Page 28 25A-98 7. The Consultant shall Include the portion of the sentence Immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes Involved In, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 7820, and any consultant of public works violating this Section is subject to all the penalties Imposed for a violation of the Ch y1er. Signed: G'1 Title: Chief Operdfing Officer Firm: Granlcus, Inc. Date: October 23, 2017 City of Santa Ana RFP 17-107 Page 29 25A-99 25A-100 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT WITH MISSION LINEN & UNIFORM SUPPLY FOR UNIFORM RENTAL AND CLEANING SERVICES {STRATEGIC PLAN NO. 7,4} r CITV MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 151Reading ❑ 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 a Uniform Rental & Cleaning Services agreement with Mission Linen & Uniform Supply for the period of January 1, 2018 through December 31, 2020, with an option for an additional three one-year renewals exercisable by the City Manager, in an annual amount of $50,000, for a total aggregate amount of $300,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In accordance with the City's general employee Memorandum of Understanding, clean uniforms are provided to all employees who are required by the City to wear uniforms according to their position. Additionally, bath towels are supplied in the shower areas of the Public Works Agency at the City Yard for use when hazardous work conditions require cleansing at the end of the work shift. The rental service includes weekly laundering with pick-up and drop-off of garments to multiple City locations. On October 12, 2017, a Request for Proposal (RFP) for uniform rental and cleaning services was issued. An evaluation committee consisting of staff from PWA -Water Maintenance, PWA -Admin, FMSA-Fleet Maintenance, PRCS-Maintenance and PRCS-Zoo, reviewed and rated the proposals. The proposals were evaluated according to the criteria listed in the RFP, which included Qualifications/Experience, Work Plan/Methodology, Personnel, References and Cost. The results of the RFP evaluations were as follows: Vendor Score (100 Max) Mission Linen & Uniform Supply 96.833 G&K Services 94.147 UniFirst Corporation 93.396 25B-1 Agreement with Mission Linen & Uniform Supply for Uniform Rental and Cleaning services December 19, 2017 Page 2 The City proposes to enter into an agreement with Mission Linen & Uniform Supply for uniform rental and cleaning services. Their proposal ensures the products and services offered will continue to provide staff with laundered uniforms and towels. 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 Funds are available in the FY 2017-18 budget, and will be included in future fiscal year budgets in the following accounts for anticipated expenditure upon exercising the two one-year renewal options as follows: dcz Fre Mousavipour Executive Director bl' Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez ;,M Oo Executive Director Pu is Finance and Management Services Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency EG Exhibit: 1. Agreement 25B-2 Anticipated Expenditure Department Account No. FY FY FY FY FY 2017-18 2018-19 2019-20 2020-21 2021-22 Public Works 05617640 - Sanitary Sewer 62300 $10,000 $20,000 $20,000 $20,000 $10,000 Maintenance Recreation & 01113250 - Comm. Services 62320 $7,500 $15,000 $15,000 $15,000 $7,500 Park Maintenance Fleet Maintenance 07510100- $5,000 $10,000 $10,000 $10,000 $5,000 62300 Building 07310100- $2,000 $4,000 $4,000 $4,000 $2,000 Maintenance 63001 Finance & Mgmt 01110130- Srvcs. Treasury 62300 $500 $1,000 $1,000 $1,000 $500 Customer Srvcs. Totals $25,000 $50,000 $50,000 $50,000 $25,000 dcz Fre Mousavipour Executive Director bl' Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez ;,M Oo Executive Director Pu is Finance and Management Services Agency Gerardo Mouet Executive Director Parks, Recreation & Community Services Agency EG Exhibit: 1. Agreement 25B-2 EXHIBIT 1 AGREEMENT TO PROVIDE UNIFORM RENTAL AND CLEANING SERVICES THIS AGREEMENT is made and entered into this 19th day of December, 2017 by and between Mission Linen Supply,.Inc., a California corporation ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing trader the Constitution and laws of the State of California ("City"). RECITALS A. On October 12, 2017, the City issued Request for Proposal No. 17-094, by which it sought a contractor to provide uniform rental and cleaning services on a City-wide basis. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services as described in the scope of work that was included in RFP No. 17-094 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 be performed in compliance with such standards as may reasonablybe expected from a professional contracting 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 AND CONTRACTOR'S PROPOSAL Contractor shall perform the services that are described in Exhibit A. 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 under this Agreement, the rates and charges identified in Exhibit B. The total annual surn to be expended under the term of this Agreement, including any extension periods, . shall not exceed $50,000. - 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. This Agreement shall commence on January 1, 2018 -and continue through December 31, 2020, iiless terminated earlier in accordance with Section 16, below. The tern of this Agreement maybe extended for two 1 -year periods upon a writing executed by the City Manager and the City Attorney. Page 1 of 8 25B-3 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 subcontractors prepare 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, Page 2 of 8 25B-4 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. C. 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. 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. Page 3 of 8 25B-5 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, 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. 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 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. 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 Page 4 of 8 r 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. 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 and as further specified in the certifications submitted in Contractor's proposal and incorporated in this Agreement by reference. ft;�e►'(Ni111.9\/Y�!'L�171U1_ UII-1 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 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. Page 5 of 8 25B-7 16. 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(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, 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 signatoiy or is withdrawn. Page 6 of 8 r 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 To Contractor: Mission Linen Supply, Inc. 5400 Alton Street Chino, CA 91710-7601 Attn: Robert Evans 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 piuposes 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: CITY OF SANTA ANA Maria D. Huizar Clerk of the Council Raul Godinez R City Manager 25B-9 Page 7 of 8 APPROVED AS TO FORM: SONIA R. CARVALHO CONTRACTOR: City Attorney By: 2 John k Assistant City Attorney RECOMMENDED FOR APPROVAL: FRANCISCO GUTIERREZ Executive Director Finance and Management Services Agency Name: Title: Page 8 of 8 25B-10 EXHIBIT A Appendix ATTACHMENT 1: SCOPE OF WORK A. SCOPE OF SERVICES The City of Santa Ana has approximately one hundred sixty-five (165) employees in the current uniform rental contract. Currently, of these, thirty-five (35) are part time. There is an approximate total of one thousand, six hundred and twenty-five (1,625) changes for a two (2) week period. Additionally, approximately fifty (50) towels are to be provided to one (1) City location. These figures are for proposal purposes only and the City makes no commitment to any particular number of employees that will be on any subsequent contract. Each full-time employee shall be provided with eleven (11) sets (pants or shorts & shirt), and the part- time employees sets shall range from five (5) to seven (7) sets per 2 -week period. Jackets are to be provided to approximately forty-seven (47) full-time employees, with an inventory of two (2) each. The city of Santa Ana logo shall be sown over the left chest of all shirts, polo's and jackets. Agency's work schedules results in approximately the following changes for a 2 -week period: Item No. of Schedule No. of Changes Total Quantities Per Employees Per Week 2 -Week Period Pants or shorts & shirt 130 full-time 5 changes/week 11 sets + 1 extra Pants or shorts & shirt 10 part-time 3 changes/week 7 sets + I extra Pants or shorts & shirt 25 part-time 2 changes/week 5 sets + 1 extra Jackets 47 full-time 1 change/week 2jackets Towels 50/week 100 towels B. UNIFORMS AND TOWELS Proposers shall provide information and pricing for provisions, delivery, cleaning, and maintenance of the following: 1. Work Pant and Shorts — Cotton and Cotton Blend Size: Various sizes in both men and women sizes, including tall Fabric: 65/35 cotton blend and Cotton Color: Navy Blue/Dark Blue, Khaki, Charcoal Gray, Dark Green, Brown Style: Trouser and Cargo City of Santa Ana RFP 17-094 Page 12 25B-11 2. Industrial Work Shirt— Cotton and Cotton Blend Size: Various sizes in both men and women sizes, including tall Fabric: 65/35 cotton blend (50/50 blend for wanner weather OK) and Cotton Color: Navy Blue, Forest Green, Spruce, Striped Blue, Mint Green, Charcoal Gray, White, Light Blue Style: Short -Sleeved and Long -Sleeved 3. Jackets—Industrial Size: Various sizes, including tall Fabric: 65/35 cotton blend Color: Charcoal Gray, Navy Blue, Black Style: Industrial quilt -lined jacket i.e. "slash pocket Ilse jacket" or better 4. Polo Shirt Size: Various sizes for both men and women Fabric: 100% cotton or Polyester Color: Navy Blue/Dark Blue, Gray, Black Style: Rib -knit collar with three -button placket with dyed to match buttons 5. T- Shirt Size: Various sizes, including tall Fabric: 100% cotton or cotton/pol blend Color: Orange, Nary Style: Long and Shirt sleeves 6. Towels Fabric: 100°/% cotton C. UNIFORM SPECIFICATIONS 1. All shirts shall be embroidered with the City of Santa Ana logo shown in ATTACHMENT 3: SAMPLE LOGO/EMBLEM. In addition, each department may require specific words or lettering below or above the logo. For example "FFCS" for Fleet Services Department. 2. Additional logos, participating departments and appropriate quantities and uniform colors will be provided at fittings. Fittings will take place at delivery locations. 3.. The initial clothing order shall be issued as new and replacements shall be "like new." 4. Sizes shall be exchanged as needed upon request by the City. 5. Replacement items shall be on an as -needed basis as requested by the City and not a fixed replacement cycle. 6. Employees shall be given a choice of long or short sleeve shirts, or a combination of both and shall be able to mix and match shirt and pant options. City of Santa Ana RFP 17-094 Page 13 25B-12 7. Uniform shirts are to be constructed with 100% Cotton, 100% Poly or a 65/35 (poly/cotton) blend, as specified. 8. Shirts shall have pockets that either button or have a security flap. 9. Garments are not to be sewn with coarse nylon thread (similar to fishing line). 10. Specific methods of uniform construction will be examined upon submission of samples. A general description of the construction of each uniform item must be submitted in the context of the RFP as requested in Section IV (IV.E.7). 11. Submissions require a sample of each article of clothing including work pants, work shirt, t -shirt, jacket, and polo shirt. 12. Paper and/or online catalogs shall not be provided by the selected vendor in lieu of samples. Paper catalogs shall be upon request only. D. SERVICE 1. Selected vendor must provide a dedicated Customer Service Representative for the City, complete with contact information and guaranteed response within 24 hours during business hours. 2. Contractor shall furnish the City with all new and unused garments, including garment name tags and emblems, upon implementation of this agreement and shall maintain said items in good condition throughout the tern of the Agreement. 3. Contractor shall provide uniforms and miscellaneous items in a presentable and fully usable condition and in strict accordance with local, county and state public health laws and regulations. Contractor must maintain all garments in good repair and shall deliver only garments that are clean, neat, wrinkle free and in such conditions as to provide the utmost neatness and appearance of the employee. Cost for mending minor repairs shall be included in the prices proposed. 4. Contractor shall maintain an inventory for each employee of twice the number of changes per week, plus one, not to exceed a total of eleven (11) changes per employee, unless otherwise indicated. Most employees require five (5) changes per week; however, this requirement may vary. The quantities are approximate only; exact quantities are not implied or inferred. Quantifies of uniforms and dust control items may fluctuate during the term of the Agreement. Changes in quantities shall not affect the unit prices quoted by Contractor. 5. Contractor shall replace garments and dust control items with new garments/items, as required by normal wear and tear, at no cost to the City. Contractor shall replace garments after no longer than eighteen (18) months of service. New garments will be required for employees added to the service. Contractor shall provide new, unused, properly fitting, clean, and wearable, pressed and on hangers within fourteen (14) days of receipt of order. 6. Contractor is responsible for measuring and fitting City employees for uniforms. If garments are found to be poorly fitted, Contractor will be required to make satisfactory adjustments at Contractor's expense. Each garment shall be adequately marked to ensure identification of employee's uniforms. A full range of sizes, including tall and plus sizes, for both men and women must be available to ensure best fit. City of Santa Ana REP 17-094 Page 14 25B-13 7. Contractor shall ensure full and satisfactory performance in fulfilling the terns of the Agreement. Interruption or reduction of the normal required service as a result of lack of properly trained personnel, or any reason deemed unsatisfactory by the City, shall be reason for termination of the Agreement. 8. Uniformed City of Santa Ana employees engage in a variety of activities that include building maintenance and cleaning, asphalt paving, diesel and gasoline fueling and highway painting. Uniform damage occurs with these types of activities and a reasonable replacement and repair plan shall be detailed as requested in Section IV (IV.E.8). This plan shall be a major consideration in the selection of a vendor. 9. Upon request, Contractor shall provide a report of items rented and/or purchased by City. The report of rented items shall be sorted by delivery location, provide an item description, inventory quantity, indicate weekly or bi-weekly service as applicable, and actual inventory on -hand. The report of purchased items shall be sorted by deliver location, provide an item description, quantity purchased, unit price, and total dollars. E. DELIVERY Delivery and pick-up shall be made on the same day(s) of each week at the delivery points specified herein, and all items delivered on those days, at no additional cost to City. Contractor shall strictly adhere to the pick-up and delivery schedule developed with each City location's representative. Delivery locations may be changed at any time at the City's discretion. Contractor shall notify City one week in advance of any requested schedule changes. Locations: • CITY HALL, 20 CIVIC CENTER PLAZA, BASEMENT, 92701 • SANTA ANA ROSS ANNEX, 24 CIVIC CENTER PLAZA, 3RD FLR, 92701 • CITY YARD, 220 S. DAISY AVE. PUBLIC WORKS, 92703, Bldg. A • CITY YARD, 220 S. DAISY AVE. PARKS & RECREATION, 92703, Bldg. A • CITY YARD, 215 S. CENTER ST, FLEET MAINTENANCE, 92703, Bldg. J • SANTA ANA ZOO, 1801 E. CHESTNUT, CA. 92701 • POLICE DEPT., RECEIVING M-95, 60 CIVIC CENTER PLAZA 92703 New itetns, including replacements, and repairs shall be delivered within fourteen (14) days of receipt of order. City shall furnish only the space necessary to store and place the clean and soiled uniforms and dust control items. Contractor shall provide sufficient size and quantity laundry containers appropriate for soiled items, clean garment lockers, racks and hangers as needed at each location at no additional charge. Contractor shall deliver clean garments once a week, after the original installation is made, to the delivery points specified. Each of the employee's sets or uniform pieces shall be hung on hangers and shall be secured together for the individual employee and labeled in sequence. F. LOGO/EMBLEM The logo/emblem representing the City of Santa Ana is attached as ATTACHMENT 3: SAMPLE LOGO/EMBLEM. The logo/emblem is blue and yellow with yellow text and shall be sewn over the left shirt pocket on all garments. The patch size will be determined by the City of Santa Ana and coordinated with the vendor after award. City of Santa Ana RFP 17-094 Page 15 25B-14 G. REPAIRS AND REPLACEMENT Repair patches larger than a quarter (coin) on any uniform item are not acceptable. Repairs must restore the uniform item to its original design. If repairs cannot be made to meet the patch maximum size requirement, the item must be replaced. Each proposer shall explain in detail their repair and replacement standard. See Section IV (IV.E.8). This standard shall be a major consideration in the selection of a vendor. H. CLEANING All garments shall be laundered and pressed, if needed. Dry cleaning is not acceptable unless necessary to retain flame retardant or water repellant properties. Per Section IV (IV.E.9) proposer must detail cleaning method used and any exceptions to that method. UNIFORM ITEM SAMPLE A sample of each rental garment shall be delivered to tate City of Santa Ana with the submitted proposal. All samples will be provided to the City at no cost. Mark each uniform sample with the firm's name, address, and item description/number. Upon award of the contract, all proposers will be asked to pick- up their uniform samples or to make arrangements for return of samples at proposer's expense. J. PERIPHERAL CHARGES All charges, including but not limited to, set-up charges, waste water charges, fuel surcharges, etc., must be provided in the proposal. Wastewater charge, if applicable, must be a fixed rate, based on a specific period of time and not paid separately. Fuel surcharges shall be included in quoted prices and shall not be billed separately. Shipping and handling must be included in the price. Any minimum charges must be disclosed in the proposal. The City of Santa Ana will not be liable for any charge not specified in the proposer's response. K. VACATION CREDIT An annual two (2) week vacation credit shall be given for each employee in one lump sum. L. TRANSITION PLAN The City of Santa Ana's intent is to minimize the time and effort involved in fitting employees for uniforms. Each proposer must, in a detailed and thorough manner, describe procedures designed to limit operational impacts. See Section IV (IV.E.10). The successful proposer must be prepared to fulfill the transition plan stated in their proposal should the City of Santa Ana contract with a vendor other than the incumbent. Failure to do so may be cause for immediate termination of the contract. Any transition costs must be so noted and will be considered in the evaluation of the proposals. City of Santa Ana RFP 17-094 l Page 16 25B-15 10=011aw-0 Appendix ATTACHMENT 2: COST PROPOSAL, FORM Pricing must be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, taxes as applicable, and fuel. 1. TOTAL CHARGE PER ITEM, PER 2 -WEEK PERIOD Please list the full value of each item on separate sheet. Items will be pro -rated based on the number of years in service. 3. STATE IF YOUR COMPANY BILLS WEEKLY A ORB:. a. For only the shirts and pants worn per week: b. For entire number of shirts & pants provided per employee: X I hereby agree to perforin said work in accordance with the terms and conditions set forth in the above reference Invitation for Bul for• the uniiprice(s) setforth in this schedule. Mission Linen & Uniform Supply LEGAL NAME OF COMPANY CSLE LICENSE NO. Robert Evans AUTHORIZED SIGNATURE NAME (PRINT) revans@mission linen.com (909)313-1063 EMAIL ADDRESS PHONE NUMBER THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. City of Santa Ann RFP 17.094 Page 17 25B-16 No. of No. of Items Cost Per Unit Extended Total Item per 2 -Week Per 2 -Week Cast Per 2 -Week Period Employees Period Period x 26 Bili Periods ) 1. Pants or shorts & shht 130 11 sets $858.00 $22,308.00 2. Pants or shorts & shirt 10 7 sets $42.00 $1092.00 3. Pants or shorts & shirt 25 5 sets $75.00 $1950.00 4. Jackets 47 2 jackets $56.40 $1466.40 5. Towels - 100 towels $4.00 $104.00 TOTAL BID : ....................... :............ $ $26,920.40 2. REPLACEMENT COST (FOR LOST OR DAMAGED ITEMS) Please list the full value of each item on separate sheet. Items will be pro -rated based on the number of years in service. 3. STATE IF YOUR COMPANY BILLS WEEKLY A ORB:. a. For only the shirts and pants worn per week: b. For entire number of shirts & pants provided per employee: X I hereby agree to perforin said work in accordance with the terms and conditions set forth in the above reference Invitation for Bul for• the uniiprice(s) setforth in this schedule. Mission Linen & Uniform Supply LEGAL NAME OF COMPANY CSLE LICENSE NO. Robert Evans AUTHORIZED SIGNATURE NAME (PRINT) revans@mission linen.com (909)313-1063 EMAIL ADDRESS PHONE NUMBER THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. City of Santa Ann RFP 17.094 Page 17 25B-16 Mission. �. Linen Supply MISSION UNE & UNIFORM SERBIOE ESTIMATED RENTAL COST WORKSHEET FOR ESTIMATED RENTAL COST !]P TC TOTAL TOTAL WEEKLY WEEKLY WEEKLY ANNUAL ITEM INVENTO USAG UNIT RATE' RENTAL COST SHOP TOWEL BLUE 100 50 $0.04 $2.00 $104.00 BAG RACK - 1 , 1 N/C N/C/ N/C LAUNDRY BAG 1 1 NIC N/C/ NIC TOTAL WEEKLY RENTAL $617,71 SERVICE CHARGE ESTIMATED WEEKLY TOTAL $517.71 $26,874.12 25B-17 WEEKLY IVIAL (VIAL 4OF WEEKLY WEEKLY COST PER WEEKLY ANNUAL ITEM EMPLOYEES INVENTORY USAGE UNIT RATE EMPLOYEE RENTAL COST INDUSTRIAL SHIRT 130 11 11 $0.135 $1.485 $193.05 $10,038.60 (INDUSTRIAL PANT 130 11 11 $0.165 $1.815 $235.95 $12,222.60 INDUSTRIAL SHIRT 10 7 7 $0.135 $0.945 $9.45 $491.40 INDUSTRIAL PANT 10 7 7 $0.165 $1.155 $11.55 $600.60 INDUSTRIAL SHIRT 25 5 5 $0.135 $0.675 $16.88 $877.76 INDUSTRIAL PANT 25 5 5 $0.165 $0.825 $20.63 $1,072.76 JACKET 47 2 2 $0.30 $0.60 $28.20 , $1,466.40 !]P TC TOTAL TOTAL WEEKLY WEEKLY WEEKLY ANNUAL ITEM INVENTO USAG UNIT RATE' RENTAL COST SHOP TOWEL BLUE 100 50 $0.04 $2.00 $104.00 BAG RACK - 1 , 1 N/C N/C/ N/C LAUNDRY BAG 1 1 NIC N/C/ NIC TOTAL WEEKLY RENTAL $617,71 SERVICE CHARGE ESTIMATED WEEKLY TOTAL $517.71 $26,874.12 25B-17 XLinen Supply MISSION LINEN & UNIFORM SERVICE - Prep charge for new employee $0.50 Per Garment Name tag charge for new employee $0.50 Per garment Emblem charge for new employee $150 Per Garment Men's Shirt $18.26 Men's Pant $21.74 Slash Pocket Ike Jacket $38.48 Cargo Short $25.42 Polo Shirt $19.98 Women's Shirt $14.58 Women's Pant $21.76 Shop Towel $0.65 Mission Linen Supply uemcu uv�xa vx�wa ¢gimme 1 8W944.5539 1 www.missionlinen.com I Page 18 25B-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT WITH IPC FUEL DISTRIBUTION FOR THE PURCHASE OF UNLEADED AND DIESEL FUEL (STRATEGIC PLAN NO. 6,2) CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' 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 five-year agreement from January 1, 2018 through December 31, 2022 with IPC Fuel Distribution for the purchase of unleaded and diesel fuel in a total annual amount not to exceed $950,000 during each year of the Agreement. The total sum to be expended under this agreement for the entire term shall not exceed $4,750,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City has a fleet inventory of 524 vehicles that use unleaded or diesel fuel. These vehicles are assigned to departments as detailed below: Department # of Vehicles Police 261 Public Works 105 Recreation & Comm Svcs 62 Planning & Building 45 Finance 42 Community Development 8 City Manager 1 The existing fuel contract expires at the end of December 2017, and as a result, a Request for Proposal (RFP -17-108) was developed and made available to fuel service providers throughout 25C-1 Agreement for Unleaded and Diesel Fuel December 19, 2017 Page 2 the area. The City received a total of seven proposals that were evaluated in the following areas: company experience, adherence to the RFP requirements, references, and price structure. The evaluation team, which consisted of staff from the Police Department, Fleet Services, and Central Stores carefully reviewed each proposal and scored each as follows: Vendor Score Merrimac Energy 94.0 IPC Fuel Distribution 92.3 SC Fuels 92.3 Pinnacle Petroleum 87.0 Mansfield Oil 83.3 Assoc. Petroleum 82.6 AAA Oil 81.3 As a result of the initial scoring, staff determined it would be in the best interest of the City to have the top three vendors come in for individual oral interviews to further evaluate and assess the ability of each vendor to provide the best and most reliable fuel service. A separate interview panel was formed which consisted of staff from the City Budget Office and Fleet Services. Upon conclusion of these interviews, the panel scored each vendor on their overall presentation and ability to provide quality fuel service to the City as follows. Staff then took an average of the original score and the interview score to make the recommended selection for the fuel service provider. Vendor Preliminary Score Interview Score Final Score IPC Fuel Distribution 92.3 93.0 185.3 Merrimac Energy 94.0 87.7 181.7 SC Fuels 92.3 84.3 176.6 IPC Fuel Distribution is a Santa Ana based company and has provided fuel for the City over the past year. They are a large company that has shown the ability to provide high quality fuel delivery service at both the City Corporate Yard and Santa Ana Police Department. IPC maintains contractual relationships with over 90 fuel suppliers including all refiners in US markets. Additionally, if an emergency occurs, maintains terminal storage at every west coast terminal and provide 24-hour service capabilities if needed. The RFP also includes a "piggyback" option should any other local jurisdiction want to utilize IPC for their fuel needs. STRATEGIC PLAN ALIGNMENT Approval of this item supports City's efforts to meet Strategic Plan Goal #6 - Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). 25C-2 Agreement for Unleaded and Diesel Fuel December 19, 2017 Page 3 FISCAL IMPACT Funds in the amount of $475,000 for the period of January to June 2018 are budgeted and available in the Central Stores Gas & Diesel Fuel account (07610102 63300). Funds for FY 2018-19 thru FY 2022-23 budgets in the annual amount of $950,000 will be included in the Stores & Property Control Gas & Diesel Fuel account (07610102 63300). APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez 00 Executive Director Finance and Management Services Agency EXHIBIT: 1. Agreement 25C-3 25C-4 EXHIBIT 1 AGREEMENT FOR PROVISION OF GASOLINE AND DIESEL FUEL THIS AGREEMENT is made and entered into this 19`s day of December, 2017 by and between IPC (USA), Inc., a California Corporation ("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. The City desires to retain a Contractor with special skill and expertise to supply the City's annual gasoline and diesel fuel needs. On October 2, 2017, the City issued Request for Proposal No. 17-108, by which it sought Contractors to provide gasoline and diesel fuel services to the City. B. Contractor submitted a responsive proposal selected by the City. Contractor represents that Contractor is a wholesale distributor of diesel, gasoline, LNG/natural gas, jet fuel and other petroleum products that maintains its headquarters in the City and is able and willing to provide such services to the City and as described in the scope of work that was included in RFP No. 17-108 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 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. Consultant's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay Contractor services performed under this Agreement at the rates and charges for fuel identified in Exhibit B. The total annual sum to be expended under the term of this Agreement shall not exceed $950,0.00- during each year of the Agreement. The total sum to be expended under this greement for the entire term shall not exceed $4,750,000.._ _ Page 1 of 11 25C-5 b. Payment by City shall be made within 60 days (sixty) 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. �:±NI This Agreement shall commence on January 1, 2018 -and continue for a five (5) year term until December 31, 2022, unlesstemiinated 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 Page 2 of 11 25C-6 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, 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. Page 3 of 1 I 25C-7 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 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 Page 4 of 11 25C-8 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 interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. DISCRINIINATION 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 Page 5 of 11 25C-9 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 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. 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 of the Finance and Management Services Agency 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. FINES The contractor shall be liable for all violation fines levied against the City by federal, state, or local agencies with regulatory authority related to contractor provided services. 1S. 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. Page 6 of 11 25C-10 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 may be brought or arise out of, in connection with or by reason of this Agreement. 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. NUSCELLANEOUS 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. 22. 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 25C-11 Page 7 of 11 With courtesy copies to: Executive Director, Finance Sonia R. Carvalho and Management Services Agency City Attorney City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-17) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax: Fax: 714- 647-6515 To Contractor: IPC (USA), Inc. 4 Hutton Centre Drive, Ste. 700 Santa Ana, CA 92707 Attn: James Takeuchi 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. [Signatures continue on next page] Page 8 of 11 25C-12 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: da'\Q, VZ� Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: FRANCISCO GUTIERREZ Executive Director Finance and Management Services Agency CITY OF SANTA ANA Raul Godinez II City Manager IPC (USA), INC.: By: James Takeuchi Title: Page 9 of 11 25C-13 EXHIBIT A SCOPE OF SERVICES 25C-14 EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS 17-108 FUEL — GASOLINE AND DIESEL SCOPE OF SERVICES & SPECIFICATIONS The City of Santa Ana seeks a contractor/vendor to provide the delivery of Unleaded Gasoline and Diesel fuel to existing underground storage tanks at the City's Corporation Yard and Police Administrative Facility. ESTIMATED ANNUAL VOLUME OF FUEL PURCHASES Unleaded 87 Octane — 400,000 gallons Diesel 15,000 gallons Volume estimates are based on historical records. The City anticipates an increase in these totals due to an upcoming agreement with Orange County Fire Authority to purchase fuel from the City. DELIVERY LOCATIONS AND UNDERGROUND TANK SIZES Corporate Yard 215 S Center Santa Ana, CA 92703 Three (3) 20,000 gallons tanks for unleaded fuel One (1) 20,000 gallon tank for diesel fuel Santa Ana Police Department 60 Civic Center Plaza Santa Ana, CA 92702 One (1) 20,000 gallon tank for unleaded fuel One (1) 6,000 gallon tank for Red Diesel (one delivery per year @ 200-300 gallons, emergency generator) One (1) Above -Ground 250 gallon tank for Red Diesel (one delivery per year @ 150 gallons) DELIVERY REQUIREMENTS Delivery must be made within two (2) working days after receipt of order. All purchases for underground storage tanks will be a full load. Currently averaging one (1) - two (2) full load deliveries per month at both Corporate Yard and Police Department RFP 17-108 Fuel — Gasoline and Diesel Page 9 25C-15 PRICING AND INVOICING The contract bid price shall include full compensation for providing all required services as specified in scope of work. NO additional compensation will be allowed. For purposes of payment, it shall be the Los Angeles California OPIS Gross 10AM EST Daily Rack Average with CAR report. Pricing on the invoices shall indicate OPIS price for day of delivery and also the price being charged to City. Delivery rate and total delivery charge shall be separate line item and shall not be combined with fuel costs when computing sales tax. QUALITY OF FUELS Fuel provided must meet the latest requirements of the California Air Resources Board (GARB) Phase 2 Reformulated Gasoline and Diesel. Only major oil company quality fuels meeting the following specifications are to be quoted and/or awarded. Gasoline shall be unleaded regular 87 Octane minimum. Diesel Fuel shall be Type 2 Clear. VENDOR/SUPPLIER RESPONSIBILITY Vendor shall be held liable for any damage or criminal/civil citations which may occur as a result of any spills and/or accidents. In addition, the City reserves the right to cancel the agreement of the Vendor/Supplier, notwithstanding compliance with the procedures set forth herein, delivers in a negligent manner or who, under any circumstances, causes a spill while delivering. Vendor shall have title to and bear risk of loss of or damage to the items purchased hereunder until they are delivered in conformity with this agreement at the F.O.B: point specified herein, and upon such delivery title shall pass, except for loss or damage result from Vendor's negligence. Passing of title upon such delivery shall not constitute acceptance of the item by the City. It is the responsibility of the Vendor/Supplier to have the delivering driver measure each fuel tank using City's Veeder Root system before and after each delivery. All deliveries shall be made between 7:00 am to 5:00 pm Monday through Friday, except when orders state that the deliveries must be made at a different time TEMPERATURE CORRECTION Vendor shall correct or adjust gasoline and diesel deliveries so as to be stated, billed, and paid for on the basis of such gasoline and diesel fuel at sixty (60) degrees temperature, using methods that are accepted as being in general use for this method of adjusting volumetric quantities to temperature conditions. RFP 17-108 Fuel— Gasoline and Diesel Page 10 25C-16 MATERIAL SAFETY DATA SHEETS In compliance with Title 8 of the California Code of Regulations (OSHA), the City requires two (2) copies of the U.S. Department of Labor — Material Safety Data sheet for item(s) purchased. The material safety data sheet shall be submitted to the using department at the time of delivery. SOURCE GUARANTEE Vendors who do not own refineries shall have contracts or written irrevocable commitments to contract with refiners which are capable of supplying products which meet fuel specifications in the quantities listed herein. Contracts or commitments must guarantee supply in the required amounts for the term of any contract resulting from the RFP.. Failure to include source guarantee documentation may void response if the City has no prior experience with the vendor. RECORD KEEPING Vendor shall maintain records of the City's purchases and make them available for audit and inspection. Vendor shall record the quantities, cost, delivery locations, and taxes for each delivery. Vendor shall provide the City with a copy of such records within ten (10) days of the City's request. TAXES The City is exempt from Federal Excise taxes and no payment shall be made for any personal property taxes levied on the Vendor or on any taxes levied on employee wages. The City will only pay for any state and local sales or use taxes on the products pursuant to this contract. RFP 17-108 Fuel — Gasoline and Diesel Page 11 25C-17 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable Page 11 of 11 25C-18 CITY OF SANTA ANA REQUEST FOR PROPOSALS 17-108 FUEL — GASOLINE AND DIESEL BID FORM PRICING SHEET Regular Unleaded Gasoline Gasoline prices (four decimal places, i.e. 0.0000) 87 OCTANE Bulk fuels full truck and trailer Delivery size: 7,000+ gallons OPIS Plus cents per gallon Or Minus ��7 IaSd-:2 cents per gallon Delivery O� cents per gallon Other (specify) cents per gallon Applicable Discount(s) cents per gallon Total OPIS + �� • net cents per gallon Smaller Tank less than full truck Delivery size: 3,500 — 6,999 gallons OPIS Plus cents per gallon Or Minus / CC • I a!- —IC�32 cents per gallon Delivery � oy90 cents per gallon Other (specify) cents per gallon Applicable Discount(s) cents per gallon Total OPIS +C / ,.0 • aglo net cents per gallon Large bulk deliveries exceeding 7,000 gallons could include a combined load of gasoline and diesel. Please indicate any split load surcharges in the other category if applicable. Split load surcharges not stated herein will not be allowed on any invoices during the contract. RFP 17-1082 l FuueGasoline and Diesel CITY OF SANTA ANA REQUEST FOR PROPOSALS 17-108 FUEL - GASOLINE AND DIESEL BID FORM PRICING SHEET Diesel - Type 2 Clear Diesel prices (four decimal places, i.e. 0.0000) Bulk fuels full truck and trailer Delivery size: 7,000+ gallons OPTS Plus / \ cents per gallon Or Minus cents per.gallon Delivery n.09-�-00 cents per gallon Other (specify) cents per gallon Applicable Discounts) / \ cents per gallon Total OPIS + < _p . OOriS) net cents per gallon Smaller Tank less than full truck Delivery size: 3,500 - 6,999 gallons OP)S Plus / cents per gallon Or Minus ` C} . �?�'l�j� cents per gallon Delivery 0 • DL-Mcl:� cents per gallon Other (specify) cents per gallon Applicable Discodnt(s) cents per gallon Total OPIS + () 'CAT) net cents per gallon Alternative Renewable Diesel (meeting ASTM D975 spec<�.(�?�`er gallon RFP 17-108 Fuel - Gasoline and Diesel 26220 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: AUTHORIZATION TO ISSUE REQUEST FOR PROPOSAL FOR RECORDKEEPING & INVESTMENT ADVISORY SERVICES FOR THE 457 DEFERRED COMPENSATION PLAN AND ADOPT THE AMENDMENTS TO THE CURRENT AGREEMENTS (STRATEGIC PLAN NO. 7,4) MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16'Reading ❑ Ordinance on 2ndReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Authorize staff to issue two Requests for Proposals: 1) for Recordkeeping and Communication Services and 2) for Investment Advisory Services pertaining to the 457 Deferred Compensation Plan. 2. Authorize the City Manager and Clerk of the Council to execute an extension with Great -West Financial to maintain services during the Requests for Proposals for recordkeeping and communication services pertaining to the 457 deferred compensation plan for a nine-month period beginning January 1, 2018 through September 30, 2018, subject to non -substantive changes approved by the City Manager and City Attorney. 3. Authorize the City Manager and Clerk of the Council to execute an amendment with Benefit Financial Services Group (BFSG), for plan and investment advisory services pertaining to the 457 deferred compensation plan for a one-year period beginning January 1, 2018 through December 31, 2018 for an amount not to exceed $20,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Currently, the 457 Deferred Compensation Plan is administered through the Finance & Management Services Agency and as of November 30, 2017, maintains plan assets approximating $111.8 million with 1,169 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 with Benefit Financial Services Group ("BFSG") providing the investment advisory services. 25D-1 Agreement with Great -West Financial & BFSG December 19, 2017 Page 2 In 2014, the City retained the services of 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, which provided 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. During the month of August 2017, staff was given administrative direction to evaluate the plan, its related services, and the 457 market to ensure that the investment and plan options currently provided to participants is the most cost-effective plan and highest quality of customer service. On September 19, 2017, the City Council adopted a third amendment for a three-month period with Great -West as well as a three-month agreement with BFSG. The three-month period was needed to allow staff to analyze the 457 market and determine the necessary next steps. As such, and in compliance with a core fiduciary best practice, staff is recommending the development and issuance of two Requests for Proposal ("RFP") (1. for Recordkeeping and Communication Services and 2. for Investment Advisory Services) in order to gauge what the 457 plan provider market can offer employees in additional plan benefits and quality of services. The 457 plan provider is a dynamic marketplace and is constantly changing as new plan providers enter the market on a periodic basis. Approval of these amendments will allow staff to develop and issue the RFP and related selection process. It is anticipated that staff will release an RFP no later than February 2018 and take approximately nine months to determine whether to stay with the current provider or select a new provider. The following is a preliminary timeline for each RFP: Recordkeeping : Communication Services Issuance of RFP February 2018 Responses Evaluated April 2018 Vendor Interviews/Selection May 2018 City Council Approval June 2018 Conversion Period August -September 2018 New Agreement October 1, 2018 25D-2 Agreement with Great -West Financial & BFSG December 19, 2017 Page 3 e 1 is Issuance of RFP August 2018 Responses Evaluated September 2018 Vendor Interviews/Selection October 2018 City Council Approval November 2018 New Agreement January 1, 2019 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 related to the management of the 457 Plan. Francisco Gutierrez Executive Director Finance and Management Services Agency W Exhibits: 1. Agreement with Great -West Financial 2. Agreement with Benefit Financial Services Group 25D-3 25D-4 Exhibit 1 Amendment No. 4 Attached to and Forming part of AGREEMENT FOR RECORDKEEPING AND COMMUNICATION SERVICES §457 Deferred Compensation Plan GROUP #98280-01 THIS AMENDMENT NO. 4 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 communication services 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, Great -West and the Plan Sponsor entered into Amendment No.2 ("Amendment No.2") to the Agreement, to renew the Agreement; and Effective August 1, 2017, Great -West and the Plan Sponsor entered into an extension to the term; and Effective October 1, 2017, Great -West and the Plan Sponsor entered into Amendment No. 3 ("Amendment No. 3") to the Agreement, to renew the Agreement through December 31, 2017. 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. Pursuant to Section IX Agreement Term and Termination is amended to extend the term of the Agreement up to and including September 30, 2018. 2. Except as modified by this Amendment No. 4, and all prior amendments, all terms and conditions of the Agreement shall remain in full force and effect. 3. This Amendment No. 4 will take effect upon the date executed by both the Plan Sponsor and Great -West. City of Santa Ana Service Agreement Amend No 4 25D-5 IN WITNESS WHEREOF, the parties have caused this Amendment No. 4 to the Agreement to be executed, in duplicate, by their respective officers and agents thereunto duly authorized. For The City of Santa Ana Signature: Name: Title: For Great -West Life & Annuity Insurance Company Signature: Title: City of Santa Ana Service Agreement Amend No 4 25D-6 Date 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 RAUL GODINEZ, II City Manager FRANCISCO GUTIERREZ Executive Director of Finance, and Management Agency [Signature Page for Amendment No. 4 to Agreement for Recordkeeping and Communication ServicesSection 457 Deferred Compensation Plan between Great -West and Cityof Santa Ana] 25D-7 25D-8 Exhibit 2 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 December, 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 (` kS(T" 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: 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 $20,000 during the tern 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. Page 1 of 9 25D-9 3. TERM . This Agreement shall commence on the date first written above for a one (I) year term from January 1, 2018, to December 31, 2018 unless terminated earlier in accordance with Section I5, 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 Cityto copy, use, modify, reuse, or sublicense any and All copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of Authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to Page 2 of 9 25D-10 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, 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. 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 Page 3 of 9 25D-11 acting on its 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. 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 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 clearlyidentifiable. 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 25D-12 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 maybe 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 Page 5 of 9 25D-13 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. 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. 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 of 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 25D-14 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, Califomia'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 25D-15 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: R ., Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: FRANCIS ICO GUTIERREZ Executive Director Finance and Management Services Agency CITY OF SANTA ANA Raul Godinez, It City Manager BENEFIT FINANCIAL SERVICES GROUP Darren Stewart Vice President and Secretary Page 8 of 9 25D-16 EXHIBIT A SCOPE OF SERVICES 25D-17 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. l) 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/retuni, 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 behalfof 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 25D-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED APPROVE AN AGREEMENT WITH ❑ As Recommended SERVICE FIRST CONTRACTORS DBA E]Amended E]OOrrdinance on 151 Reading SERVICE 1sT FOR FOUNTAIN ❑ Ordinance on 2nd Reading MAINTENANCE SERVICES AT VARIOUS ❑ Implementing Resolution CITY FACILITIES ❑ Set Public Hearing For (STRATEGIC PLAN NO. 6, 1B) CONTINUED TO FILE NUMBER CITYVANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with Service First Contractors dba Service 1st to provide fountain maintenance services in an annual amount not to exceed $96,340, which includes a 20% contingency, for a term from January 1, 2018 through December 31, 2019, with two, one-year renewal options for a total amount not to exceed $385,360, subject to non -substantive changes approved by the City Manager and City Attorney. Through the Civic Center Authority joint powers agreement with the County of Orange, the City of Santa Ana, Parks, Recreation and Community Services Agency (PRCSA) is responsible for providing grounds maintenance services in the Santa Ana Civic Center. As part of the services, there is routine maintenance of the fountains located in the Downtown Civic Center, including Plaza of the Fountains (three fountains), Plaza of the Sun, Sasscer Park, as well as the 2nd Street Mall fountain and the Santa Ana Regional Transportation Center fountain. On October 17, 2017, a Request for Proposals (RFPs) was issued to companies to solicit proposals from fountain maintenance vendors to service our Downtown and Civic Center fountains. Two proposals were received. An evaluation committee consisting of one representative from PRCSA Civic Center Maintenance and one from PRCSA General Maintenance 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. The results of the RFP evaluation were as follows: Vencor Score Service Contractors dba Service 1st 171 California Waters 151 25E-1 Agreement with Service First for Fountain Maintenance Services December 19, 2017 Page 2 The City proposes to enter into a two-year agreement with Service 1st with two, one-year renewal options. 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 Funds are available and will be budgeted in the following accounts for the specified years of the initial term: Accounting Unit Downtown Enhancements (no. 027101 SARTC Operation (no. 06717650-62300) Total FY 17/18 FY 18/19 FY 19/20 $ 41,442 $ 82,883 $ 41,442 $ 3,600 $ 7,200 $ 3,600 $ 3,128 $ 6,257 $ 3,128 $ 48,170 $ 96,340 $ 48,170 Funds will be budgeted in the following accounts for the specified years of the two, one-year renewal terms: Unit uivic renter Maintenance (no. U(413LbU- Downtown Enhancements (no. 02710133 SARTC Operation (no. 06717650-62300) Total Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency FreU Mousavipolur Executive Director Public Works Agency EXHIBIT: 1. Agreement—Service First FY 19/20 FY 20/21 FY 21/22 $ 41,442 $ 82,883 $ 41,442 $ 3,600 $ 7,200 $ 3,600 $ 3,128 $ 6.257 $ 3,128 $ 48,170 $ 96,340 $ 48,170 APPROVED AS TO FUNDS AND ACCOUNTS: �MraAc.� .. Francisco Gutierrez uACcnAD Executive Director Finance and Management Services Agency 25E-2 00q) SERVICE AGREEMENT FOR FOUNTAIN MAINTENANCE BETWEEN SERVICE FIRST CONTRACTORS NETWORK AND THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 19th day of December, 2017 by and between Service First. Contractors Network dba Service 1st, ("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 October 17, 2017, the City issued Request for Proposal ("RFP") No. 17-117 by which it sought contractors to provide fountain maintenance and repair services. B. Contractor submitted a responsive proposal and statement of qualifications on October 26, 2017, that was selected by City. Contractor 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the fountain repair and maintenance services described and set forth in Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The annual amount, including any extension period exercised under Section 3, shall not exceed $96,340, which includes a 20% contingency amount for services to be performed at the sole discretion of the City. The total amount to be expended under this Agreement if all options are exercised shall not exceed-$385,360.- b. xceed.$385,360. 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. Page 1 of 10 2494 3. TERM This Agreement shall commence on January 1, 2018 and continue for a two (2) year term until December 31, 2019, with the option for the City to grant up to two (2) one (1) 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 Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, of 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 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. Page 2 of 10 A 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance, Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. 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 Page 3 of 10 Mp1 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 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. 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. 10. 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 �CC�CC Page 4 of 10 26516 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. 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. 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. 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, 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. Page 5 of 10 4171 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. 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 of the Parks, Recreation and Community Services Agency 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 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 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 Page 6 of 10 2A 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, 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: Executive Director, Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M-23) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-571-4221 To Consultant: Service First 2510 N. Grand Ave., Ste. 110 Santa Ana, CA 92705 Attn: Frank Vandenberg, President Fax: 714-573-2261 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 Page 7 of 10 ?ATA 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.. 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: SONIAR. CARVALHO City Attorney CITY OF SANTA ANA Raul Godinez II City Manager SERVICE FIRST: By: C%31j')- J _ t 14 ri - ._............. ..... __..__. _ Laura A. Rossini Frank Vandenberg Senior Assistant City Attorney President RECOMMENDED FOR APPROVAL: GERARDO MOUET Executive Director Parks, Recreation and Community Services Agency Page 8 of 10 SCOPE OF SERVICES 'G i�iLa�il Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR FOUNTAIN MAINTENANCE RFP NO.: 17-117 Description of Work Exhibit A The Contractor shall furnish all labor, vehicles, chemicals, tools, materials, equipment, transportation, and supervision, except as specified herein as City furnished, to manage and perform maintenance and minor repairs of the fountains identified below: Fountain Location Service Per Week Plaza of the Fountain #1 North of State Building 3 Times Plaza of the Fountain #2 East of Law Library 3 Times Plaza of the Fountain #3 South of Law library 3 Times Plaza of the Sun Fountain Between City Hall and Main Library 3 Times Sasscer Park Fountain Corner of Santa Ana Blvd. and Broadway 3 Times F° Street Mall Fountain Between Sycamore St. and Broadway 3 Times Santa Ana Regional Transportation Center 1 Civic Center Drive and Santiago Street 2 Times Responsibilities Included. Fountain maintenance and repair services covered by this specification include the tasks shown in the table below. Fountain Maintenance & Repair (where ap licable work shall be performed routinely ver manufacturers specifications) 1 I Maintain pumps 2 Maintain pump motors 3 Maintain all plumbing i.e. piping, couplings, and fittings 4 Maintain and utilize chlorine and metering/monitoring equipment* 5 Maintain filters 6 Maintain fountain nozzles free of debris. Replace when spray pattern deviates from intended desi n 7 1 Maintain valves Routine Maintenance and Operation To Meet All O.C. Health Department Requirements 8 Test and adjust the chlorine and other chemicals levels in the water. 9 Test the pH level in the water 10 Add acid or soda ash as necessary to adjust pH level 11 Provide all supplies (e.g., chemicals, testers) 12 Replace carbon dioxide gas cylinders when empty and without interruption to system operation 13 Empty strainer(s) (interceptor basket), skimmers and screens 14 Shock treat when required to maintain water free of algae 15 Vacuum and clean fountain 16 Adjust water level 17 Test and replace underwater lights as outages occur. City of SaantaAna ���RFP 17-117 4n�I�F��12 Periodic Maintenance Per Manufacturers Specifications 18 Backwash and operate filter(s) as recommended by the manufacturer. 19 Replace filter medium, if necessary as recommended by the manufacturer. *Note: It is very important and required that the contractor be experienced with the automated chemical controllers and operate the equipment to control the chemicals on a continuous basis. Fountain Structure Routine Maintenance and Repair 20 Repair interior fountain cracks and leaks caused by normal age and wear. Cracks and leaks caused by extraordinary cause, i.e., vandalism, earthquake, do not apply 21 1 Replace broken or missing skimmer lids and drain covers as necessary. Responsibilities Excluded. Fountain maintenance and repair services covered by this specification exclude the tasks shown in the table below. 1. DEFINITIONS Clean. Free from dirt, dust, spots, streaks, stains, smudges, litter, debris, contamination, or residue or impurities, unsoiled, unstained, or recently washed. Director. The Director of Parks, Recreation and Community Services or their designated representative with the authority to enter into, administer, or terminate contracts and to make findings and determinations on behalf of the City. This is the only individual authorized to change a contract or any of the requirements therein. Contractor. The individual, partnership, company, or corporation responsible for the duties and responsibilities under the Agreement. The term also covers requirements for any subcontractor. The Contractor is ultimately responsible for ensuring that all subcontractors comply with the provision of the Agreement. Day. A normal weekday, unless otherwise specified. Deficiency, A shortcoming in the quality or state of service performed. Disinfect. Cleaning in order to destroy any harmful microorganisms by application of an approved chemical agent. Emergency Work. Any unforeseen circumstance or combination of circumstances that requires immediate action. Tasks Excluded from Fountain Maintenance and Repair Facility Maintenance and Repair 1 Paint interior and exterior of pump/filter-room 2 Maintain um /filter room (e.., lights, ventilation) 3 Repair building electrical components 4 Replace lamps for area and general lighting 5 Repair power panels, switches, outlets, etc. Grounds and Fencing 6 Landscape work 7 Repair fences and gates (including locks) 8 Repair or repaint signs 1. DEFINITIONS Clean. Free from dirt, dust, spots, streaks, stains, smudges, litter, debris, contamination, or residue or impurities, unsoiled, unstained, or recently washed. Director. The Director of Parks, Recreation and Community Services or their designated representative with the authority to enter into, administer, or terminate contracts and to make findings and determinations on behalf of the City. This is the only individual authorized to change a contract or any of the requirements therein. Contractor. The individual, partnership, company, or corporation responsible for the duties and responsibilities under the Agreement. The term also covers requirements for any subcontractor. The Contractor is ultimately responsible for ensuring that all subcontractors comply with the provision of the Agreement. Day. A normal weekday, unless otherwise specified. Deficiency, A shortcoming in the quality or state of service performed. Disinfect. Cleaning in order to destroy any harmful microorganisms by application of an approved chemical agent. Emergency Work. Any unforeseen circumstance or combination of circumstances that requires immediate action. Environmental Pollution. The condition resulting from the presence of chemical, physical, radiological and/or biological forces that alter the life bio systems, structures, and equipment, recreational opportunity, aesthetics or natural beauty or the environment. Frequency of Service. The following are frequencies and their definitions. __FrequentlyAbbreviation Definition Annual A Services performed once during each 12 month period of the contract Semi -Annual S/A Services performed twice during each 12 month period of the contract at intervals of 160 to 200 calendar days Quarterly Q Services performed four times during each 12 -month period of the contract at intervals of 80 to 100 calendar days. Monthly M Services performed 12 times during each 12 -month period of the contract at intervals of 28 to 31 calendar days. Weekly W Services performed 52 times during each 12 -month contract period at intervals of 6 to 8 calendar days. Twice Weekly 2W Services performed twice a week, such as Monday and Thursday or Tuesday and Friday Daily D Services performed each calendar day, Sunday through Saturday, including holidays unless otherwise noted. Three times 3W Services performed three times a week, such as Monday, Weekly I Wednesday, Friday but not consecutive da s. Hazardous Waste. Any waste materials that are toxic or poisonous, corrosive, irritating, desensitizing, radioactive, biologically infectious, explosive, or flammable and hat present a significant hazard to human health and the environment. Special handling procedures and disposal facilities are required for their disposal. Minor Repairs. Repairs that are necessary for maintenance of equipment, such as refacing valve seats, and replacing washers. Minor Parts. Repair parts having a per item cost of $25.00 or less. Owner. The person or persons who own a facility or part of a facility. For purposes of the contract, the City is the owner. Periodic Services. Services which are required less frequently than once per billing period. These normally include services which are performed at a frequency or less than once per month, e.g., quarterly or semi- annually. Preventive Maintenance. Work performed by the Contractor to inspect, repair, and keep in proper operating condition all City equipment the Contractor is responsible for maintaining. Recyclable Materials. Materials that normally have been or would be discarded and that may be reused after undergoing some type of physical or chemical processing. Recyclable materials do not include precious metal bearing scrap and those items that may be used again for their original purpose or function without any special processing. City of Santa Ana RFP 17-117 A Routine Services. Services which are required on a regular basis within each billing period, These normally include services performed at a frequency or at least once per month, e.g., daily or weekly. Work Day. A normal duty day, Sunday through Saturday. 2. FREQUENCY Frequency of "daily" tasks shall be performed at the frequencies identified on Attachment 3-6: Fee Schedule. Contractor shall maintain a set schedule for providing the daily tasks. 3. PERSONNEL 3.1. Project Foreman. Unless the Contractor is available as required herein, the Contractor shall provide a Project Foreman to be available during the normal hours of operation as specified in paragraph C.1.6 to act with full authority for the Contractor. This individual shall be responsible for the supervision, overall administration, and coordination of all required services. The Contractor shall provide the name(s) and telephone number(s) of the Project Foreman(s) within two weeks after contract award date. The Contractor shall provide written notice to the Director in advance of any change of the Project Foreman, The Project Foreman shall be able to understand, speak, read, and write the English language as is necessary for the fulfillment of the terms of the Agreement. The Project Foreman shall return all calls from the Director within two hours. 3.2. Alternate Project Foreman. The Contractor shall designate at least one Alternate Project Foreman to act for the Project Foreman with the same authority during absences of the Project Foreman (e.g., vacation and sick leave). The Contractor shall provide the name(s) and telephone number(s) of the Alternate Project Foreman(s) within two weeks after contract award date. The Contractor shall provide written notice to the Director in advance of any change of Alternate Project Foreman. The Alternate Project Foreman shall be able to understand, speak, read, and write the English language as is necessary for the fulfillment of the terms of the Agreement. 3.3. Contractor Employee Skills Required. The Contractor's employees performing the services required by this Agreement shall have specialized training, prior work experience, or the demonstrated technical skills to fulfill the specific requirements of these Specifications and the Agreement. 3.4. Employee Physical Capabilities. There shall be no discrimination against employees on the basis of handicap or other physically disabling conditions. Contractor shall obey all State and Federal laws concerning the disabled. 3.5. Standards of Conduct for Contractor Personnel. The Contractor shall be responsible for maintaining satisfactory standards of employee competency and conduct and for taking disciplinary action against his employees as necessary. No Contractor employee under the influence of alcohol, drugs, or any other incapacitating agent shall be allowed on the jobsite. The removal from the job site of a Contractor employee shall not relieve the Contractor of the requirement to provide sufficient personnel to perform the work specified in the contract. 3.6. Uniforms. All Contractor personnel shall wear uniforms that are clean and neat and free of wrinkles, tears, holes, frayed edges, spots, stains, body odor, and logos or graphics other than company identification patches. All uniforms should identify the name of the Contractor. Uniforms shall be clearly distinguishable from City employee uniforms. City of Santa Ana dRFP 17-117 B 14% 3.7. Director's Authority. The Director is the only person authorized to direct changes in any of the requirements under the Agreement and, not withstanding any provisions contained elsewhere in the Agreement, and said authority remains solely in the Director. In the event that the Contractor effects any such changes at the direction of any person other than the Director, the changes will be considered to have been made without authority and solely at the risk of the Contractor. In addition, the Director shall have the authority to accept/reject materials, workmanship and to make minor changes in work or schedule, not involving extra cost. When the performance of the work or completion per schedule is determined to be sub -standard, he may (1) recommend that all or a portion of payment be withheld, and/or forfeiture for delay in assessed; and/or (2) direct the work be accomplished by either City forces or separate contractor, in order to complete the necessary work as close to schedule as possible, and withhold the resulting costs. Payment to be withheld shall be deducted from the next monthly payment due the Contractor, or if the amount is insufficient to cover payment, the Contractor shall be liable for said deficiency and will be billed accordingly. The Director or his authorized representative shall decide all questions, which may arise as to the manner of performance and completion per schedule, acceptable fulfillment of the Agreement by the Contractor, interpretation of the specifications, and compensation, including completion of work by alternate sources. 3.8. Subcontractors 3.8.1. Designation of Subcontractors. In accordance with the provisions of Section 4100 and subsequent section of the Government Code concerning the Subletting and Subcontracting Fair - - - --Practices Acti bids on public contracts and -for all -work -except -the -construction; improvement,:or - repair of streets or highways and bridges shall include a listing of all subcontractors who will perform work or labor or render service to the prime contractor's total bid. This requirement for the listing of subcontractors also extends to that portion of street or highway work involving street lighting and traffic signals as noted in Section 4100.5. The portion of work, which will be done by each such subcontractor, must be listed and only one such subcontractor shall be listed for each portion. 3.8.2. Failure to Specify Subcontractors. If the bidder fails to specify a subcontractor for any portion of the work to be performed under the contract in excess of one-half of one percent of the bidder's total bid, he agrees to perform that portion himself. The successful bidder shall not, without the written consent of the city: 3.8.2.1. Substitute any person or firm as subcontractor in place of the subcontractor designated in the original bid. 3.8.2.2. Permit any subcontract to be assigned or transferred or allow it to be performed by anyone other than the original subcontractor listed in the bid. 3.8.2.3. Subcontract any portions of the work after bid is submitted if the cost thereof exceeds one-half of one percent of the total bid and a subcontractor was not designated for the work in the original bid. 4. HOURS OF OPERATION 4.1. Normal Hours of Operation. Normal operating hours shall be from 6:30a.m. to 6:00 p.m. Sunday through Saturday. City of Santa Ana RFP17-117 5. CONSERVATION OF UTILITIES The Contractor shall familiarize himself and require his employees to become familiar and comply with standard operating procedures that comply with conservation regulations. Compliance with Energy Conservation best practice includes: 5.1. Instructing personnel to conserve energy by turning off unneeded equipment and utilities (including electricity and water). 5.2. Using lights only in areas where work is actually being performed. 5.3. Allowing adjustment of mechanical equipment controls for heating, ventilation, and air conditioning systems only by authorized workers. 5A. Turning off water faucets or valves after required usage has been accomplished. 5.5. Complying with water bans imposed by local, state, or Federal agencies. 6. SAFETY. All work performed under this contract shall be performed in a manner as to provide maximum safety to the public and where applicable, comply with all safety standards required by CALrOSHA. The Director reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this Agreement. 6.1. Safety Orientation for Contractor Personnel. The Contractor shall give each new employee performing under this Agreement a safety orientation concerning the hazards and precautions of the job assigned upon starting work. The Contractor shall institute a continual training program to make employees aware of existing hazards and all new hazards relative to work performed under this Agreement. 6.2. Creation of Safety or Health Hazard. If the Contractor performs work in a manner that creates a safety or health hazard to City or Contractor personnel or the general public, the Director may issue an order stopping all or part of the work until the Contractor has taken satisfactory corrective action. No part of the lost time due to such a stop in the work shall be the subject of a claim for extension or for excess costs or damages to the Contractor. 6.3. Protective Equipment. The Contractor shall provide its employees with protection against safety and health hazards by furnishing them with all the protective equipment needed. Such equipment shall be approved for the use intended by the National Institute for Occupational Safety and Health or the American National Standards Institute (ANSI). The Contractor shall post areas that require the wearing of protective clothing or where protective equipment is necessary. 6.4. Material Safety Data Sheets. The Contractor shall submit to the Director or his designated representative Material Safety Data Sheets for all hazardous materials proposed for use in the performance of the contract at least one week prior to actual use. In addition, he shall maintain copies on-site and available for review by his employees and/or the City. 7. ENVIRONMENTAL PROTECTION The Contractor shall comply with all federal, state, and local laws, regulations, and standards regarding the Environmental Protection and Enhancement Program. 8. CONTRACTOR FURNISHED PROPERTY AND SERVICES 8. 1. General. Contractor furnished property and services shall be compatible with existing City systems and equipment as necessary to perform the requirements of the Agreement. The Contractor shall furnish all property and services not specifically identified in Section C.C.4.2 8.2. Security of Contractor Owned Property. The Contractor shall be responsible for the security of Contractor Owned Property. 8.3. Contractor Furnished Equipment. The Contractor shall provide all items necessary for the performance of the contract including the following. 8.3.1. Tools. The Contractor shall provide all tools and repair equipment necessary for maintenance and repair as specified in the Agreement. 8.4. Contractor Furnished Supplies. The Contractor shall furnish all supplies required for his performance under the Agreement, including the following. 8.4.1. Chemicals. The Contractor shall furnish all chemicals and supplies to maintain the water at the prescribed standards of purity and clarity including, but not limited to chlorine (liquid, tablets, granular, or gaseous, depending on the type of dispensing system in use), soda ash, diatomaceous earth, etc. 8.4.2. Test Kits. The Contractor shall furnish test kits for the purpose of monitoring and reporting chemical levels and conditions including but not limited to chlorine levels, pH levels, and alkalinity of the water, etc. 8.4.3. Preventive Maintenance (PM) and Minor Repair Items. The Contractor shall provide all PM and minor repair items including, but not limited to, lubricants, minor parts, fittings, gaskets, bench stock, paint, degreasers, etc. for performance under the contract. 8.4,4. Cleaning Supplies. The Contractor shall furnish cleaning supplies required for performance under the contract. 9. FAILURE TO PERFORM SATISFACTORY 9.1. City Inspection. The Director or his designated representative shall regularly inspect fountains all other City property subject to this Agreement. If said inspection results in discovery of work that is not performed in the manner, and to the professional degree set forth in the Specifications, Contractor agrees that the City shall deduct from Contractor's next monthly payment, the City's actual or estimated cost of performing the work to bring the property into conformance with the specifications. Additionally, City shall impose liquidated damages of up to $300.00 per inspection, per fountain, per day not meeting the specifications during any such inspection. City of Santa Ana gRFP 17-117 B I>f Q 9.2. Billing Adjustments. The Director may make a billing adjustment in monthly payment for the cost to the City to remedy insufficiencies in service rendered by the Contractor. Billing adjustments for this unsatisfactory service may be permanent retention of 100% of the estimated monthly cost for work that is incomplete or deficient as stated herein. 10. HAZARDS The Contractor shall maintain all work sites free of hazards to persons and/or property resulting from his operations. Any hazardous condition noted by the Contractor, which is not a result of his operations, shall be immediately reasonably mitigated then reported to the Parks, Recreation & Community Services Agency. 11. ACCESS TO PRIVATE PROPERTY Prior to any work that will restrict access to private property, the Contractor shall notify each affected property owner or responsible person, informing him of the nature of and the approximate duration of the restriction. 12. EMERGENCY SERVICE Twenty-four hours per day, seven days per week, the Contractor shall be able to receive and respond to the City's call for emergency service. Response time shall be less than two hours to remove or eliminate a public safety hazard. Contractor shall provide the City with a local telephone number where Contractor can be contacted twenty-four hours per day, seven days per week. 13. VEHICLE PASSES The Contractor and Contractor personnel shall obtain vehicle passes from The County of Orange Parking Administrator, Public Facilities & Resources Department. 14.24 -HOUR CONTACT INFORMATION The Contractor shall provide the Director with a telephone number at which a contact person for the Contractor may be reached 24 hours a day. The contact person shall be required to respond back to the Director or his representative within 1 hour. The contact person shall have the appropriate knowledge and/or authority to take appropriate action in response to any emergency situation that may arise involving the contractor's responsibilities hereunder. E01I• 30"XI C -M 15.1. Responsibility for Work. The Contractor shall be responsible for all damages to people and/or property that occur as a resultof the fault or negligence of said Contractor or his employees in connection with the performance of this work. 15.2. Property Damage. Any damage to City property that occurs shall be immediately reported to the Director. The cost of repair, if required, will be at the Contractor's expense. If damage occurs to any adjacent turf, groundcover, shrubs or trees as result of the Contractor's negligence for the cost for necessary repair or replacements of the same shall be at the Contractor's expense. COMPENSATION Fee Proposal including hourly rates if applicable Page 10 of 10 Exhibit B ATTACHMENT 3.6: FEE SCHEDULE CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR RFP NO.: 17-117 Fountain Location Cost Per Frequency Per Weeks Per Annual Cost Service Week Year Plaza of the Fountain 01 North of State Building ! e � 3 Times 52 Week Plaza of the Fountain #2 East of Law Library Gi� f� 3 Times 52 Week Plaza of the Fountain #3 f L South of Library �, S 3 Times 52 Week Is Yl., Plaza of the Sun Fountain Between City Hall and Main Library 2 yes 3 Times 52 Week t 3 2 i3 $f Sasscer Park Fountain Corner of Santa Ana Blvd. and Broadway J, �� S 3 Times 52 Week 13 � (3 2" Street Mall Fountain Between Sycamore St. and Broadway - i ytl -84110 3 Times 52 Week Santa Ana Regional 13 Civic Center Drive and Santiago StreetS6 2 Times 52 Week Transportation Center • Certification- I certify that I have read, understand and agree to the terns and conditions of this Request for Proposals. I have examined the Scope of Services and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarilicationprior to the submission of my propo at. Proposal Item Price -Fee most be inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incident I supplies, travel, mileage,. and fuel. The proposer warrants that the prices, terns and conditioned quoted will be valid for a period of 120 days from the date the roposal is due, in order to allow time to award an agreement. "•Pricing hiforanalion for each site and each service should be as accurate as possible. Bnsed on funding availability, the City may remove a site or redo eWe equeney front the scope of work without affecting pricing for other sites and/or service. P& sl'&Vvt Prmled Nane. A o d o Title Si amre Authorized A t Da® \) & fit' 7,c4 - ZT 71b- r73'ZZb Legal Name of Company Phone and Fax Numbers yst o 01 (%jPA P-lr% ASC, �* "C' ° S A.j +.! A &)A- Cdr q 271a Business Addreec _ t6 bXj 2— Federal ID number (if applicable) ConuaLimUcense Number (if applicable) Federal City of Santa Ana RFP 17-117 Page 33 2 nol 25E-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED APPROVE AN AMENDMENT TO THE ❑ As Recommended AGREEMENT TO INCREASE THE CONTINGENCY ❑ As Amended FOR UNARMED SECURITY GUARD F-1 Ordinance on 2 n Reading STRATEGIC PLAN NO. 6, 1C ❑ Ordinance on 2nd Reading SERVICES (STRATEGIC } El Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CVY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with U.S. Security Associates, Inc., to increase the contingency by $17,255 for a total contingency of $40,055 and total compensation of $1,171,787 to perform unarmed security guard services at various City locations, for the three-year period beginning June 1, 2017, and expiring May 31, 2020, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On March 4, 2017, City staff released a Request for Proposals (RFP) for unarmed security guard services for the facilities. On May 16, 2017 an agreement was awarded by the City Council to U.S. Security Associates. Since then, the need for temporary security services at 625 S. Cypress Avenue has occurred. The Parks, Recreation and Community Services Agency has been working on taking the steps necessary to properly secure this site. Even though City Staff has contacted the Police Department to clear the site and board up the location on several occasions, there continues to be intruders accessing the building. Therefore additional measures have been implemented, such as: Police Clearance: The Police Department cleared the facility again just prior to installation of the metal coverings, discussed below. Access and surveillance: A security gate and door company has installed onto the facility metal window coverings and metal doors. Additionally the company installed cameras for video surveillance. This equipment was leased and will be removed once the facility has been converted to the intended use of a History Center Archive. Security Guards: U.S. Security Associates was contacted and began servicing the site with 7 -day a week service from 6pm to 6am starting November 17, 2018. The additional 25F-1 Agreement Amendment with U.S. Security Associates December 19, 2017 Page 2 steps taken have improved the situation and as of December 11, 2018 security guard services had decreased to three days a week. City staff will continue to monitor the situation to determine the future need for temporary services. The City has used the contingency under the contract to pay for services thus far, but staff is requesting an increase to the contract contingency to replenish the amount anticipated to be used for this purpose. Security Fencing: A purchase order has processed to install an iron fence at the rear of the property to prohibit access from the alley. A temporary construction fence has been installed at the front of the property to also prohibit access. Once the site is ready a more appropriate fencing option will be installed for the front of the property. Electrical: Staff is working on wiring the facility to be able to install an alarm system. This process will take longer as securing the facility and having it be accessible to complete electrical work will take time. 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 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 for the increase in services are available in the following account for the following year: Accounting Unit FY 17/18 FY 18-19 FY 19-20 Recreation (no. 01113230-62300) $17,255 $17,255 $17,255 Gerardo Mouet, Executive Director Parks, Recreation -and Community Services Agency EXHIBIT: 1. Agreement Amendment APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, Executive Director Finance and Management Services Agency 25F-2 FIRST AMENDMENT TO AGREEMENT TO PROVIDE SECURITY GUARD SERVICES WITH U.S. SECURITY ASSOCIATES THIS FIRST AMENDMENT to the above -referenced agreement is entered into on December 19, 2017, by and between U.S. Security Associates, ("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. The parties entered into Agreement #A-2017-130, dated May 16, 2017, ("Agreement"), by which Contractor agreed to provide unarmed security guard services for various City facilities. B. The Agreement provided for unarmed security services by Contractor which began on June 1, 2017 and will expire on May 31, 2020. The Agreement allows for the City to request additional services in a writing executed by the City Manager. C. The parties wish to amend the Agreement to provide additional funding to the contingency amount to provide for additional temporary services being performed by the Contractor at 625 S. Cypress. The Parties therefore agree: 1. Section 3, Compensation, is amended to include an additional contingency amount of '$17;255 (original was $22,800) for additional services during the term of the Agreement. The contingency amount will now be $40,055 a year. The total annual sum to be expended under the Agreement shall not exceed $1,171,787. 2. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. [Signature page to follow] Page 1 of 2 25F-3 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 Byda�-� K . tq-'�— LAURA A. ROSSINI Senior Assistant City Attorney RECOMMENDED FOR APPROVAL GERADO MOUET Executive Director, Parks, Recreation and Community Services Agency CITY OF SANTA ANA RAUL GODINEZ City Manager CONSULTANT Name: Title: Page 2 of 2 25F-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: DECEMBER 19, 2017 TITLE: APPROVED APPROVE AN AGREEMENT AMENDMENT ❑ As Recommended As WITH SUPERIOR PROPERTY SERVICES ElOr Amended ❑ Ordinance on 1s' Reading FOR PRESSURE WASHING SERVICES IN ❑ Ordinance on 2nd Reading THE CIVIC CENTER ❑ Implementing Resolution {STRATEGIC PLAN NO. 6, 1B) ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITV MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Superior Property Services for pressure washing services in the Civic Center by extending the term through June 30, 2018 and increasing the agreement amount by $77,688, which includes a 20% contingency, to cover the extended period, subject to non -substantive changes approved by the City Manager and the City Attorney. On October 13, 2017, a Request for Proposals (RFP) was issued for providing pavement cleaning and hazardous waste removal services in the Civic Center. One proposal was received which was considered non-responsive. Therefore the City rejected the proposal and cancelled the RFP process. City staff is evaluating the language in the RFP and will make any needed modifications to attract more solicitors. In the meantime, in order to avoid a gap in service the City is requesting to extend the agreement of the existing contractor by up -to six months to allow time for a new RFP process. City staff has discussed the matter with the contractor and have come to a tentative agreement to continue service for the current scope and current price until a new RFP is issued and contract is awarded. The amount of $77,688 represents six months of service with a 20% contingency for unexpected service requests. Should the RFP process be completed prior to the six months, the contract will terminate and the remaining contract authority will go unused. 25G-1 Agreement Amendment with Superior Property Services December 19, 2017 Page 2 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 Funds are available in the following accounts for the specified fiscal years: Accounting Unit FY 17/18 Civic Center (no. 07413250-62320) $77,688 A ,- Gerardo Moue Executive Dire for Parks, Recreation and Community Services Agency EXHIBIT: Agreement Amendment APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez \l. Executive Director Finance and Management Services Agency 25G-2 SIXTH AMENDMENT TO AGREEMENT FOR PROVISION OF PAVEMENT CLEANING SERVICES THIS SIXTH AMENDMENT TO THE AGREEMENT is entered into on December 19, 2017, by and between Superior Property Services, -Inc., a California corporation ("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. The parties entered into Agreement #A-2012-248, dated January 1, 2013 ("Agreement"), by which Contractor agreed to provide hardscape pressure washing and cleaning services at various City -owned properties. The term of the Agreement is for a period of five years from January 1, 2013 through December 31, 2017. The Agreement remains in effect. B. On November 18, 2014, the patties executed a First Amendment to the Agreement (#A-2014- 296), by which the original scope of services was expanded and the total annual compensation was increased to pay for the additional services. The total annual compensation included a contingency amount of $10,000, C. On May 14, 2015, the parties executed a Second Amendment to the Agreement (#A-2015- 095), by which the contingency amount for the period of January 1, 2015 through December 31, 2015 was increased by $8,000 and the obligation imposed on the Contractor to use reclaimed water in the performance of its services. D. On October 20, 2015, the parties executed a Third Amendment to the Agreement (#A-2015- 234), by which -the contingency amount for the period of January 1, 2015 through.December 31, 2015 was further increased by $8,250. E. On June 21, 2016, the parties executed a Fourth Amendment to the Agreement (#A-2016-152), by which the compensation each for the period of May 1, 2016 through December 31, 2016 and January 1, 2017 through December 31, 2017 was further increased by $20,000 plus additional contingency funds for each period so that the total annual amount to be expended during each period was not to exceed $118,634.35. F. On April 4, 2017, the parties executed a Fifth Amendment to the Agreement (#A-2017-061), by which the parties agreed to an increase to the compensation and contingency amounts for the period of April 1, 2017 through December 31, 2017, in the amount of $76,680, so that the total amount remaining through expiration of the Agreement was not to exceed $195,315. G. To facilitate the issuance of a new Request for Proposals for pressure washing services, the parties now wish to finther amend the Agreement to increase the term of the Agreement on a month-to-month basis for up to an additional six (6) months and provide additional funds for pressure washing services during this extended term. Page 1 of 2 zo1 The Parties hereby agree: Section 2, Compensation, is further amended to include, for any additional time period stipulated per this Sixth Amendment to the Agreement, an additional amount not to exceed _$77,688. This amount is comprised of a base amount of $64,740 .plus a 20% contingency amount for services as may be directed at the sole discretion of the City. 2. Section 3, Term, is amended to extend the term of the Agreement on a month-to-month basis beginning January 1, 2018, for_ a period of up to six months. 3. Section 12, Termination, is amended to allow the City, during the extended term of the Agreement, to terminate the Agreement upon ten days' written notice to Contractor. 4. Except as modified by this Sixth Amendment, and all prior Amendments, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Sixth 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: JOHFUNK Assis ant City Attorney RECOMMENDED FOR APPROVAL Gerardo Monet, Executive Director Parks, Recreation, and Community Services Agency CITY OF SANTA ANA RAUL GODMZ II City Manager SUPERIOR PROPERTY SERVICES Name: Title: Page 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AGREEMENT WITH THE CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA (CASA) (STRATEGIC PLAN NO. 7,4 & 6) 1 CI ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2n1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adoption of a Memorandum of Understanding (Attachment 1) with the Confidential Association of City of Santa Ana (CASA) regarding wages and other terms and conditions of employment for a term from July 1, 2017 through December 31, 2018, for an estimated cost of $128,000, subject to non -substantive changes approved by the City Manager and City Attorney. The City and the CASA employees recently completed contract negotiations resulting in a new eighteen month Memorandum of Understanding (MOU). The MOU covers July 1, 2017 through December 31, 2018. The terms reflect direction given to staff by City Council and the CASA employees voted and approved these terms on November 29, 2017. The major provisions of this agreement include: 1. Term: An eighteen month term from July 1, 2017 through December 31, 2018. 2. Salary: Effective September 1, 2017, the base salary of employees covered by this MOU shall be increased by two percent (2%). The City agrees to conduct a compensation study of all CASA classifications. The study of the 8 largest Orange County cities will be completed by an outside consultant and shall be completed by September 1, 2018. There shall be no negative impact to any bargaining unit member because of the compensation study. 25H-1 RFCA- CASA MOU Agreement December 19, 2017 pg. 2 3. Health Insurance Contribution: Effective January 1, 2018 the City shall contribute in a monthly amount as follows: Employee up to $654.00 Employee + 1 up to $1,307.00 Family up to $1,700.00 4. Holidays: Adjust current Holiday and Floating Holiday hours to reflect each employee's regular work hours and the addition of one Floating Holiday. Allow employees to take Banked Holiday time off in''/z hour increments. 5. Tuition Reimbursement: Increase current Tuition Reimbursement from $2500 to $3500 per fiscal year. 6. Sick Leave: Employees who have completed twenty-five (25) years of cumulative service with the City shall be entitled to payment for three—fourths (3/4) of the total sick leave benefit credited to his or her sick leave account upon the effective date of his or her termination, not to exceed a maximum limit of 1,200 hours, at the rate of base pay effective on the date of termination. 7. Merit Payment: Effective January 1, 2018, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed, the effective date of such merit step advance shall be retroactive to the first (1st) day of the month following the completion of the required length of service. 8 Part -Time Civil Service Employees: The MOU is modified to include wages and benefits for classifications designate as CASA Part time Civil Service Currently there is one classification, Senior Personnel Analyst designated as CASA-PTCS. 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 and Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success. 25H-2 RFCA- CASA MOU Agreement December 19, 2017 pg. 3 FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that this agreement will result in a net cost to the City of $128,000 during the term of the agreement. APPROVED AS TO FUNDS AND ACCOUNTS: kw Edward S. Raya Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance & Management Services Agency Exhibit: CASA MOU for July 1, 2017 through December 31, 2018 25H-3 25H-4 JULY 1, 2017 THROUGH DECEMBER 31, 2018 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-5 Pagel ABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I RECOGNITION 4 ARTICLE II NON-DISCRIMINATION CLAUSE 5 ARTICLE 111 IMPLEMENTATION 6 ARTICLE IV ATTENDANCE, WORKDAY & WORKWEEK 7 ARTICLE V SALARIES 12 ARTICLE VI ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 19 ARTICLE VII OVERTIME 26 ARTICLE VIII TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 31 ARTICLE IX HOLIDAYS 34 ARTICLE X VACATION 37 ARTICLE XI OTHER LEAVES OF ABSENCE 42 ARTICLE XII EMPLOYEE INSURANCE 51 ARTICLE XIII RETIREMENT 54 ARTICLE XIV SAFETY 57 ARTICLE XV GRIEVANCE REVIEW PROCEDURE 58 ARTICLE XVI ASSOCIATION RIGHTS 61 ARTICLE XVII DUES DEDUCTION & INDEMNIFICATION 64 ARTICLE XVIII CITY RIGHTS 65 ARTICLE XIX STRIKES & WORK STOPPAGES 67 ARTICLE XX LAYOFFS 67 ARTICLE XXI MISCELLANEOUS PROVISIONS 70 ARTICLE XXII SOLE & ENTIRE AGREEMENT 73 ARTICLE XXIII WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 74 ARTICLE XXIV EMERGENCY WAIVER PROVISION 75 ARTICLE XXV SEPARABILITY PROVISION 76 ARTICLE XXVI TERM OF MOU 77 ARTICLE XXVII RATIFICATION & EXECUTION 78 EXHIBITS EXHIBIT A ASSIGNMENT OF CLASSIFICATIONS REPRESENTED BY CASA 80 EXHIBIT B RESOLUTION NO. 81-75 82 EXHIBIT C 9/80 HARDSHIP CLAIM FORM 95 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 2 25H-6 ABLE OF CONTENTS (Alphabetical Order) SUBJECT ARTICLE PAGE ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES ARTICLE VI 19 ASSOCIATION RIGHTS ARTICLE XVI 63 ATTENDANCE, WORKDAY & WORKWEEK ARTICLE IV 7 CITY RIGHTS ARTICLE XVIII 67 DUES DEDUCTION & INDEMNIFICATION ARTICLE XVII 66 EMERGENCY WAIVER PROVISION ARTICLE XXIV 77 EMPLOYEE INSURANCE ARTICLE XII 52 GRIEVANCE REVIEW PROCEDURE ARTICLE XV 60 HOLIDAYS ARTICLE IX 34 IMPLEMENTATION ARTICLE 111 6 LAYOFFS ARTICLE XX 70 MISCELLANEOUS PROVISIONS ARTICLE XXI 72 NON-DISCRIMINATION CLAUSE ARTICLE 11 5 OTHER LEAVES OF ABSENCE ARTICLE XI 43 OVERTIME ARTICLE VII 26 RATIFICATION & EXECUTION ARTICLE XXVII 80 RECOGNITION ARTICLE 1 4 RETIREMENT ARTICLE XIII 55 SAFETY ARTICLE XIV 59 SALARIES ARTICLE V 12 SEPARABILITY PROVISION ARTICLE XXV 78 SOLE & ENTIRE AGREEMENT ARTICLE XXII 75 STRIKES & WORK STOPPAGES ARTICLE XIX 69 TERM OF MOU ARTICLE XXVI 79 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM ARTICLE VIII 31 VACATION ARTICLE X 37 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU ARTICLE XXIII 76 EXHIBITS: ASSIGNMENT OF CLASSIFICATIONS REPRESENTED BY CASA EXHIBIT A 80 RESOLUTION NO. 81-75 EXHIBIT B 82 9/80 HARDSHIP CLAIM FORM EXHIBIT C 95 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 _ Page 25H-7 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, et seg., the City of Santa Ana (hereinafter called "the City") has recognized the Confidential Association of Santa Ana (hereinafter called "CASA") as the majority representative of the bargaining unit which includes all full-time and designated Part -Time Civil Services (PTCS) employees employed by the City of Santa Ana in classifications heretofore designated as "confidential' and which are listed in Exhibit A of this Memorandum of Understanding ("MOU"), 1.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter or award Civil Service rights or privileges to any employee represented by CASA who is in the Excepted (Exempt) Service of the City of Santa Ana. 1.3 During the term of this MOU, no substantive issue of representation shall be raised contrary to this MOU except as provided in this MOU or in Resolution No. 81-75, the Employer -Employee Relations Resolution of the City of Santa Ana (refer to Exhibit B). 1.4 The term "employee" or "employees" as used herein shall refer only to full- time and designated Part -Time Civil Service CASA employees of the City, in the employee classifications listed in Exhibit A of this MOU, as well as such classifications as may be added hereinafter by resolution of the City Council. 1.5 It is the purpose of this MOU to promote and provide for harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU, which the parties intend to submitjointly and recommend for approval to the City Council of the City of Santa Ana. 1.6 Employees designated as Part -Time Civil Service (PTCS) within this Bargaining Unit are covered under all sections of this MOU. PTCS employees will work between 20 and 39 hours per week. CONKDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-8 Page 4 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and CASA agree that they shall not discriminate against any employee because of race, color, gender, sexual orientation/association or perception, age, national origin, ancestry, disability, medical condition, marital status, pregnancy, childbirth or related medical conditions, genetic information, political or religious opinions or affiliations, orCASA membership. The City and CASA shall reopen any provision of this MOU for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this MOU in compliance with State or Federal anti -discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-9 Page 5 ARTICLE III 3.0 IMPLEMENTATION 3.1 The parties agree that this MOU shall not be binding upon the parties until the City Council: A. Acts, by majority vote, to formally approve this MOU; and B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Notwithstanding the foregoing, in the event the City Council fails to take all actions necessary to implement this MOU in a timely manner, the parties understand that they may mutually agree to implement appropriate provisions of this MOU that do not require specific approval by the City Council. 3.3 Implementation shall be effective as of the date the MOU is formally approved by the City Council. If the parties fail to agree to implement provisions of this MOU not requiring City Council approval, then negotiations shall resume upon the request of either party. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-10 Page 6 ARTICLE IV 4.0 ATTENDANCE, WORKDAY & WORKWEEK 4.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed by the Department Head or his or her designee(s) and shall not absent themselves without approval of the Department Head or his or her designee(s). 4.2 Hours of Work. Eight (8) hours of work shall constitute a normal workday and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special schedules have been approved by the City Manager. A. 4/10 Work Schedule. The Department Head, with the approval of the City Manager, may assign employees to a workweek consisting of four (4) ten-hour (10 -hour) days with an additional one-half (1 /2) or one (1) hour for unpaid lunch, as negotiated with CASA. The assigned employee shall work four (4) ten (10) hour days and shall have three (3) consecutive days off in a workweek. Upon mutual agreement between the supervisor and employee, the employee may waive his or her right to three (3) consecutive days off in a workweek. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. 9/80 Work Schedule. The work schedule described below is known as the "9/80" work schedule. The "9/80" work schedule is designed to be in compliance with the requirements of the Fair Labor Standards Act (FLSA). In the event that there is a conflict with the current rules, practices and/or procedures regarding work schedules and leave plans, then the rules listed below shall govern. Employees shall be permitted to work a "9/80" work schedule when authorized by the Department Head and approved by the City Manager. A departmental work unit shall not be permitted to work this schedule if in the discretion of the Department Head and City Manager, the "9/80" work schedule may reduce service to the public. 1. "9/80" Work Schedule Defined. The "9/80" work schedule shall be defined as working eighty hours (80) over nine (9) days in a two-week period. An employee shall work eight (8) days for nine (9) hours per day and one day for eight (8) hours, excluding CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017 - 2018 Page 7 25H-11 a one-hour lunch during each work shift, totaling forty (40) working hours in each FLSA work week. a. The Work Week Period. The forty (40) hour FLSA work week period shall be defined as the work period starting from Friday at mid -shift to Friday at mid -shift. No employee working the "9/80" work schedule shall be able to flex their Friday start time nor the time they take their lunch break, which shall occur in the middle of the day on Fridays. b. The 9/80 Work Period. The "9/80" two-week work period for employees starts Friday mid -shift and continues for fourteen (14) days until Friday mid -shift. During this period, each week is made up of four (4) nine -hour work days (thirty-six hours) and one (1) four-hour Friday for a total of forty (40) work hours in each workweek (e.g., the Friday is split into four (4) hours for the first shift, which is charged to work week one, and four hours (4) for the second shift, which is charged to work week two). C. Work Schedule Changes. Employees shall not be permitted to change their work schedules without prior approval of their supervisor and Department Head. d. Modifications of the FLSA Work Week. Modifications of the FLSA work week period are not permitted unless authorized by the Executive Director of Personnel Services and the City Manager. e. Emergencies. All employees on the "9/80" work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Department Head or designee, may require such service from any of said employees. 4.3 9/80 Schedule Hardship Claims. Any employee having been authorized to work the "9/80" work schedule who subsequently encounters a personal hardship with his or herwork hours may request an accommodation from his or her Department Head. A "hardship request" shall be limited to an employee's authorized hours of work. An accommodation shall be CONFIDENTIAL ASSOCIATION OF SAMA ANA(CASA) MOU: 2017-2018 Page8 25H-12 considered only after the employee has exhausted all other personal options to resolve the hardship. If the employee is unable to resolve his or her problem, the employee may request an accommodation from their Department Head by submitting a hardship claim. The Department Head may authorize an accommodation after reviewing the claim or assign a manager to investigate and recommend a resolution of the hardship claim. The manager may recommend one of the following: A. Approve an appropriate flex schedule that does not disrupt the department's ability to deliver its services or that does not create disruption in the work unit; or B. Disapprove the employee's proposed solution to resolve the hardship; or C. Reassign the employee to a 5/40 work schedule. The Department Head may accept any one of the manager's recommendations or advance his own to resolve the hardship. D. Hardship Claims. The following process shall apply to CASA employees on a 9/80 schedule with hardship concerns: Employees shall be required to explore and exhaust all personal options to resolve the hardship. The employee's efforts to resolve his or her personal situation must be explained on the form. 2. An employee claiming an ongoing hardship due to the 9/80 work schedule should submit a hardship claim form (ExhibitC of this MOU) to the Department Head through his or her manager. The Department Head may authorize an accommodation after reviewing the claim or may assign a manager to investigate and recommend a resolution. 3. If, according to the employee, the hardship claim was not resolved through the Department Head's recommendation, the employee may submit the claim form to the Personnel Services Department, M-24. A Hardship Committee shall be established to assist in the resolution of hardship claims and meets on an as - CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 25H-13 needed basis. The Hardship Committee will review the claim and make a recommendation to the Department Head. 4. Hardship claims due to health reasons, either the employee's or a dependent's, must be supported by medical verification signed by the employee's or dependent's private physician. 5. In cases where a hardship exists, as determined by the Hardship Committee, efforts will be made toidentify alternatives with due regard to the employee's request but, with particular concern to the needs of the department. The Department Head has final approval on any work schedule adjustment. 6. If transferred or reassigned to a different department and a hardship continues, a new hardship claim must be filed with the new Department Head. 7. It is the employee's responsibility to notify his or her supervisor if the hardship terminates and return to the normal 9/80 work schedule. Inconvenience or preference does not constitute a hardship. 4.4 Overtime Defined. All FLSA nonexempt employees working under the "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in an FLSA work week as required under FLSA: Employees are required to obtain supervisor authorization before working any overtime. A. Overtime Compensation. Overtime work, and compensation for same, shall follow the provisions stated in Article VII - Overtime. Compensatory Time. Terms and compensation for Compensatory Time shall follow the provisions stated in Article VII - Overtime. 4.5 Leave Benefits. When an employee is off on a scheduled workday under the "9/80" work schedule, nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance;if the day off is a Friday, then eight (8) hours shall be charged. When an employee is off on a scheduled workday under the "4/10" work schedule, ten (10) hours of eligible leave per workday shall be charged against the employee's leave balance. All leaves shall continue under the current accrual, eligibility, request and approval requirements. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 10 25H-14 A. Vacation Leave. Provisions for vacation leave are found in Article X of this MCU. Sick Leave. Provisions for sick leave are found in Article XI of this MOU. C. Bereavement Leave. Provisions for bereavement leave are found in Article A of this MOU. D. Holidays. Provisions for holiday leave are found in Article IX of this MOu. E. Jury Duty Leave. If an employee is called to serve on jury duty during a normal Friday off, or a Saturday, orSunday, or on a City holiday, then the jury duty shall be considered the some as having occurred during the employee's day off work; therefore, the employee shall receive no added compensation. See Article XI, Section 11.4, Jury and Witness Leave. PTCS designated employees shall accrue vacation, sick, personal necessity and any other types of leave at a rate of 75% of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-15 Page 11 ARTICLE V 5.0 SALARIES 5,1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full-time and designated PTCS personnel who are now employed or shall in the future be employed in any of the designated classifications of employment represented by CASA as listed in this MOU and its attachments. 5.2 Salary Schedule. The basic salary schedule, periodically updated and published by the City provides numerous salary rate ranges, each comprised of six (6) steps or rates of pay. The steps within each rate range are identified by the letters "AA" through "E" inclusive, with Step "AA" being the lowest step in the range. The purpose of each step and the length of service required for advancement to the next higher step within a particular salary rate range as set forth in the City's salary schedule, as periodically updated and published by the City. The assignment of classifications to salary rate ranges for full time personnel is listed in the City's salary schedule, as periodically updated and published by the City. 5.3 Salaries. A. Effective September 1, 2017 CASA members' base salaries shall be increased by two percent (2%). B. Should Executive Management, non -sworn POA, or SAMA under successor agreements to those MOU's or agreements that are orwere expired on or after July 1, 2017, accept better salary provisions than those provided to CASA, CASA shall receive the equivalent salary increases, including retroactive pay, provided to the other employee group or association. . C. The City shall conduct a compensation study of all CASA classifications. The study of the eight (8) Orange County cities with the largest populations will be completed by an outside consultant and shall be completed by September 1, 2018, There shall be no negative impact to any bargaining unit member as a result of the compensation study. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 12 25H-16 5.4 Application of Basic Compensation Plan. The salary rate ranges discussed in Section 5.2 are monthly salary rate ranges. All full-time employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, except that an employee hired for temporary work in a position which has an anticipated duration of less than six (6) months shall be paid at a rate per hour for actual time spent in the performance of the duties of his or her employment. The regular rate of pay shall be computed as provided for by the FLSA. Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate plus any applicable premiums by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter, and employees re-employed from re-employment lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) and six (6) months from the date of appointment from a promotional eligible list. 5.6 Beginning Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "AA" in the salary rate range allocated to the classification of employment for which he or she has been hired. In special instances where such new employee possesses unique and exceptional educational training and/or experience qualifications, the Department Head, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "A," "B," "C," "D" or "E" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the employee shall be entitled to advance to the next salary step in accordance with the provisions of this Article. 5.7 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in a higher classification, or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (1st) working day of the month shall not be credited with "time in service' CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 13 25H-17 for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer than thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this MOU, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed as provided in the Santa Ana Municipal Code Section 9-114 within one (1) year and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean separating from full-time City employment altogether, not leaving one position to accept appointment to another position in an unrelated classification outside the career ladder. 5.8 Advancement within Ranges. A. Length of Service Advancements. After the salary of an employee has been first established and fixed under this plan, such employee shall be advanced from Step "AA" to Step "A," from Step "A" to Step "B," from Step "B" to Step "C," or from Step "C" to Step "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 5.2 and the City's salary schedule, as periodically updated and published by the City. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 5.2 and the City's salary schedule, as periodically updated and published by the City; the effective date of such merit increase, if granted, shall be on the first (1st) day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 14 25H-18 during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Department Head, at least twenty (20) calendar days, prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Department Head as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D" shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 5.8 of this Article. 4. Effective January 1, 2018, notwithstanding the foregoing provisions of this subsection to the contrary, a merit "E" step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed, the effective date of such merit step advance shall be retroactive to the first (1 st) day of the month following the completion of the required length of service. C. Length of Service Required When Advancement Denied. When an employee has not been approved for advancement to merit Step "E," he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the some actions as provided in subparagraphs B.2 and B.3 of this section. 5.9 Reduction in Salary Steps. Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Department Head, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 5.8 above, and such employee may be considered for re -advancement under the some provisions as contained in Subsection C of Section 5.8 above. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page15 25H-19 5.10 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than Step "AA," he or she shall be placed in the lowest step in the appropriate salary rate range as will grant that employee a minimum increase of 5% over his or her current base salary step, inclusive of lead pay, and exclusive of any other assignment or special pay additive or additives such as bilingual pay, shift differential, special skill pay or the like, except when placement at "E" step will not be sufficient to provide a 5% increase. 5.11 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) salary step (approximately 5%). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D. If the salary rate recommended by the Department Head is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be handled in accordance with the provisions for salary reductions in Section 5.9 above. 5.12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Reauest for Classification Review. Any employee who, for a continuous period exceeding six (6) months, believes he or she is regularly and consistently performing duties and/or responsibilities not in conformance with CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 16 25H-20 their classification concept or, duties and/or responsibilities of another classification, may request a classification review of their position through their supervisor to the Department Head. The employee must submit their request on a form specified by the Executive Director of Personnel Services, outlining in writing how they believe their current duties and/or responsibilities differ from their classification concept. A. The Department Head shall review the employee's submitted request and within sixty (60) days shall make one of the following determinations: Will support the employee's request. a. If the Department Head supports the employee's request for a classification review, he or she shall forward the request to the Executive Director of Personnel Services along with justification for support of the employee's request. b. The Department Head shall notify the employee that his or her request has been submitted to the Executive Director of Personnel Services. 2. Will not support the employee's request. a. If the Department Head does not support the employee's request for a classification review, he or she shall notify the employee of this decision in writing and set forth the basis for the decision. b. If the Department Head does not support the employee's request, but agrees that some of the duties and/or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: Return the employee to performance of the duties and/or responsibilities of their proper classification. Eliminate the higher duties and/or responsibilities being performed by the employee, for which the CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2D18 Page 17 25H-21 City has agreed are those for which it shall provide higher compensation. B. Any employee request for classification review approved by the Department Head shall be forwarded to the Executive Director of Personnel Services. The Executive Director of Personnel Services shall confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Personnel Services shall notify the employee and Department Head of the decision as to whether a study will be conducted, If the Executive Director of Personnel Services determines that a study is appropriate, the Executive Director of Personnel Services shall so notify the employee and the Department Head in writing and shall provide the employee and Department Head with an approximate start date for the study. C. All determinations of the Department Head and the Executive Director of Personnel Services are final. D. All studies and study findings shall require City Manager approval before proceeding. E. All recommendations resulting from study findings require the approval of the City Council and shall be implemented in accordance to the City's Civil Service rules. 5.14 Wherever reference is made to a required number of days, months, or years for Full Time Civil Service employees in this Article, an equivalent number of hours shall be substituted to satisfy an equivalent to 75% requirement for designated PTCS employees. Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate plus any applicable premiums by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole centand a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-22 Page 18 ARTICLE VI 6,0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 6.1 Assignment Pay Differential. Assignment pay differentials, as listed herein and throughout the MOU, shall, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for the calculation of an additional pay differential. A. Employees who are assigned by a Department Head, with the prior approval of the City Manager, to a position requiring the ability to take dictation at a rate of 70 words per minute or better on a regular basis or as an essential or integral element of the work of the position, shall be paid a monthly differential of sixty dollars ($60) above his or her then current base monthly salary step for each full month of such assignment. B. Full-time incumbents in any classification listed in this MOU who are required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly pay premium of forty dollars ($40) above his or her then current base monthly salary step. 6.2 Lead Pav. Incumbents in any classification listed in this MOU who are regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the same or lower classifications as the incumbent may be compensated forsuch duties upon mutual agreement of the City and CASA and approval of the Department Head and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay" and shall be calculated at a rate 5% above the employee's then current base salary step. In addition, incumbents in any classification listed in this MOU who are regularly and continuously assigned to perform lead supervisory responsibilities shall receive lead pay compensation ata rate 5% above his or her then current base monthly salary step. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 20)7-2018 25H-23 Page 19 6.3 Bilingual Pay. An employee who is assigned by a Department Head or his or her designee to a position requiring bilingual capability in both English and either Spanish, Samoan, Vietnamese or other languages designated by the City Manager, shall be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. The employee must be certified by the Executive Director of Personnel Services, or his or her designee, as having satisfactorily demonstrated conversational fluency in both English and the second language for any position requiring bilingual capacity. B. Positions where it has been determined by the Department Head that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of one hundred seventy-five dollars ($175) above his/her then -current base monthly salary step: C. Positions where it has been determined by a Department Head that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, shall be designated as Secondary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of forty dollars ($40) above his or her base monthly salary step for each full month of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Department Head and the City Manager. E. There shall be periodic recertification of such bilingual capability. P. All assignments to positions set forth in this Article shall be made or revoked at the discretion of the Department Head. G. If the City modifies the amount of bilingual pay for any other bargaining unit during the term of this MOU, CASA agrees to form a Joint Labor Management Team with the City to review bilingual pay provisions and assignments (see also Article XX1, Section 21.3). CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 20 25H-24 6.4 Shift Differential. A. Generally. An employee in a classification represented by CASA who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4'/2) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid a shift differential for his or her entire work shift at a rate set 5% higher than his or her then -current base monthly salary step. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1St) day of the second (2nd) payroll period following City Council approval of this MOU, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. 6.5 Temporary Upgrade Assignment Pav. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full-time, budgeted, higher-level position the following shall apply: A. General Guidelines Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, full-time, budgeted positions due to the termination, promotion or authorized long-term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminated at any time, but in no event shall such assignment continue beyond one hundred eighty (180) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Department Head shall make the following determinations: a. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOL1: 2017-2018 Page 21 25H-25 pending the return to duty of the absent incumbent or preparation of an eligible list, whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his or her designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. Eliaibility. Regular, full-time employees shall be eligible to receive Temporary Upgrade Assignment Pay if the work assumed encompasses the majority of the typical duties and responsibilities of the vacated higher-level position, and the employee meets the qualifications outlined in B.2, below. a. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: i. Non -permanent employees (Probationary, Part- time, Seasonal, etc.). ii. Employees performing work above their regular classification in a training capacity. 2. To qualify for temporary upgrade assignment pay, employees must serve in an acting capacity in the higher-level classification as follows: o ten (10) consecutive working days of eight (8) hours each; or o eight (8) consecutive working days of ten (10) hours each for employees working an alternative work schedule; or o any combination of consecutive working days consisting of nine (9) hours each and one (1) working day consisting of eight (8) hours, for a CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page22 25H-26 total of 80 hours of work for employees working the "9/80" work schedule. a. A permitted absence of two working (2) days or less during such ten (10) day period shall not be deemed to void such consecutive service; however, the days of absence shall not be counted in the computation of eligibility to qualify for the temporary upgrade assignment pay. b. In computing qualifying service rendered, only full days of actual duty shall be included, and partial days shall not be combined to make full days unless they are normally granted holiday hours. Normally granted holidays will be included in computing actual duty days. C. Employees must re -qualify for a Temporary Upgrade Assignment if the employee has not worked in this specific upgrade assignment for a period of eighteen (18) consecutive months or longer. The employee shall only be considered to work in a higher classification if such work is duly and specifically authorized by the employee's Department Head. 3. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. C. Payment. On the next consecutive working day following the qualification period for temporary upgrade that an employee has been serving in a Temporary Upgrade Assignment, and for each additional consecutive working day the employee so serves, he or she shall receive the beginning rate (Step "AA") assigned to the higher classification or the lowest rate in that range which is at least 5% higher than the current base salary rate he or she normally receives (inclusive of lead pay and exclusive of any other assignment or special pay additive or additives), whichever is greater, except when placement at "E" step shall not be sufficient to provide the 5% increase. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 23 25H-27 During the term of this MOU, if an employee has worked in a higher classification for the required minimum number of consecutive work days to qualify for temporary upgrade assignment pay, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the term of this MOU. 2. Assignment or special pay additives, such as bilingual pay, shift differential, special skill pay, etc., paid to an employee prior to becoming eligible for Temporary Upgrade Assignment Pay, shall not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 6.5C above. If the special circumstances upon which the additive is based are also applicable to the Temporary Upgrade Assignment and the employee remains eligible for such pay while in the temporary upgrade position, this amount shall be added to the new salary rate range. 3. Temporary Upgrade Assignments which entail moving an employee into a classification represented by an employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee. 4. While working in a Temporary Upgrade Assignment, an employee shall continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases shall be paid only to maintain the minimum five percent (5%) differential above the salary to which an employee is entitled in his or her permanent position. 6.6 Confidential Premium - An employee who is routinely and consistently assigned to sensitive positions by a Department Head, involving labor negotiations which require trust and discretion, in accordance with Government Code section 3507.5, will be paid at a rate set 2.5% above his or her then current base monthly salary step. 6.7All assignments of personnel to positions set forth in Sections 6.1 through 6.6 above shall be made or revoked at the discretion of the Department Head. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; 2017 - 2018 Page 24 25H-28 6.8 Career Development Incentives. Employees hired in a classification which requires a specialized certificate as a prerequisite to hiring, either upon appointment or by the time of the employee's passage of probation ("regular appointment"), shall not be eligible for career incentive pay for that prerequisite certificate. However, they shall be eligible for career incentive pay for any other certificates approved for their classification. In no event shall the application of this Career Development Incentive provision result in an individual being eligible to earn more than 12.5% above his or her current monthly base salary step. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: 2017-2018 25H-29 Page 25 ARTICLE VII 7.0 OVERTIME 7.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager orthe Department Head, mayrequire an employee to perform overtime work. 7.2 Definition. Overtime work for those on a 5/40 work schedule is defined as: A. That authorized or required time worked in excess of the normal workday, tour of duty, or workweek schedule for the particular classification and organizational unit of an employee. A workweek is a fixed and regularly recurring period of 168 consecutive hours - 7 consecutive 24-hour periods - as designated by the appointing authority. Anemployee's work schedule Within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XVIII. B. Work on observed holidays or work on any regularly scheduled non - work day of which there shall be two (2) per week, if work on any regularly scheduled non -work day is worked at management's direction. 7.3 Computation of Forty 1401 Hour Workweek. In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: actual work time, jury/witness leave, and bereavement leave. Any combination of these work hours in excess of eight (8) hours per day (except for employees on a 4/10 or the 9/80 work schedule) or forty (40) hours per week shall entitle the employee to overtime compensation. Paid time off for vacation leave, all unpaid leave, Association release time and compensatory time off shall not be credited towards the forty (40) hour workweek. No employee shall work overtime hours unless authorized by the department head or his/her designee. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-30 Page 26 7.4 All FLSA nonexempt employees working under the "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in a FLSA work week as required under FLSA. Should the City modify the manner by which it pays overtime (FLSA) to members of other miscellaneous bargaining units, CASA agrees to reopen this topic for discussion, 7.5 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one-half (1.5) times the employee's regular rate of pay, subject to the provisions of Subsection C below. B. Should the Department Head determine that the best interests of the City will be served thereby, he or his designee may permit an employee to be compensated for overtime work by taking paid compensatory time off in lieu of monetary compensation. C. Employees shall have the option with Department Head approval to convert a maximum of eighty (80) hours of time and one-half paid overtime (in compensation for 53 1/3 [fifty-three and one-third] overtime hours worked) to time and one-half compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee when requested at least 72 hours in advance, provided it does not unduly disrupt the operations of the agency. If the Department Head or his or her designee subsequently denies the requested compensatory time off, the employee and department shall mutually agree on a future date within one year when the employee can use the paid compensatory time off. If the requested compensatory time offis not used within that one year, such compensatory overtime will be paid off in cash. D. The compensatory time bank for employees covered by this MOU has a maximum accrual limit of one hundred and sixty (160) hours. E. Because each hour of overtime worked is accrued on a time and one- half basis, compensatory time off shall be taken, and monetary payment shall be paid, on a straight -time basis. Also, upon termination, any earned, unused compensatory time off ("time -on -the - books") shall be paid on a straight -time basis. Time off with pay to compensate for overtime worked may be taken in increments as small as a half ('/2) hour. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 27 25H-31 G. If compensatory time off is used in excess of that available, such excess compensatory time off shall first be deducted from any available vacation benefits, after which it shall finally be deducted from the next scheduled wage or salary payment. H. Time off with pay as compensation foroverfime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. 7.6. No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, holidays, vacation accrual, sick leave accrual and employee insurance benefits), toward the completion of probationary period, or to progression within salary rate range. 7.7 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shall arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment. 7.8 Call -Back Dutv. Any employee covered by this MOU who is recalled to active duty from off-duty, shall be entitled to overtime pay at the rate of one and one-half (1 '/2) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 7.9 Declaration of State of Emeraencv. Upon the occurrence of fire, flood, earthquake, strike, riot, or other catastrophe or emergency which directly affects city operations or the welfare of the City's citizens, the City Manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all regular full-time CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 28 25H-32 employees of the City to work overtime or off -shift as he or she shall determine, to protect life and property within the City. 7.10 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated by either legislative orjudicial action, they shall meet and confer regarding any proposed changes to this MOU; however, no such changes shall be made except on mutual agreement. 7.11 Reopener. If, during the term of this MOU, the City modifies the manner in which it pays overtime (pursuant to the Fair Labor Standards Act), the City and CASA agree to reopen this provision of the MOU and commence discussions regarding the City's modifications to overtime payments. 7.12 Court Appearance. Compensation for court appearance by employees covered by this MOU shall be as follows: A. For each required court appearance made by an employee during his or her off-duty time in regard to City business, the employee shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day. However, in no case shall an employee receive less than two (2) hours overtime for a court appearance during his or her off-duty hours. If separate court appearances are made both in the morning and afternoon of a particular day, a minimum of two (2) hours overtime shall be allowed for each session attended. If the employee is not released from a morning session and must remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. B. A subpoenaed employee scheduled to appear in court on City business during off-duty time may be placed on standby status by the Department Head or his or her authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off-duty employee is on standby status during any court session and is not required to appear in court, such employee shall be compensated two (2) hours on a straight time basis, for each court session. Such employee may elect, in lieu of paid time, two (2) hours of compensatory time off for standby CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 29 25H-33 time and not appearing in court, with the approval of the Department Head. If such off-duty employee on standby actually appears in court, he or she shall be compensated as provided in Subsection A. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 30 25H-34 ARTICLE VIII 8.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 8.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 8.2 Eligibility. A. Applications for tuition reimbursement shall be considered only from full-time and designated PTCS, permanent City employees who have completed the probationary work test period. Reimbursement is not authorized for courses forwhich the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, etc. C. Applications shall be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or herjob, may be reimbursable only after all required occupationally related courses have been completed. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; 2017-2018 25H-35 Page 31 Approval shall be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Personnel Services Department. G. When an employee is required by his or her Department .Head to attend a particular course or seminar, the expense shall be borne entirely by the department. 8.3 Reimbursement. A. Reimbursement shall be based on the cost of tuition, required enrollment/registration fees, miscellaneous fees (health, parking, student union fees, etc.) and all required texts, eBooks and related material for each course. Additional expenses such as meals are not reimbursable. B. Costs for required texts are eligible for one hundred percent (100%) reimbursement subject to the following conditions: A duplicate of the required text(s) and eBooks was unavailable for loan from the departmental libraries prior to the commencement of course work; or 2. Any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is three thousand five hundred dollars ($3,500) perfiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. D. Employees shall be limited, for purposes of tuition reimbursement, to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two-thirds (2/3) of one (1) "semester" unit. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 32 25H-36 8.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article mustcomplete, in duplicate,on Application for Training and Educational Assistance form and submit it to his or her Department Head prior to the commencement of class(es) or the payment of fees for registration/tuition. B. The Department Head shall recommend approval or disapproval based on established criteria and budgetary constraints, and then shall forward the application to the Executive Director of Personnel Services. C. The Executive Director of Personnel Services or his or her designee shall approve or disapprove the application for the City Manager. One copy shall be returned to the employee and the duplicate shall be retained by the Personnel Services Department. It is advisable that the applicant accomplish the procedure so far described in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy prior to the inception of the course or disbursement of personal funds. D. The employee shall submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has completed the course and received his or her final grade. Such employee must include official verification of his or her final grade with appropriate receipts for tuition and textbook costs. These shall be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. E.. Upon receipt of the application and required documentation, the Personnel Services Department shall determine whether the completed course of instruction is compatiblewith the provisions of this Article and shall compute the amount of reimbursement, authenticate the application and forward it to the employee's Department Head. F. The Department Head shall then authorize the Finance & Management Services Department to reimburse the employee the approved amount out of the budget of the department concerned. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOLI: 2017-2018 Page 33 25H-37 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal holidays observed by full-time and designated PTCS permanent and probationary employees of the City of Santa Ana are as follows: o January 1 - New Year's Day. o Third (3rd) Monday in January- In observance of Martin Luther King, Jr.'s Birthday. o Third (3,d) Monday in February - In commemoration of President's Day. o Last Monday in May - In commemoration of Memorial Day. o July 4th - In observance of Independence Day. o First (1St) Monday in September- In observance of Labor Day. o November 1 1 th - In observance of Veterans' Day. o Fourth (41h) Thursday in November- In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25th -In observance of Christmas Day. o Two (2) Floating Holidays - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday shall be observed on the following Monday. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-38 Page 34 o Any holiday which falls on a Saturday shall be observed on the Friday preceding the holiday. 9.2 Holidays - Shift Personnel and Employees on Alternate Work Schedules. A. Full-time employees on a 5/40 schedule whose regularly scheduled days off are other than Saturday and Sunday shall be entitled to receive thirteen (13) eight-hour working days off during the year in lieu of the holiday benefits specified in Section 9.1 above. Employees on a 9/80 or 4/10 work schedule shall be entitled to thirteen (13) holidays. Holidays shall be paid in accordance with the hours scheduled for the day the holiday falls on. For employees on a 9/80 schedule: If a holiday falls on a regularly -scheduled nine (9) hour workday (Monday, Tuesday, Wednesday or Thursday), nine (9) hours of holiday time shall be paid. If a holiday falls on a regularly -scheduled eight (8) hour workday (Friday), eight (8) hours of holiday time shall be paid. If a holiday falls on an employee's regularly -scheduled day off work, the employee shall receive credit for nine (9) hours of holiday time to be used in accordance with Section 9.2 (B) or 9.6 below. For employees on a 4/10 schedule: If the holiday falls on a regularly -scheduled ten (10) hourworkday, ten (10) hours of holiday time shall be paid. If a holiday falls on an employee's regularly -scheduled day off work, the employees shall receive credit forten (10) hours of holidaytime to be used in accordance with Section 9.2 (B) or 9.6 below. B. Substitute holidays may be scheduled by the Department Head or his or her designee, normally during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportion to his or her service at full pay in such capacity during the year. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-39 Page 35 9.3 Modified Holiday Schedule- Employees Assigned to the Library. Employees assigned to the Library shall, during the term of this MOU, observe holidays on the dates specified in Section 9.1 above. 9.4 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 9.1 actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 9.1 actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service or part-time civil service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.5 Floating Holiday time off may be taken in half hour increments. 9.6 If a holiday falls on an employee's Friday off, the employee must then take their holiday time off on the day before or after the regular scheduled holiday with supervisor and Department Head approval. If the employee cannot take their holiday off before or after the regular scheduled holiday off, the employee shall bank the hours of his or her regular workday (nine or ten hours) as holiday leave to be used at a later date with the supervisor's approval. 9.7 Holiday benefits may not be carried over from one (1) calendar year to the next. A. Employees will be allowed to carry over from 2017 to 2018 the one additional Floating Holiday authorized under this agreement. The additional Floating Holiday must be taken before December 31, 2018. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-40 Page 36 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose shall be used as a guide in the administration of the provisions of this Article. 10.2 Vacation Period. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members were combined into one single vacation bank. The accrual rates remained the same. Members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Completed Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 80 6.67 2 80 6.67 3 120 10.00 4 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-41 Page 37 19 1 192 16.00 20 or more 1 200 16.67 An employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1 5}) day of the month following completion of six (6) months of continuous full-time service or part-time civil service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor, D. Vacation time off may be taken in increments as small as one-half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (%2). E. Computation of Vacation. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Department Head, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee shall have a right to accumulate or split his or her vacations, but the same may be allowed or required by the Department Head. The time at which an employee shall take his or her vacation shall be determined by the Department CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: 2017- 2018 Page 38 25H-42 Head, with due regard for the wishes of the employee and particular regard for the needs of the service. A period of earlier service does not apply toward vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article XI, Section 11.1 E (Sick Leave - Extended), Article Xl, Section 11.8 (Authorized Absence Without Pay- Long Term) and Article XXI, Section 21.2 (Catastrophic Leave Donation) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of vacation. Absence on military leave followed by reinstatement, as provided in Section 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. Vacation Buy -Back. Employees covered by this agreement are eligible to require the City to buy-back up to eighty (80) hours of their banked vacation per calendar year. G. PTCS designated employees shall accrue vacation leave at a rate of 75% of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. 10.3 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400 hours) in any one year. 10.4 Vacation Carry=Over A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at anytime. With respect CONFIDENTIAL ASSOCIATION OF SAMA ANA (CASA) MOU: 2017-2018 Page 39 25H-43 to any vacation forfeited in this manner, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. In no way is the maximum vacation carryover for each calendaryear as set forth in the table below meant to be considered a cap on hours an employee can accrue throughout the calendar year. ax Completed Carry ver Years Into 2017 Mx Carryo over into 2018 Max Carryover Into 2019 and for all years forward 1 80 80 80 2 160 160 160 3 240 220 200 4 280 260 240 5 300 270 240 6 304 274 244 7 312 282 252 8 322 291 260 9 332 300 268 10 342 309 276 11 352 318 284 12 362 327 292 13 372 336 300 14 382 345 308 15 392 354 316 16 406 367 328 17 424 384 344 18 444 402 360 19 464 420 376 20 484 438 392 21 496 448 400 22 500 450 400 23 500 450 400 24 500 450 400 25 500 450 400 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-44 Page 40 10.5 Excess Usaae. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual and if none, then from the next scheduled salary payment. 10.6 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for vacation accrual purposes. ASSOCIATION OF SANTA ANA (CASA), MOU: 2017-2018 25H-45 Page 41 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. PTCS designated employees shall accrue sick and personal necessity leave at a rate of 75% of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required underthe State Workers' Compensation Insurance and Safety Act, paid sick leave shall be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related.illness or injury continues past the initial three (3) consecutive days, the employee shall have the three CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: 2017-2018 Page 42 25H-46 (3) used sick days recredited to his or her account if the employee remains off work longerthan fourteen (14) days. Paid sick leave shall continue until the fourth (4th) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they shall be advanced sick leave for this purpose. Subsequently, the City shall deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City shall deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days. Sick leave usage of less than a full day shall be charged in minimum increments of one- half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one-half ('/2). E. Extended. The City Manager may grant leave up to six (6) months without pay to. an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee shall be sufficiently recovered to return to his or her employment within a six (6) month period. Priorto the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from a licensed physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: 2017-2018 Page 43 25H-47 Extension by Use of Accrued Compensatory rime Off and/or Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to use, first, any unused compensatory time off benefits, then, any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Department Head a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment otherthan employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available compensatory time off benefit; second, from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non- cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, a person who stood in loco parentis when the employee was a minor child, or a legal CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 44 25H-48 guardian; and "immediate family" means any member of the employee's household related by blood or marriage, a parent, parent -in-law (including biological, adoptive, foster, stepparent, and legal guardian), spouse, registered domestic partner, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence, or any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and/orother matters. Up to three (3) days of this personal necessity leave may be used: 1. To attend to a serious accident to members of the employee's immediate family; 2. For childbirth; 3. To cope with imminent danger to the employee's family, home, or other valuable property; 4. When the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or 5. To attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Except in cases of disability retirement, upon nondisciplinary termination of employment after ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one-third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 427 hours (53.3 eight-hour days), at the rate of pay effective on the date of such termination. Payment of all unused sick leave shall be included in the employee's final paycheck, and is subject to payroll taxes. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-49 Page 45 A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one-third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 2. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. The City's obligation to pay such premium shall terminate upon the happening of any of the following events: a. Premiums have been paid on behalf of the former employee until all monies are exhausted; or b. The sum of premiums paid equals one hundred fifty percent (150%) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected. C. Except in cases of disability retirement, upon non - disciplinary termination of employment after fifteen (15) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for two- thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination to be applied toward health insurance premiums only as specified in Section 11.I .K.2 above, excluding Subsections a and b. 3. Payment after 15 Years. Affected employees shall be granted payment for unused sick leave on the same basis above, with the exception that such affected employees who have completed fifteen (15) years of cumulative service with the city shall be entitled to payment for one-half (1/2) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 800 hours, at the rate of base pay effective on the date of such termination. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 46 25H-50 4. Payment after 20 years. Affected employees shall be granted payment for unused sick leave on the same basis above, with the exception that such affected employees who have completed twenty (20) years of cumulative service with the city shall be entitled to payment for two-thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1066 hours, at the rate of base pay effective on the date of such termination. 5. Payment after 25 years. Affected employees shall be granted payment for unused sick leave on the some basis as Article XI.1.K.2, with the exception that such affected employees who have completed twenty-five (25) years of cumulative service with the City shall be entitled to payment for three-fourths (3/4) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1,200 hours, at the rate of base pay effective on the date of termination. 6. CASA members who notify the City, in writing, of their intent to retire within 12 calendar months from the date of retirement shall be allowed to cash out any eligible sick leave bank balances (K.1 through K.5), upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If the employee cashes out his or her eligible sick leave bank balances prior to retirement and subsequently does not retire from the City, all future sick leave accrual for the employee shall be subject to the some cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the employee would have been entitled to if the cash out was processed on the final paycheck only. L. California's Healthy Workplaces/Healthy Families Act of 2014 (AB1522) also known as California's Paid Sick Leave Law, required the City to provide paid sick leave to eligible employees upon oral or written request, within the parameters of the law, for the following purposes: • Diagnosis, care, or treatment of an existing health condition of, or preventative care for an employee or an employee's CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page47 25H-51 qualified family member; Specified purposes for an employee who is a victim or domestic violence, sexual assault, or stalking. 11.2 Bereavement Leave. A. An employee covered underthis MOU shall be granted up to three (3) working days leave without loss of pay in the case of a death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: Any member of the employee's household related by blood or marriage; 2. A parent, parent -in-law, stepparent, spouse, child, brother, sister, stepbrother, stepsister, grandparent or grandchild of the employee, regardless of residence; Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. Whenever an employee is required to travel one way more than 500 miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Department Head. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she shall be reinstated as provided in Section 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 48 25H-52 accordance with the Military and Veterans Code, shall be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) years' service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non-party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Department Head for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana shall be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Unauthorized absence from duty for a consecutive number of working hours equal to the number of working hours in the employee's normal workweek (five (5) consecutive working days) may be deemed a resignation from City service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Department Head regarding the cause of his or her absence, the Department Head may restore him or her to his or her position, with the City Manager's approval. 11.7 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days may be authorized by the employee's Department Head. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Department Head with the approval of the City Manager. Such an absence may be authorized only if in thejudgment of the Department Head it serves the best interest of the City. 11.8 Authorized Absence Without Pay - Lona Term. Upon receipt of a written request from an employee having permanent status, plus action by the Department Head recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 49 25H-53 An employee returning to duty with the City shall inform the Department Head and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Department Head shall take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 11.9 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 11.10 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she shall take the leave and the estimated duration of the leave. Health and welfare insurance coverage shall be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-54 Page 50 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute the following amounts toward the payment of premiums for affected employees and their dependents under the existing health insurance programs or new program or programs providing substantially similar or improved coverage and benefits selected in accordance with procedures in effect on the effective date of this MOU: A. For each such employee who is covered under a spouse's non -City sponsored health plan, the City shall pay the employee a cash payment each month in an amount equal to 50% of the monthly premium amount for the City's lowest "employee -only" coverage, if the employee waives, in writing, City -paid coverage. B. Effective January 1, 2018, the City shall contribute in a monthly amount as follows: Employee up to $ 654.00 Employee + 1 up to $1,307.00 Employee + Family up to $1,700.00 Should Executive Management, SAMA, SEW or any other non -sworn employee group under successor agreements to those MOU's or agreements that are or were expired on or after July 1, 2017, accept better health insurance provisions than those provided to CASA, CASA shall receive the equivalent health insurance provisions, provided to the other employee group or association. C. Any contribution necessary to maintain benefits under City -sponsored medical plans in excess of the amount set forth above shall be borne entirely by the employee. D. The parties recognize that certain State and Federal laws, programs and regulations, including the Affordable Care Act, may impact future medical plan offerings. In the event that reform measures enacted during the term of this MOU alter healthcare options, cost or other elements of healthcare services, thereby materially altering the provisions of this MOU, the parties agree that upon the request of either party the parties shall re -open Section 12.1 hereof regarding medical insurance for the purpose of discussing alternative CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 51 25H-55 approaches and proposals to providing healthcare benefits hereunder. In addition, should State or Federal laws concerning the taxation of healthcare benefits change, the parties agree to meet and discuss the impact of such change. 12.2 Dental Insurance. The City agrees to contribute a maximum of up to ninety ($90) dollars per month per employee toward the payment of premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents. A. Any contribution necessary to maintain benefits under City -sponsored dental plans in excess of the amount set forth above shall be borne entirely by the employee. 12.3 Vision Plan. The City shall maintain in effect its existing vision plan, for employees covered by this MOU. All costs of the premium shall be paid by the employee. 12.4 Lona -Term Disability (L.T.D.) Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost fora 60 -day elimination period long-term disability insurance plan for employees covered by this MOU. 12.5 Life Insurance. The City shall maintain in effect its existing life insurance plans covering employees covered by this MOU, including term life insurance coverage for each affected employee in the amount of twenty thousand dollars ($20,000) plus twenty thousand dollars ($20,000) Accidental Death and Dismemberment (AD&D) coverage at no cost to the employee. 12.6 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as.a part of any self-insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 12.7 When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial to involve an Insurance Committee, CASA shall have an equal number of representatives as the City on such a. committee, and the Committee shall meet as necessary. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017- 2018 Page 52 25H-56 12.8 Medical Retirement Subsidy Plan. A. Effective June 30, 2015, CASA dissolved the City's Medical Retirement Subsidy Plan for employees covered under this MOU. Prior to that date, all existing CASA Medical Retirement Subsidy Plan funds were distributed among CASA membership and, if applicable, its retired members. CASA agrees to defend the City against, and indemnify the City for, any liability and damages incurred by the City as a result of the dissolution of the CASA Medical Retirement Subsidy Plan. B. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA-RC as the administrator of the plan. At that time, employees covered under this MOU received a one-time increase of 1.25% in their base pay, which amount was deposited into their individual RHS accounts each pay period going forward. C. Employees covered underthis MOU shall continue to contribute 1.25% of their base pay each pay period to the RHS plan, which amount shall be deposited into the employee's individual RHS account. 12.9 PTCS employees that are covered under this article will receive the same benefits as the Full -Time employees covered under this MOU. City contributions to those benefits are 75% of the value provided to the Full -Time Civil Service designated employees. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-57 Page 53 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The terms of the existing contract between the City and the California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to CaIPERS in accordance with its contract with CaIPERS for affected employees covered by such contract as amended. 13.2 Deferred Retirement. The City shall continue to make payment to CaIPERS on behalf of each affected employee, as defined in Sections 13.3.A and 13.13 (below), in an amount necessary to pay one hundred percent (100%) of his or her individual retirement contribution which is equal to eight percent (8%) of base salary. Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City shall not treat these payments as ordinary income and, thus shall not withhold Federal or State income tax from these payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each employee shall forthwith be increased by 8%. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to continue to provide Miscellaneous employees covered by this MOU who were appointed to their classification on or before December 31, 2012 with the 2.7% at 55 Service Retirement benefit. Pursuant to CaIPERS regulations, this formula shall apply onlyto CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 54 25H-58 the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. B. The City agrees to provide Miscellaneous employees covered by this MOU who are appointed to their classification on or after January 1, 2013 and are not new members as defined by the California Public Employees' Pension Reform Act of 2013 (AB340), with the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. C. Payment toward the 2.7% at 55 Service Retirement Benefit. Employees defined in Section 13.3.A (above) covered by this MOU contribute 8% of their salary to the employer's share of the cost of the 2.7% at 55 enhanced retirement formula. All employee contributions to the employer's cost of the CaIPERS retirement benefits shall be implemented as cost-sharing pursuant to Government Code Section 20516(f). To the extent permitted by CalPERS and the Internal Revenue Service, this 8% contribution shall be implemented through payroll deductions on a pre-tax basis. Employees defined in Section 13.3.8 (above) shall contribute 8% of their salary toward the employer contribution of the 2.7% at 55 retirement benefit. All employee contributions to CaIPERS for their retirement benefits shall be implemented as cost-sharing pursuant to Government Code Section 20516(f). Pre -Taxable Benefit. To the. extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.4 2:0% at 62 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to provide Miscellaneous employees covered by this MOU who were appointed to their classification on or after January 1, 2013, and who are defined as new members under the California Public Employees' Pension Reform Act of 2013 (AB340), with the 2.0% at 62 Service Retirement benefit. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page55 25H-59 Pursuant to CaIPERS regulations, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. Payment towards the 2.0% at 62 Service Retirement Benefit. Employees defined in 13.4.A (above) covered by this MOU shall contribute at least 50% of normal cost of the 2.0% at 62 retirement benefit. Pre -Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.5 Credit for Unused Sick Leave. An employee covered by this MOU shall be permitted to have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each eight-hour day of unused sick leave (i.e., 200 days of sick leave equals .80 additional year of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 13.6 Military Service Credit as Public Service. An employee covered by this MOU shall be permitted to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 13.7 Deferred Compensation. A. Background. Prior to July 1, 1991, the City authorized an amount equal to one percent (1.0%) of base pay for a deferred compensation benefit for full time "confidential" employees. This benefit was treated separately from salary, and was not included in the City's salary and wage schedule. Effective July 1, 1991, to comply with CaIPERS wage reporting requirements, this benefit was added to the pay rate assigned to each "confidential" classification and reported as "salary" to CaIPERS. Thereafter, pay levels for "confidential" classifications included this additional one percent (1%) deferred compensation benefit. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017- 2018 Page 56 25H-60 ARTICLE XIV 14.0 SAFETY 14,1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws, and the City of Santa Ana regulations, which relate to health and safety. 14.2 Central Safety Committee. CASA may designate two (2) representatives and two (2) alternates to serve on the City's Central Safety Committee. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-61 Page 57 ARTICLE XV 15.0 GRIEVANCE REVIEW PROCEDURE 15.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or CASA concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. 15.2 Informal Process - First Step A. An employee and/or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) business days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) business days, a mutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Department Head. If the Department Head is the immediate supervisor, the employee may proceed directly to the City Manager or his or her designee: At this point, the grievance review process. becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) business days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-62 Page 58 D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedent or be used to establish past practice regarding implementation, interpretation, or application of this MOU. 15.3 Formal Process. A. Second Step. The Department Head or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) business days after the grievance has been submitted to the Department Head. The Department Head, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and/or the employee's designated representative within ten (10) business days after this meeting. B. Third Step. If the grievance is not satisfactorily resolved at the Second Step, the employee and/or the employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and/or his or her designated representative to take this action shall constitute a waiver and bar to the grievance, and the grievance shall be considered settled on the basis of the disposition made of the Second Step. The City Manager or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) business days after submission of the grievance. The City. Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and/or the employee's designated representative within fifteen (15) business days after this meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision, shall be filed in the personnel records of the department and maintained in the City Personnel Services Department. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 59 25H-63 15.4 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, CASA, and the City shall have all rights and remedies to pursue the grievance under the law. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASAI MOU: 2017-2018 25H-64 Page 60 ARTICLE XVI 16.0 ASSOCIATION RIGHTS 16.1 Release Time for Association Representatives, CASA shall have the right to appoint/elect a reasonable number of representatives who are recognized by the City as officers or work site leaders/stewards. A. Such reasonable number of work site leaders/stewards recognized by the City shall be limited to six (6). B. The City's Executive Director of Personnel Services shall be provided with a list of names and classification titles of CASA's officers as set forth in Exhibit A of the Confidential Association of Santa Ana City MOU, as well as the names and classification titles of all work site leaders/stewards and other Association representatives. The Association agrees to inform the City in writing of any changes in this list within ten (10) calendar days. C. During the term of this MOU, the City agrees to allow reasonable time off without loss of compensation to enable the officers and worksite leaders/stewards to assist other CASA unit employees in processing grievances under the Grievance Review Procedure and other CASA business activities; provided, however, that such officers and worksite leaders/stewards shall make advance arrangement with their supervisors prior to absenting themselves for such purpose. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the MOU. Time spent by the Association President, officers or worksite leaders/stewards on Association Release time, under this MOU, shall not be considered time worked for computation of overtime according to the Fair Labor Standards Act. 16.2 Worksite Access. A. Officers, worksite leaders/stewards and/or Association representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods, for the purpose of discussing Association business, provided that CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 61 25H-65 arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, CASA and the City will agree on an alternate meeting/conference facility for the purpose of providing a place for CASA to hold a meeting before or after work or during lunch periods. If the City facility provided CASA as an alternate meeting site during non -working hours is a public meeting room, its scheduling and use shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. C. Solicitations of membership and all activities concerned with the internal management of CASA, such as collecting dues, holding membership meetings, preparation of petitions, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by CASA, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or take any economic action against the City. 16.3 Release Time for Employee Representatives. A. In the event that CASA is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or other officials of CASA shall be allowed reasonable time off without loss of compensation or other benefits. B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 62 25H-66 16.4 Use of Bulletin Boards. Space shall be made available to CASA on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Association business, subject to the following conditions: A. Material posted by CASA shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters. B. Material posted is not derogatory to the City, City employees or other employee organizations. C. All materials are dated, identify CASA and bear the signature of the authorized representative (s) of CASA responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Association materials. E. If CASA does not abide by these provisions, !twill forfeit its right to have materials posted on the City's employee bulletin boards. CASA shall not be permitted to post any material that is prohibited by State law or the City Charter. 16.5 Use of City Facilities. The City shall allow CASA to conduct meetings in the City's public meeting rooms during non -working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities; provided, however, CASA shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Charter. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-67 Page 63 ARTICLE XVII 17.0 DUES DEDUCTION & INDEMNIFICATION 17.1 Dues Deduction. Upon ratification and approval of dues collection by Association membership, the City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by CASA, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to CASA within thirty (30) calendar days following their deduction. Provisions for such dues deduction shall be included in future MOUS should CASA members elect to authorize the deduction. 17.2 Indemnification. The Association agrees to hold the City harmless and indemnify the City against any claims, causes of action, or lawsuits instituted by a member or members of the Association arising out of the deductions or transmittal of such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOLI: 2017 - 2018 25H-68 Page 64 ARTICLE XVIII 18.0 CITY RIGHTS 18.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are not abridged by this MOU or bylaw, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. . D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materidls to be used in carrying out all City functions, including but not limited to the right to contract for or subcontract any work or operation of the City. To assign work to and' schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-69 Page 65 J. To relieve employees from duties for lack of work or similar non - disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non -disciplinary reasons in accordance with this MOU. O. To determine policies, procedures, and standards forselection, training and promotion of employees. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are hot in contravention with this MOU. S. To take any and all necessary action to carry out the mission of the City in emergencies. 18.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of CASA regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2016 25H-70 Page 66 ARTICLE XIX 19.0 STRIKES & WORK STOPPAGES 19.1 Prohibited Conduct. A. Any employee of the City covered by this MOU who engages in any strike; sickout, or other partial or total stoppage of work shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-71 Page 67 ARTICLE XX 20.0 LAYOFFS 20.1 It is the hope of the City not to separate any employee(s) from employment because of a reduction in the work force orwork week during the term of this MOU. However, circumstances arising during this MOU may require such separation (s). In that event, the City shall notify CASA in writing of the layoff at least 30 days prior to the occurrence of the layoff of the employee and, if requested by CASA, schedule a meeting to discuss the same. Only the written notice is required to occur 30 days before the proposed layoff. This provision in not intended to be a waiver of any other rights the parties may have under this MOU. 20.2 If it is decided to contract outwork currently being performed by employees of this bargaining unit and it is projected that no employee covered by this MOU is to be laid off, receive a reduction in hours worked, or receive a loss in pay due to such contracting out, the City shall provide CASA reasonable notice of the decision to contract out, shall meet with CASA upon CASA's request over the impact of the decision to contract out and shall consider reasonable alternatives provided by CASA. 20.3 If the City determines to contemporaneously replace employees covered by this MOU with contract workers to perform the same work under similar circumstances, it shall expeditiously notify CASA of its intentions. Upon request by CASA, the City shall schedule meetings with CASA leadership to discuss this objective and give CASA the opportunity to present information before any final decision. The City and Association leadership agree to commence meeting when practicable for a period not to exceed forty-five days, unless mutually agreed to meet longer. At the end of the agreed upon time and if the parties have not achieved satisfactory resolution, the issues shall be resolved according to the City's Employer -Employee Relations Resolution (Resolution No, 81-75 - Exhibit B of this MOU). 20.4 Notwithstanding Section 20.2 and/or Section 20.3 hereof, if any bargaining unit member is laid off as a result of a decision by the City to contract out work, the City shall make a reasonable effort to cause the affected employee(s) to become employed by the company or entitywith which the City contracted for the applicable services. 20.5 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one employee has the same CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page68 25H-72 seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XX shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he or she has served, providing that a vacancy exists and the classification is within the samejob family/career ladder. In that event, the employee's length of service in the next lower classification shall be added to his or her length of service in the affected classification, and the combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. C. The reemployment list shall be valid for one year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Team as outlined in Article XXI shall determine Job Family/Career Ladder for purposes of layoff. See Article XXI, Section 21.3, Joint Labor Management Teams. 20.6 A bargaining unit employee who is laid off from full time City employment pursuant to this Article, may be granted a temporary appointment to a vacant position in any classification for which there is no eligible list and for which the employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment shall be terminated upon the establishment of a new eligible list for the classification or on the one hundred eightieth (180+h) day following the initial day of such temporary appointment, whichever occurs first. CONFIDENTIAL ASSOCIATION OF SAMA ANA (CASA) MOU: 2017-2018 25H-73 Page 69 ARTICLE XXI 21.0 MISCELLANEOUS PROVISIONS 21.1 The City agrees to distribute Association membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 21.2 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non -industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for Long Term Disability (L.T.D.) benefits. Any remaining Catastrophic Leave benefit will be used to supplement L.T.D. benefit payments to ensure an employee continues to receive his or her full salary continuation between both benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Department Head or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 70 25H-74 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article XI, Section 11.1. Eli iq bility. Regular, full-time employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Department Head, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Department Head or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOLI: 2017-2018 25H-75 Page 71 b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department and employee number of the recipient; and d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation and/or compensatory time balances sufficient to coverthe designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. 21.3 Joint Labor Management Teams. The City and CASA agree to form Joint Labor Management Teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Executive Director of Personnel, or his or her designee, In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-76 Page 72 ARTICLE XXII 22.0 SOLE & ENTIRE AGREEMENT 22.1 It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer -Employee Relations Resolution number 81-75 (Exhibit B). It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. The City shall provide employees covered by this MOU a copy of this MOU and its attachments, including a section containing the Employer -Employee Relations Resolution of the City of Santa Ana. 22.2 Notwithstanding the foregoing, there exists within the City personnel rules and regulations and departmental rules and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and/or other terms and conditions of employment, the City shall meet and confer with CASA; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-77 Page 73 ARTICLE XXIII 23.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 23.1 During the term of this MOU, the parties mutually agree that theywill not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the MOU or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-78 Page 74 ARTICLE XXIV 24.0 EMERGENCY WAIVER PROVISION 24.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this MOU will be reinstated immediately. CASA shall have the right to meet and confer with the City regarding the impact on employees of the suspension of the provisions in the MOU during the course of the emergency. CONFIDENTIAL ASSOCIATION OF SAMA ANA (CASA) MOU: 2017-2018 25H-79 Page 75 ARTICLE XXV 25,0 SEPARABILITY PROVISION 25.1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-80 Page 76 ARTICLE XXVI 26.0 TERM OF MOU 26.1 The term of this MOU shall be from July 1, 2017 to December 31, 2018. 26.2 If this MOU is not replaced by anew mutually -agreed upon MOU between the City of Santa Ana and CASA before December 31, 2018, then it is agreed that all provisions of this MOU shall remain in effect until mutual agreement is reached on a new MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 Page 77 25H-81 ARTICLE XXVII 27.0 RATIFICATION & EXECUTION 27.1 The City and CASA have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide forthe changes contained in the joint recommendations. The City and CASA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of CASA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and CASA and entered into this day of December, 2017. CITY OF SANTA ANA, a Municipal Corporation of the State of California Dated: Mayor Dated: By: City Manager Dated: By: Executive Director, Personnel Services ATTEST: Maria D. Huizar, Clerk of the Council APPROVED AS TO FORM: 4u�. klkv-a��� Laura A. Rossini Senior Assistant City Attorney CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 78 25H-82 This MOU has been ratified by the membership of the Confidential Association of Santa Ana (CASA. CASA: Dated: Dated: By: 32 Denise Velasco Orange County Employees Association Chief Negotiator Susan Gorospe CASA President CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-83 Page 79 Exhibit A Full Time Budget Aide (UC) Budget Analyst (UC) Council Services Secretary (UC) Executive Assistant (UC) Executive Secretary to the City Attorney (UC) Executive Secretary to the Police Chief (UC) Finance Executive Secretary (UC) Financial Analyst (UC) Legal Office Assistant (UC) Legal Secretary (UC) Liability Claims Processor (UC) Litigation Assistant (UC) Loss Control Analyst (UC) Loss Control Technician (UC) Management Aide (UC) Management Analyst (UC) Management Assistant (Exempt) (UC) Paralegal (Exempt) (UC) Payroll Systems Analyst (UC) Payroll Technician (UC) Personnel Analyst (UC) Personnel Executive Secretary (UC) Personnel Secretary (UC) Personnel Services Receptionist (UC) Personnel Services Specialist (UC) Personnel Technician (UC) Police Personnel Services Specialist (US) Risk Management Assistant (UC) Risk Management Coordinator (UC) Risk Management Technician (UC) Secretary to the City Manager (UC) Senior Budget Analyst (UC) Senior Financial Analyst (UC) Senior Legal Management Assistant (Exempt) (UC) Senior Legal Office Assistant (UC) Senior Legal Secretary (UC) Senior Management Analyst (UC) Senior Management Assistant (Exempt)(UC) Senior Paralegal (Exempt)(UC) CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-84 Page 80 Exhibit A Continued Full Time Continued Senior Payroll Technician (UC) Senior Personnel Analyst (UC) Senior Personnel Receptionist (UC) Senior Personnel Services Specialist (UC) Senior Personnel Technician (UC) Senior Risk Management Technician (UC) Senior Workers' Compensation Claims Assistant (UC) Senior Workers' Compensation Claims Examiner (UC) Senior Workers' Compensation Systems Technician (UC) Training Coordinator (UC) Workers' Compensation Claims Assistant (UC) Workers' Compensation Claims Examiner (UC) Workers' Compensation Systems Technician (UC) Part Time Civil Service Senior Personnel Analyst - PTCS (UC) CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-85 Page 81 Exhibit B RESOLUTION NO. 81-75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER-EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of the City to maintain and enhance its administration of employer-employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and its employees, including provisions for (a) recognizing the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City; and (b) establishing equitable and uniform rules and procedures to provide for the orderly and systematic presentation, consideration and resolution of employer-employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen's Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL-CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the administration of employer-employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section l: Title of Resolution This Resolution shall be known as the "Employer -Employee Relations Resolution of the City of Santa Ana". Section 2: Definitions As used in this Resolution, the following terms shall have the meanings indicated: APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. CITY - means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY - means calendar day unless expressly stated otherwise. EMPLOYEE - means any person regularly employed by the City on a full time basis except those persons elected by popular vote. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-86 Page 82 EXHIBIT B (Continued) EMPLOYEE, CONFIDENTIAL -means an employee who is assigned to perform work directly involved in the development, preparation or presentation of management positionswith respect to employer- employee relations. EMPLOYEE, MANAGEMENT- means any employee having responsibility forformulating, administering or managing the implementation of City policies or programs, including but not limited to, department and assistant department heads, division heads, and professional administrative staff employees employed to render advice and assistance pertaining to the conduct of legal, fiscal, budgetary, personnel management and employer-employee relations affairs of the City. EMPLOYEE, PROFESSIONAL - means a classification of employees engaged in work (a) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher learning, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY - means any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, if in connection With any of the foregoing, the exercise of such responsibility is not of merely routine or clerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION - means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER - means the City's principal representative in all matters of employer- employee relations designated pursuant to Section 3 hereof, or his duly authorized representative. EMPLOYER-EMPLOYEE RELATIONS - means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE - means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of the City's Employer -Employee Relations Policy orof a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, oris not specifically Withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOLI: 2017-2018 25H-87 Page 83 EXHIBIT B (Continued) IMPASSE - means that the representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION - means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice. Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH - (sometimes referred to herein as "meet and confer" or "meeting and conferring") - means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a reasonable period of time in order to exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. MEMORANDUM OF UNDERSTANDING - means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. PEACE OFFICER - means an employee of the Santa Ana Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that term is defined in Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION - means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has the right to meet and confer in good faith as the majority representative of all members of an appropriate representation unit pursuant to Section 11 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually with the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section 11 of this Resolution. SCOPE OF REPRESENTATION - means those matters relating to employment conditions and employer- employee relations including, but not limited to, wages, hours, and other terms and conditions of employment except, however, that the scope of representation shall not include consideration of the merits, necessity, or organization of any service or activity provided by law or executive order. Section 3: Designation of the Ci 's Employee Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officer who shall be the City's principal representative on all matters of employer-employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 84 25H-88 EXHIBIT B (Continued) all provisions of this Resolution and the employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer Is authorized to delegate his duties and responsibilities. Section 4: Meet and Confer in Good Faith - Scooe City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5: Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption. In cases of emergency when the City determines that an ordinance, rule, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Recognition An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation: Name and address of the employee organization. Names and titles of its officers Names and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the employees in their employment relations with the City. A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any manner with, a regional orstate, or national or international organization, and, if so, the name and address of each such regional, state or international organization. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page85 25H-89 EXHIBIT B (Continued) Certified copies of the employee organization's constitution and bylaws, including all amendments thereof. A designation of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United States mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer-Milias-Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin. A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides full membership rights and privileges, Including the right to vote. A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in the unit(s) claimed to be appropriate for the purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information as required by this Resolution to be included in the Petition. The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 25H-90 Page 86 EXHIBIT B (Continued) Section 7: Citv Response to Recognition Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after making said determination, inform the petitioning employee organization, shall give written notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (30) days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall meet and discuss the matter with such petitioning employee organization, and, if such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing. The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution. Section 8: Open Period for Filing Challenging Petition(s) Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petition (s) for an appropriate unit hos been filed, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees in the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petitions) evidencing proof of employee support in the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the same form and manner as set forth In Section 6 of this Resolution. If such challenging petitions) seeks establishment of an overiapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations Officer shall determine the appropriate unit or units in accordance with the standards in Section 11 of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is communicated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange for a secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) in accordance with its rules and procedures subject to the provisions of this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of "no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed full time in regular, permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 87 25H-91 EXHIBIT B (Continued) fifteen f 15) days before the.date the election commences, including those who did notwork during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the same unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast in the election. If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the rules governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 month period affecting the same unit. In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service. Costs of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and that the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, it shall be presumed that when said Memorandum of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matters within the scope of representation; provided, however, the employee organization files with the City the information required by Section 6(a), 1 through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30, 1981. Section 10: Procedure for Decertification of Recognized Employee Organization A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three (3) years, whichever occurs later. A Decertification Petition may be filed by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: The name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA] MOU: 2017-2018 25H-92. Page 88 EXHIBIT B (Continued) The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto. Proof of employee supportthat a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee Organization. Such proof shall be submitted for confirmation to the Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit from the already established appropriate unit. An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section 6 of this Resolution in satisfaction of the Decertification Petition requirements hereunder. The Employee Relations Officer shall initially determine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the representative (s) of such petitioning employees or employee organization, and if such determination thereafter remains unchanged, shall return such Petition(s) to the employees or employee organization with a statement of the reasons therefore in writing. The petitioning employees oremployee organization may appeal such determination in accordance with Section 13 of this Resolution. If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days after such notice to determine the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation. Such election shall be conducted in conformance with Section 9 of this Resolution. The cost of any election proceeding under the provisions of this Section shall be borne entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then In effect as a condition of recognition and said Memorandum of Understanding shall remain in full force and effect for the balance of the term thereof. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 89 25H-93 EXHIBIT B (Continued) Section 11: Policy and Standards for Determination of AAoprooriate Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be: Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. History of representation in the City and similar employment; except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public. The effect on the administration of employer-employee relations created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees. When the City establishes new classifications or positions, or modifies thejob content of an existing classification or position, the Employee Relations Officer shall, after notice to and consultation with all affected employee organizations, determine which, if any, representation unit shall include such new or modified classification (s) or position (s). Section 12: Procedure for Modification of Established Appropriate Units Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of this Resolution. Such requests shall be submitted in the form of a Recognition Petition, and, In addition to the requirements set forth in Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies and standards set forth in Section 11 hereof. The Employee Relations Officershall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give written notice of theproposed modification(s) to any affected employee organization and shall CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 90 25H-94 EXHIBIT B (Continued) hold a meeting concerning the proposed modification (s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11 of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer=s determination may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 6 hereof. Section 13. Apipeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section 8) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer. The City Council shall commence to consider the matter within thirty (30) days of the filing of the appeal, and shall render a final and binding decision regarding the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral arguments in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, In its discretion, refer the dispute to a third party hearing process for the purpose of seeking an advisory determination prior to making its final decision regarding the resolution of the dispute, Section 14: Submission of Current Information by Recognized Employee Organizations All changes in the information filed with the City by a Recognized Employee Organization under Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Payroll Deductions on Behal of Employee Organizations Upon formal acknowledgment by the City of a Recognized Employee Organization under this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of Understanding and/or applicable administrative procedures. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 91 25H-95 EXHIBIT B (Continued) Section 16: Emolovee Organization Activities - Use of City Resources Access to City work locations and the use of City paid time, facilities, equipment and. other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and/or administrative procedures; shall be limited to activities pertaining directly to the employer-employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18: Initiation of Impasse Procedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be: To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19: Impasse Procedures' Impasse procedures are as follows: If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven (7) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediator shall make no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 92 25H-96 EXHIBIT B (Continued) Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one party to the other each time impasse procedures are invoked by the same parties. The employee organization or the City shall commence this process in an order determined by lot striking the first name from such list of names in any initial mediation. The cost of the mediator, if any, shall be shared equally by both parties. If the parties have failed to resolve all their disputes through mediation within fifteen (15) days after the mediator commenced meetings with the parties, the parties may agree to submit the issues in dispute directly to the City Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. If the parties have exhausted the mediation process, the matter shall be submitted to the City Council for resolution. Section 20: Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions. Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sickout, other total or partial stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on the effective date of this Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to the City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization at its last address furnished to the City. Section 21: Severability In any section, subsection, sentence, clause or phrase of this Resolution, or the application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. The City CONFIDENTIAL ASSOCIATION OF SANTA ANA(CASA) MOU: 2017-2018 Page 93 25H-97 EXHIBIT B (Continued) Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that anyormore sections, subsections, sentences, clauses or phrases be declared invalid. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 181h day of May, 1981, bythe following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017-2018 25H-98 Page 94 EXHIBIT C 9/80 HARDSHIP CLAIM FORM Name: Division/Section: Position: Work Telephone Number: Supervisor Name and Telephone: Work Hours: Proposed Work Basis for Hardship Claim: Options explored by employee to resolve the hardship: Employee's proposed solution: Supervisor's needs/concerns/comments: Hardship Committee Recommendation to Department Head: CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: 2017- 2018 Page 95 25H-99 25H-100 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: AGREEMENT WITH THE SANTA ANA POLICE MANAGEMENT ASSOCIATION OF THE CITY OF SANTA ANA (SAPMA) (STRATEGIC PLAN NO. 7,4 & 6) CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adoption of a Memorandum of Understanding (Exhibit 1) with the Santa Ana Police Management Association of City of Santa Ana (SAPMA) regarding wages and other terms and conditions of employment for a term from July 1, 2017 through June 30, 2018, for an estimated cost of $241,500, subject to non -substantive changes approved by the City Manager and City Attorney. The City and the SAPMA employees recently completed contract negotiations resulting in a new twelve-month Memorandum of Understanding (MOU). The MOU covers July 1, 2017 through June 30, 2018. The terms reflect direction given to staff by City Council and the SAPMA employees voted and approved these terms on December 7, 2017. The major provisions of this agreement mirror those granted to POA members in June and include: 1. Term: The term of this MOU will be from July 1, 2017 through June 30, 2018 2. Salarv: Increase of 3% effective retroactive July 1, 2017 and an additional 2.5% effective January 1, 2018 3. Education Incentive Pay: Increase maximum Education Incentive Pay by 2.5% effective January 1, 2018 4. Sick Leave: After fifteen (20) years, but less than twenty-five (25) years of cumulative full-time service with the City, SAPMA member shall be entitled to payment towards there for one-half (1/2) of the total sick leave benefit credited to his or her account up to a maximum level of 800 hours upon the effective date of non -disciplinary separation. 251-1 SAPMA MOU December 19, 2017 Page 2 After twenty-five (25) years or more of cumulative full-time service with the City, SAPMA member shall be entitled to payment for three-fourths (3/4) of the total sick leave benefit credited to his or her account up to a maximum level of 1200 hours upon the effective date of non- disciplinary separation. 5. RHS: Increase City contribution to ICMA RHS by .50% (2.75% total) effective January1, 2018 6. Medical Insurance: Effective January 1, 2018 City will provide a monthly contribution at the following monthly rates: EMP: $654 EMP + 1: $1,307 EMP + Family: $1,700 7. CaIPERS: Effective January 1, 2018 all Classic Safety employees who do not qualify as "New Members" under PEPRA shall pay twelve percent (12%) of their reportable salary to pay for the employer port 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 and Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success. FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that this agreement will result in a net cost to the City of $241,500 during the term of the agreement. APPROVED AS TO FUNDS AND ACCOUNTS: Edward S. R ya Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance and Management Services Agency Exhibit: SAPMA MOU for July 1, 2017 through June 30, 2018 251-2 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND SANTA ANA POLICE MANAGEMENT ASSOCIATION REPRESENTATION UNIT JULY 19 2017 THROUGH JUNE 309 2018 251-3 TABLE OF CONTENTS ARTICLE SUBJECT PACE ARTICLE I Recognition 3 ARTICLE II Non -Discrimination Clause 4 ARTICLE III Attendance, Workday, Workweek and Work Schedule 5 ARTICLE IV Salaries 6 ARTICLE V Assignment and' Other_Special.Pay Additives 12 ARTICLE VI Educational Incentive Program 13 ARTICLE VII Training and Educational Assistance Program 15 ARTICLE VIII Overtime 18 ARTICLE IX Holidays 19 ARTICLEX Vacation 22 ARTICLE XI Other Leaves of Absence 25 ARTICLE XII Employee Insurance 33 ARTICLE XIII Deferred Compensation 36 ARTICLE XIV Retitement 37 ARTICLE XV Technology Stipend, 40 ARTICLE XVI Expanded Residency '41 ARTICLE XVII Controlled Parking and Take Home Vehicle Privileges 42 ARTICLE XVIII Discipline 43 ARTICLE XIX Grievance Review Procedure 44 ARTICLE XX Dues,Deduction and Indemnification 46 ARTICLE XXI City Rights 47 ARTICLE XXII Strikes and Work Stoppages 49 ARTICLE XXIII Sole and Entire Agreement 50 ARTICLE XXIV Waiver of Bargaining During the Term of MOU 51 ARTICLE XXV Severability Provision 52 ARTICLE XXVI Term of MOU 53 ARTICLE XXVII Ratification and Execution 54 251-4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City") has recognized the Santa Ana Police Management Association (hereinafter called the "Association") as the recognized representative of the bargaining unit which includes Police Department employees in the classifications of Police Communications Manager; Police Commander, Deputy Chief of Police, Police Administrative Manager, Jail Administrator, and Police. Systems Manager. (The former titles of Police Lieutenant, and Police Captain may continue to be used by the City for such purposes as salary surveys and compensation comparisons fo"r the titles of Commander and Deputy Chief of Police, respectively). 251-5 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and the Association' agree that they shall not discriminate against any employee in violation of State or Federal law. The City and the Association shall reopen any provision of this Memorandum of Understanding (hereinafter called the �"MOU") for the purpose of complying with any order of a. Federal or State agency or court of competent; jurisdiction requiring a modification or change in anyprovision or provisions ofthis MOU incompliance with State or Federal anti -discrimination laws. 2.2 Whenever reference is made to the masculine gender, it, shall be understood to include the feminine gender, unless expressly stated otherwise. 251-6 ARTICLE III 3.0 ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE 3.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed by the Police Chief or his or her designee(s) and shall not absent themselves during_ prescribed hours without authorization from the Police Chief or his or her designee. Employees shall not be required to submita Leave of Absence Request for absences of two (2) hours or less. 3.2 Alternative Work Schedules. A. All represented employees, except those Commanders assigned as Watch Commanders or assigned to positions designated by the Police Chief as. special exemptions, shall he 'permitted, at the. employee's option, to work a 4/10 work schedule. Each workday shall consist of ten (10) hours of work and thirty (30) minutes unpaid mealtime: Said.schedule shall be set by the Police Chief and subject to annual review bythe Police Chief. B. All represented employees ,(except those Commanders assigned as Watch Commanders) not assigned to the. 4/10 work schedule shall work. a 9/80 work schedule. Employees assigned to the 207(k) 9/80 work schedule shall work either' five (5) nine -hour workdays in the first seven (7) day span and three (3) nine -hour and one (1) eight-hour workdays in the second seven (7) day span, or alternatively three (3) nine -hour workdays and one (1) eight-hour workday in the first seven (7) day span and five (5) nine -hour workdays in the second seven (7) day span. Each nine (9) hour workday shall consist of nine (9) hours of work a"nd thirty (30) minutes unpaid mealtime. The eight (8) hour workday shall consist of eight (8) hours of work and thirty (30) minutes of unpaid mealtime. C. Police Commanders assigned to the Field Operations Division as Watch Commanders will continue to be assigned to a 3/12 —4/12 work schedule. The minimum workday for these employees will consist of 11 hours and 30 minutes of work; with 30 additional minutes for meals. A minimum work period shall consist of two (2) consecutive weeks, with three (3) shifts of 11 hours and 30 minutes in one (1) week and four (4) shifts of 1 I hours and 30 minutes in the second week. D. For purposes of computing holiday, vacation, and sick leave accruals, an eight (8) hour day shall be the basis for computation. 251-7 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all members of the Association who are now employed or will in the future be employed in any of the designated classifications of employment listed in this MOU. 4.2 Salary Schedule. The basic salary schedule, as periodically'updated and published by the City is comprised of four (4) steps or rate ranges of pay for swom (CaIPERS "Safety') employees and five (5) steps or rate ranges of pay for non -sworn (CaIPERS "Miscellaneous") employees. The steps within each range are identified by the letters "A" through "D" inclusive for swom (CaIPERS "Safety") classifications and "AA" through. "D" inclusive for non -sworn (CaIPERS "Miscellaneous") classifications, with Step "A" being the lowest step for sworn (CaIPERS "Safety".) and Step "AA" being the lowest step for non-swom (CaIPERS "Miscellaneous") classifications. The assignment of classes to salary rate ranges during the term of this MOU is listed in the City's salary schedule, as periodically updated and published by the City. 4.3 Salaries. A. The base salaries of employees covered by this MOU shall.be adjusted -as follows: Effective July 1, 2017, employees covered by this MOU shall receive a salary increase of three percent.(3%).. 2. Effective January .1, 2018, employees covered by this MOU shall receive a salary increase of two and a half percent (2.5%). 3. Should any other employee bargaining unit of the City receive a salary increase greater than the increases set forth in Subsections 1 and 2, above, payable during the"term of this MOU, the employees covered by this MOU shall also receive that higher salary increase at the same time as it is received by the other employee bargaining unit. 4. The City and Association agree that upon the expiration of this MOU and during the period of good faith negotiations fora subsequent, contract, salary and benefits shall continue afthe then current rate. 251-8 B. The parties agree that the City may, at its sole discretion, alter its payroll practices to eliminate the "salary and wage step increases system as set forth in its current payroll matrix, as outlined in the City's .salary schedule, as periodically updated and published by the City, and replace them with an equivalent percentage system. For example, a five (5) salary rate range increase would not be computed as set forth on the current matrix, but would instead be exactly 2.5%, rounded up to or down to the nearest penny. This system would apply to' all salary increases as set forth in this MOU, including Article IV (" Salaries"), Article V ("Assignment and Other Special Pay Additives") and the rate ranges assigned to, the classifications represented by this bargaining' unit. There shall be no negative consequences to any represented employee_ by such conversion. C. The City agrees, during the term of this MOU, to maintain thirty-four (34) salary rate ranges (17%) between the classes of Deputy Chief of Police and Police Commander. 4.4 Application of Basic Compensation Plan. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, as set forth in the City's salary schedule, as periodically updated and published by the City. 4.5 Be 9g nning Rates. An employee appointed to one of the designated sworn (CalP.ERS "Safety") classifications of eniploymentlisted in this MOU maybe placed by the appointing authority at Step "A," Step "B," or Step "C" within the applicable rate range in the schedule to which the class has b"eetf allocated byResolutioin of the City, provided thafsuch employee shall be assigned such salary step upon the commencement of his or her service -in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step, in accordance with the further provisions of the Article. An employee appointed to one of the, designated non -sworn (CalPERS "Miscellaneous") classifications of employment listed in this MOU maybe placed by the appointing authority at Step "AA;' Step "A," Step 'S," or Step "C," within the applicable salary rate range as provided above. 4.6 Service: The word "service" as used in this MOU shall be deemed to mean continuous, full- time service in. the classification in which the employee is being considered for salary advancement, service in a higher • classification or service in a classification allocated to the same salary rate range and having generally similar duties and -requirements. Employees hired after the first (1s`) working day of the month shall not be credited with "time in service" for that month when determining the length of service required for salary step advancement. A lapse of service by an employee fora period of time longer than ten (10) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of ths.MOU and any such employee reentering the service of the City shall be considered as a new employee, 251-9 except that he or she may be reemployed within two (2) years and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean leaving City service altogether and not movement within City employment by way of transfer, promotion, or demotion between and among any City departments. 4.7 Advancement Within Ranges. The following regulations shall govern salary advancement within rate ranges: A. For any employee covered by this MOU who has been initially appointed to a step lower than Step "D," advancement to the next higher step (Step "A from Step "AA," Step "B" from Step "A," Step "C" from Step "B," or Step "D" from Step "C," respectively) shall be granted for continued satisfactory and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of an increase from Step "AA" to Step "A," if granted shall be the first (Is ') day of the month following the. completion of six (6) months of service at Step "AA." The effective date of such step increase from Step "A," Step `B," and Step "C," if granted, shall be the first (1'� day of the month following the completion of one (1) year of service at the step'to which said employee is being advanced. Such merit advancement shall require the following: 1. There shall be on file in the Office of the Executive Director of Personnel Services a copy of each periodic efficiency or performance report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the ;period of service time of such. employee subsequent to his or her last salary advancement. 2. The Police Chief, at least twenty (20) calendar days prior'to the anticipated completion of such.employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the step increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified of the reasons therefore.. No advancement in salary above the lowest step in the salary rate range of the designated classification shall become effective until approved by the City Manager, except when placement on a salary step above the lowest step in the applicable salary rate range results from promotion under the provisions of SectionA.9 of this Article. B. When any such employee has not been approved for advancement to the next higher salary step, he or she maybe reconsidered for advancement to the next higher step above his or her then current step after the completion of three (3) months of 251-10 additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. 4.8. Performance Based Salary Adjustments: Each Association employee covered by this MOU who has attained Step D may be eligible toaeceive an annual performance bonus as a one-time monetary incentive payment based on a percentage of current annual rate of base salary in accordance with the following: A: Performance Levels For overall performance rated as 'S" Significantly Exceeds. Expectations, a one-time monetary incentive payment of five percent (5%). 2. For overall performance rated as '4' Exceeds Expectations, a one-time monetary incentive payment of two and one-half percent (2.5%). 3. For overall" performance rated as '3' 'Meets Expectations, no monetary incentive payment. 4. For overall performance rated as `2' Below Expectations, no monetary incentive payment. 5. For overall performance rated as `1' Significantly Below' Expectations, no monetaryincentive payment. B. Upon an employee failing to receive a rating -of "Significantly Exceeds Expectations" in their Annual Perfoltiance.Evaluation"Sdie'supervisor shall promptly prepare a written document which details objectives "the employee must meet in order to receive a "Significantly Exceeds Expectations"•rating for that evaluation period and provide that document'to the employee. The employee's evaluation will be held in abeyance for a period no longer than 90 days, allowing the employee time to Attempt to achieve the objectives. During this time any Performance Based Salary Adjustment for an `Exceeds Expectations," if awarded, shall not be"processed. If the employee fails to achieve.a rating of "Significantly Exceeds Expectations" within the 90 day period he/she will not be eligible for the "Significantly Exceeds Expectations" bonus for that rating period. C. Application of Guidelines Any one-time incentive payment granted under this plan isnot an increase in base salary and no salary rate range, applicable to any Association employee covered by this, MOU shall be changed or deemed to.have been changed by 251-11 reason of such payment. However, such incentive payment for Classic CaIPERS members as allowable under CCR Section 571a will be reported to CaIPERS as special compensation for calculation towards retirement. 2. In the event that Ca1PERS determines that such payments do .not meet the definitions listed in CCR Section 571a as special compensation to be reported to CaIPERS, the City will convert the incentive payment for eligible employees to a meritorious step on the salary range as set. forth in section 4.8C(7) below. Any Association employee that is deemed to be a "blew Ca1PERS Member" is not eligible to have the incentive payment reported to, CaIPERS as special compensation. ;Per PERS circular 200-064-17 dated December 6, 2017, a bonus is not PERSable compensation for new members. 4. Any Association employee that is off on IOD orother leave of absence whose Performance Appraisal date occurs while off work will have"their appraisal date adjusted when returning to work for the time not worked. The employee will not be eligible for the incentive bonus payment until completing the required time in their regular position necessary to be evaluated per current departmental policy. Performance based monetary incentive payment_ amounts for Association personnel shall be recommended by the employee's Supervisor and requires the approval of both the Police Chief and City Manager. 6. The Police Chief shall be responsible for the development and administration of detailed administrative procedures and guidelines for the consistent and effective application of the Association performance appraisal evaluation criteria. Such procedures and guidelines shall define how performance objectives, measure and standards are developed; when and how performance reviews are to .be carried out; how overall performance ratings will be determined; and how performance based monetary incentive payment options are to be exercised. 7. If it determined by PERS that the "Bonus" is not.eligible to be included, as PERSable compensation, the City shall convert the bonus to two (2) additional merit based steps at increments of 2.5% for the last year that the employee earned the Bonus. The. Association understands and agrees that these steps would be merit based and employees must maintain a Significantly Exceeds Ratting to receive or maintain the 5% or Exceeds expectations rating to receive or maintain the 2.5%. Employees who do not 10 251-12 receive Significantly Exceeds rating or Exceeds Expectations rating will be returned to Step 4 of the Association salary schedule. 4.9 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in.a lower classification, he or she shall be reassigned to the lowest step in the appropriate salary rate range for the higher classification that gives the employee a minimum increase of one (1) salary step (approximately 5%) over his or her current base salary step (plus any pay for performance bonus if said employee was at top step in their current cl"as"sification) and exclusive ofanypay additive or additives such as shift. differential, assignment pay, special skill pay or the like. 4.10 Demotion. When an employee.is demoted'to a position n a lower classification, his or her salary rate.shall be fixed in.the appropriate salary rate. range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step. B. The new salary rate must be within the appropriate salary rate. range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 4.11 Reallocation' of Salary Rate Ranges. .A iy employee "Who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or, she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 11 251-13 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Bilingual Assignment Pay. An employee who speaks both English and either Spanish, Samoan, Vietnamese or other languages designated by the Police Chief, will be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Any Deputy Chief of Police or Police Captain who has been certified by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages shall be paid a monthly differential of one hundred seventy five ($175) above his or'her then current base monthly salary step. B. Any other member of the Association who works in a position where it has been determined by the Police Chief that bilingual proficiency is essential to cavy out duties and responsibilities of critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed, as determined by Police Chief or his or her designee, shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step, upon.ceftification by the Executive Director of Personnel Servicesthat this person .has satisfactorily demonstrated conversational fluency'in both languages. 12 251-14 ARTICLE VI 6.0 EDUCATIONAL INCENTIVE PROGRAM 6.1 Members of the Association maybe paid.an Educational lncentive allowance in the amounts and in accordance with the criteria set forth below. Effective January 1, 2018, employees wishing to participate in any of the programs -designated herein shall submit a request to his or her bureau commander, who will then make a recommendation to the Police Chief. Final approval will be at the discretion of the Police Chief, based on the needs of the Department and program benefits. In no event shall the application of this Educational Incentive program .result in an employee being eligible to earn more than ten percent (10%) above his or her then current base monthly salary step. A. FBI National Academy. Any employee covered by this MOU who successfully completes the FBI National. Academy shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. B. California Command College. Any employee: covered 'by this MOO who successfully completes the California Command College shall be paid at a rate set ten (10) salary rate ranges,(approximately 5%) above his or her then current base monthly salary step. C. LAPD Leadership Program. Any employee covered by this MOU who successfully completes: the LAPD Leadership Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or.her then current base monthly salary step. Any employee covered by this MOU who successfully completes the Senior Management Institute for Police shall be paid.at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current. ase monthly salary step. E. FBI National AcadM (LEEDS Program). Any employee covered by this MOU who successfully completes the FBI LEEDS Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then, current base monthly salary step. F. International Association of Chiefs of Police. Any employee covered by this MOU who successfully completes the Leadership in.Police Organizations Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. 13 251-15 G. Homeland Security Executive Leaders Program. Any employee covered by this MOU who successfully completes the Homeland Security Executive Leaders Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. H. Advanced Leadership Program. The advanced leadership courses listed below represent curriculum that exceed.minimum training. mandates for law enforcement managers. The subject matter addresses a variety of critical topics associated with advanced organizational development and the role of leaders within the organization. All courses are applicable to swom and civilian managers. Any employee covered by this -MOU who successfully completes a cumulative total of l 12 hours of the below listed advanced leadership courses shall be paid at a rate set five (5) salary rate ranges '(approximately 2.5%) above his or her then current base monthly salary step.. Leadership Courses Hours Command Institute for,Law Enforcement Executives F.B.I. — LEEDA) 40 Contemporary_ Leadership Issues(F.B.I. — LEEDA) '32 Executive Development Course P.O.S.T. 80 Management Civilian Seminar Part. I) (P.O.S.T.) 24 Management Civilian Seminar art II) P.O.S.T. 24 Organizational Leadership (P.O.S.T.) 40 Police Management Seminar Advanced P:O.S.T.) 24 Supervisor Leadership Institute (F.B.I. — LEEDA) 40 POST Management Update 24 POST Su ervi , sory-Updaie 24 FBI-LEEDA Executive Survival 32 Role of the Police Chief 40 POST Supervisory/Leadership Update 24 Effective -Executive Communication 24 Police Management'Seminaf Advanced 24 Civilian Management Seminar 40 Advanced Civilian Management 24 I. Additional Courses. Any other course, 24 hours or longer, which focuses on developing leadership skills or increasing knowledge of contemporary law enforcement issues of a management/executive nature, or which enhances knowledge of community policing strategies or trends, shall be reviewed and approved by the Chief of Police after he/she ensures that the above criteria are met. 14 251-16 ARTICLE VII 7.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 7.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and. speeial training courses, which will better enable them to perform_theirpresent duties and prepare them for increased responsibilities: B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and ,procedures whereby such assistance may be provided. 7.2 Eli ibili A. Application for tuition reimbursement will be considered onlyfrom 611 -time, -regular City employees who have;completed probation. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from. other sources such,as the G.I. Bill, scholarships, etc. C. Applications will be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly .related to the employee's job, but which are •required to qualify for; a degree that is directly related to his job, may be reimbursable only after all "required, occupationally -related courses have been completed. (For example, a Police Officer is a candidate for an A.A. Degree in Police Science and has:completed all coursework directly.related to his crime investigation and prevention duties. A course in American History is required for the degree. The history course may qualify for tuition reimbursement because the degree can be related to the employee's job):. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C"for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a.Board ofEducation and certain non -collegiate training seminars, approved by the Police Chief. Other W1 251-17 workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution do not fall within the purview of this program but may be authorized and funded by the Police Department with prior approval of the Police Chief. 7.3 Reimbursement. A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional experise"s such as meals and parking fees are not reimbursable. If, however, an employee is required by the Police Chief to attend a particular course or seminar,_ the expense shall be borne entirely by the Department. B. Costs for required textbooks are eligible for one hundred percent (100%) reimbursement subject to the following conditions: 1. That a duplicate of the required textbook(s) was unavailable for loan from the Department library prior to the commencement of coursework; and 2. That any textbook(s) purchased by the City shall be submitted to the employee's Departmental library in order that such textbook(s) may be made available to all employees. C. Tuition and registration costs are eligible for one hundred percent (100%) reimbursement. up to a maximum of two thousand dollars ($2,000) per year (including non-P.O.S.T. reimbursable courses and approved non -collegiate seminar training' courses). Reimbursement,fornon-collegiate seminar training courses require the prior approval of the Police Chief and, shall be limited to two (2) such courses per year and a maximum of $500 per course. D. Employees shall be limited, for purposes of tuition reimbursement; to a maximum of two (2) collegiate level courses of not more than a total number of units which is equivalent to six (6) "semester" units per semester. One (1) "quarter" unit shall equal two-thirds (2/3) of one (1) "semester" unit. 7.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to the Police Chief. i1M 251-18 B. The Police Chief will recommend approval or disapproval and forward the application to the Personnel Services Department, C. The Executive Director of Personnel Services will approve or disapprove the application for the City. One (1) copy will be returned to the employee and the duplicate will be retained by the Personnel Services Department. It is advisable that, the applicant accomplish the procedure so far described prior to the inception of the course or disbursement. of personal funds in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy. D. The _employee will submit his or her copy of the approved application to the Personnel Services Department within three (3) months after he or she has.completed the course and received his or her final grade with appropriate receipts for tuition and textbook. costs. These will be returned to the employee upon request. Applications not submitted to the Personnel Services Department within three (3) months following completion of the course become void. E. Upon receipt of the application and.required documentation, the Executive Director of Personnel Services will compute the amount of reimbursement, authenticate the application and forward it to the Police Chief. F. The Police Chief will then authorize the Finance and Managemedt Services Department to reimburse the employee the approved amount out ofthe budget of the Police Department. 17 251-19 ARTICLE VIII 8.0 OVERTIME 8.1 Compensation for Overtime. Employees in any of the designated classes of employment. listed in this MOU are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 18 251-20 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal Holidays observed by full-time permanent and probationary employees of the City of Santa Ana are as follows: 0 January 151- New Year's Day o Third (3 �) Monday in January - In observance of Martin Luther King, Jr's Birthday o Third (3d) Monday in February - In observance of Presidents' Day o Last Monday in May - In comme_moration.of Memorial Day o July 4'h - In observance of Independence Day o First (I') Monday of September - In observance of Labor Day o November 111 - In observance of Veteran's Day o Fourth (0) Thursday in November - In observance of Thanksgiving.Day o The Friday immediately following'Thanksgving Day" o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Dayshall be observedin lieu thereof. o December 25'h - In observance of Christmas Day o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every dayproclaimed by the Mayor of the City as a holiday for City employees. Any -holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the .Friday preceding the holiday. -9.2 Full-time pernianent and probationary employees covered by this.MOU shall be entitled to receive twelve (12) working days off, eight (8) hours per day, during the calendaryear in lieu of the holiday benefits "specified in Section 9. 1, supra. Therefore, employees with alternative work schedules shall be credited with 96 hours of Holiday Time at the beginning of every calendar year in,lieu of twelve (12) holidays in the year. 19 251-21 For purposes of computing holiday accruals, an eight (8) hour day shall be the basis for computation. Said substitute holidays may be taken at any time during the calendar year with prior permission of the employee's supervisor and subject to the operational needs of the Department. However, if an employee who separates from the service of the City has taken time off for holidays in advance of the date or day the holidays actually occur, he or:she .must pay the City the cash value for such used but unearned holiday time off benefits prior to or at the time of separation. 9.3 A newly appointed employee must actually work at least one (1) day -preceding the day a holiday listed.in Section 9. 1, supra, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City mustactually work atleast one (1) day following the day a holiday listed in.Section 9.1, supra, actually occurs in order to receive compensaton:for the holiday. A newly appointed employee must complete six.(6) months of continuous full-time service in order to receive credit for the -Floating Holiday listed in Section 9.1 above. 9.4 Holiday time off may betaken in 30 -minute increments. 9.5 Holiday benefits may not be carried over from one (1) calendar year to the next. 9.6 Leave Cash motion. Employees covered by this MOU may cash out a combination of holiday, vacation, and management vacation leaves, up to a maximum of 260 hours in a calendar year. A. HolidayLeave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of eighty (80) hours of their holiday leave benefits, including the floating holiday, set forth in Section 9.2 above. B. Vacation Leave: Employees"may receive cash compensation, computed on a straight time basis, for up to a. maximum of 150 hours of earned, unused vacation leave benefits, set forth in Sections 10.2 herein. C. Management Vacation Leave; Employees may receive cash compensation, computed on a straight time basis, up to a maximum of 150 hours of 'earned, unused management vacation leave benefits, set forth in Section 10.4 herein. Effective July 1, 2012, employees covered by this MOU began earning an additional 60 hours of 20 251-22 management vacation leave for a total accrual of 100 hours of management. vacation per year. Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Fair Labor Standards Act D. Association members who notify the City, in writing, of their.intent to retire within 12 calendar months shall be allowed to cash out any and all eligible leave bank balances, including sick leave, upon request. Employees shall -receive payment as soon as practical, and no longer than 30 days after the request has been made. If an, employee cashes out his or her eligible leave bank'balances prior to retirement and subsequently,remains employed one year after their. initial notice of intent to retire, said employee, shall be ineligible to accrue 100 hours of management vacation the next -calendar year. 21 251-23 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this.Article. 10.2 Vacation, A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members were combined into one single vacation bank. The accrual rates remained the same. Members shall accrue the combined vacation with pay on a monthly basis as set forth in the following1able. Completed Years Annual Vacation Accrued Monthly Accrual . Rate 1 120 10.00 2 120 10:00 '• ' 3 120 s '10.00 °'': 4 120 10.00 .: 5 120 10.00 6 124'; ;10:33 7 128 = ` .10.67 _J"; 8 132 11:00 9 136 30 140 :11.67 11 144 > 1200 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13733 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 B. Vacation'time off may be taken in increments as small as one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). 22 251-24 C. Computing Regular Vacation. 1. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to -the employee. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Police Chief, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carryover from one (1) calendar -year to the next, -more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount.from year to year is forfeited, meaning that no pay shall be received for such unused vacation at anytime. This provision constitutes a waiver of any nights to vested vacation benefits under California Labor Code section 227.3. Completed Years Max Carryover 1 `120 2 240 3 240 4 j 240 5 240 6 244 7 252 8 260 9 268 10 276 11 284 12 292 13 300 14 308 15 316 16 328 17 344 18 360 23 251-25 19 376 20 392 21 400 22 400 23 400 24 400 25 400 Employees may or may not be allowed or required to accumulate or split vacations. The time at Which an employee shall take his or her vacation shall be determined by'senionhy within rank, with due regard for the needs of the service. 4. For purposes of computing vacation accruals, an eight (8) hour day shall be the basis for computation. 10.2 Leave Cash Options. Please refer to Section 9.6 for details. 10.3 Management Vacation Benefit. All employees covered by this MOU will be granted one hundred (100) hours of management vacation per calendar year over the vacation schedules. Employees may accrue a maximum of 480 hours of such Management vacation. 10.4 Effect of Extended Sick Leave on Vacation Accrual. An employee that is absent on paid sick leave or unpaid leave fora period of time greater than fiftcen,(15) consecutive calendar days in any one (1) calendar month shall not accrue vacation credits during that month. 24 251-26 ARTICLE XI I I:0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness or injury that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each. employee shall be entitled to, and shall earn, eight (8) hours of sick leave for each full calendar month of service in which -he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions. in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. Notwithstanding the foregoing, an employee on leave of absence for service -connected illness or injury who is covered by the provisions of Labor Code Section 4850, shall continue -to accumulate eight (8) hours of sick leave for each full calendar month of service for which he or she is employedby the City with full pay during said absence for service- connected,illness or injury. For purposes of computing sick leave accruals, an eight (8) hour -day shall be the basis for computation. C. Authorized Only When Necessary. Sick leave is'not a right which an employee may use at his or her discretion,; but shall be allowed only in cases.of necessity and actual sickness or disability, or as autborized,in Subsection J below. When an accepted industrial illness or injury has caused a non -sworn employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3)days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his.or her account. Paid sick leave will continue until the fourth (411) day when the City pays the employee workers' compensation benefits for such illness or injury. Ifthe employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced.sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. 25 251-27 The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical .appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave, with pay shall be 2,000 hours. Sick leave usage of less than a full day shall be charged in minimum increments of one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). E. Extended. The City Manager may -grant leave up to six (6) months without pay to an employee who has exhausted all of his accrued sick leave if a licensed physician indicates that the employee, will be sufficiently recovered to return to his employment within a. six (6) month period. Prior to the expiration of the additional time, the employee may returnto his -position provided that the employee has a certificate from a licensed physician stating that.the employee is able to perform all the duties of his position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any earned vacation he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor as established by the Police Department regulations. When the absence is more than three (3) consecutive working days, the employee must present to the Police Chief a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered. to safely return to work. Such certificate shall be transmitted to the Personnel Services Department with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration -less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. M 251-28 I. Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non -cumulative basis, as personal necessity leave. All of this :personal necessity leave may be used to attend to an illness of a child, parent, spouse, or registered domestic partner of the employee. As used in this section, a child "means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco, parentis; and a parent means a biological, foster, adoptive parent, a stepparent, or a legal guardian of an -employee or the employee's "spouse or registered domestic partner, or a person who stood in loco parentis when the employee was.a"minor child. This section also applies to the employee's grandparent, grandchild, or sibling. California's Healthy Workplaces/Healthy Families Act of 2014 (AB1522) also known as California's Paid Sick Leave Law; required the City to provide paid sick leave to eligible.employees upon oral or written request, within the parameters of the law, for the following purposes: • Diagnosis, care, or treatment of an existing health condition of, or preventative care for an employee or an employee'§.qualified family member; • Specified purposes for an employee who is a victim or domestic violence, sexual assault, or -stalking. Up to three (3) days of this personal necessity, leave may be used:. (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with imminent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control make it impractical for him orher to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according.to his or her specific workday schedule. K. Payment.for Unused Sick Leave. Payment criteria and limitations. .a. Upon non-disciplinaryterrninationof employment after ten"(10)ye"ars of cumulative full-time service with the City, each ;;qualified employee with less than twenty-five (25) years of cumulative full-time service with the, City shall be entitled to payment for one-third (1/3) of the total sick leave benefit credited to his or her account upon the effective daie:of such termination, not to exceed a maximum limit of 427 hours at the rate of pay effective on the date of such termination. 27 251-29 b. Affected qualified employees who have completed twenty(20) years, but less than twenty-five (25) years or more of cumulative full-time service with the City shall be entitled to payment forone-half (1/2) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 800 hours at the rate of pay effective on the date of such termination. C. Affected qualified employees who have completed twenty-five (25) years or more of cumulative full-time service with the City shall be entitled to. payment for three-fourths (3/4) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of 1,200 hours at the rate of pay effective on the date of such termination. d. At the employee's election, payment. of unused sick leave may be received in either a lump sum of money or in equal monthly payments for a period of up to five (5) years. e. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the .City, suchpayment to be in the amount of two-thirds (2/3) of the total sick leave benefit credited to the employee's account. at the time of his or her death, and at the rate of pay effective on the date of the death. 2. Conversion to Health Imurance,Premium Payments. At his or her option, an employee may convert any lump sum payment provided herein for unused sick leave upon non -disciplinary- termination into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, with benefits under the health insurance program maintained by the City. a. The City's obligation to pay such premiums shall terminate when the sum of premiums paid equals the amounts as follows: After ten (10) years, but less than 15 years of service, the employee shall be entitled to 50% of the amount of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 640 hours. This amount represents approximately 150% of the amount the employee would have been entitled to had they elected to cash out their sick leave hours. 28 251-30 • After fifteen (15) years, but less than 25 years of service, the employee "shall be entitled to 66.66% of unused sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 1,067 hours. After twenty-five (25) years of service, the employee shall be entitled to 100% of the amount of unused;sick leave benefits credited to his or her account upon the effective date of termination, not to exceed a maximum limit of 1,600 hours. This amount represents approximately 150% of the amount the employee would have been. entitled to had they elected to cash out their sick leave hours. b. Premiums will first be paid out of the lump sum amount contributed by the employee and then out of the amount contributed by the City. If the retired former employee dies before exhausting the full amount of his .or her lump sum contribution, the unused portion of such contribution shall be converted to cash as defined in Section 11. LK. 1. above and distributed to the retiree's designated beneficiary. 11,:2 Bereavement Leave, An employee shall be granted up to three (3) days leave without loss of pay in case ofdeath :of a.member of the employee's immediate family. For purposes of this Section only, a "day" shall be defined as the number of hours of work that an.employee is required to work according to his/her specific workday schedule. Such leave is designated as bereavement leave. "Immediate;family" as used in this section is limited to: A. Any relative by blood or marriage who Js,a member of the employee's household; B. A parent, parent -in-law; spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; C. Any other relative of the employee by blood or marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return'and upon'showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 9- 143 of the Civil Service Rules and Regulations., of the City of Santa Ana. 29 251-31 B. Temporary. Members of the reserve forces of the United States or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after one (1) years' service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a.juror or witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay: Each on -duty employee called for such service shall present to the Police Chief for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City.of Santa Ana will be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. 11.7 Authorized Absence Without Pay- Short Term. Absence without pay, not to exceed five (5) consecutive working days, may be authorized by the Police Chief. Absence without pay, not to exceed fifteen (15) calendar days,.maybe authorized by the Department with the approval of the City Manager. Such an absence may be authorized only if, in the judgment of the Police Chief, it serves the best interest of the City. 11.8 Authorized Absence Without'Pay - Lone Term. Upon receipt of a written request from an employee having permanent status plus action by the Police Chief recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Police Chief and the Executive Director ofPersonnel Services of his or her intention at least thirty (30) calendar, days prior to the expiration of the six (6) months period or a shorter period of the full six (6) months if not taken. Upon receipt of such notice,'the Police Chief will take steps necessary to restore the employee to his or her former position. 11.9 Industrial Leave. A. Each "safety member" employee covered by the provisions of Labor Code Section 4850 who is compelled to be absent from duty because of an illness or injurycovered by the State of California Workers' Compensation Insurance and Safety Act shall, in 30 251-32 lieu of temporary disability compensation payable under the aforementioned Act, continue to be paid his or her normal salary and accrue other benefits in accordance with the provisions of Labor Code Section,4850. B. Any period of time during which an employee is required to be absentfrom his other position by reason of an industrial injury or industrial illness for which'he or she is entitled to receive compensation shall notbe considered abreak in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation, seniority and any other benefits. 11.10 Administrative Leave Policy. The City Manager 'is authorized to grant, at his or her discretion, paid or unpaid administrative leave for employees covered by thisMOU. 11.11 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of catastrophic non -industrial medical condition or injury, the City and Association agree;to implement a Catastrophic Leave Donation procedure. Nothing herein shall be construed to alter City policies and procedures:as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will Abe provided for non -industrial injury or sickness only. The leave shall cover the, uncompensated time prior to the employee becoming eligible for L.T.D. benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week period to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designated by the Police Chief or his designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor., All donations must be made in two (2) hour increments, except in lieu holidays must.be for eight, (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined. in Section,C, subparagraph,2 below, will not be processed. 31 251-33 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued, by the recipient and designated as sick leave. B. Eli ibility. Regular, full-time employees shall be eligible for Catastrophic Leave donations if the following criteria are met: When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his/her designee has approved a, written request for donations accompanied by a. medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request.for donations from an eligible employee, the Police Chief or.his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee: must sign his or her authorization of the transfer of such donated time and provide: a. His/her name, department name, and employee number.. b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above. C. The name, department and employee number of the recipient. d. A statement indicating that the donor understands such donation of time is irrevocable. 32 251-34 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1, Health Insurance. The City shall contribute towards the cafeteria Benefit plan the payment of premiums for affected employees and their dependents under the California Public Ernployees'.Retirement System (CalPERS) health insurance programs pursuant to the Provisions below. A. Effective January 1, 2018, the City will provide a monthly contribution to health insurance premiums at the. following rates: :Employee Only $654.00 Employee +1 $1,3.01.00 • Employee+Family $1,700.00 B. Any contribution necessary to maintain benefits under any health:insurance program provided by the City for its employees and their eligible dependents in excess of the amount of the City contribution to the Cafeteria Benefit Plan specified above shall be borne entirely by the employee. C. For each such employee who is covered under a spouse's non -City sponsored health plan; the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one hundred percent (100%) of the monthly premium amount for the City's lowest "employee -only" coverage, if said employee waives, in writing, City -paid coverage. If an employee waives City provided coverage, said employee shall provide proof of medical insurance coverage in a non -City -sponsored health plan. Said waiver shall include a provision warning such employee that reentry'into any of the City -sponsored plans is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or family. 12.2 Dental Insurance. The City agrees to contribute towards Ithe cafeteria Benefit plan the payment of premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents on the following basis: A. One hundred percent (100%) of the premium cost for "employee -only" coverage. B. Up to one hundred ten dollars ($110) per month per employee for "family" coverage. Any contribution necessary to maintain benefits under said dental plans in .excess of the amount of the City contribution to the cafeteria plan specified above shall be borne entirely by the employee. 33 251-35 For each such employee who is covered under a spouse's.non-City sponsored dental plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one -hundred percent (100%) of the City's contribution, if the employee waives, in writing, City -paid coverage. Such waiver shall include a provision warning such employee that reentry into any City -sponsored plan is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or family. 12.3 Disability Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for a long term disability insurance plan for employees covered by this MOLT as said plan was amended effective. November 1, 1985, to provide Unrepresented Management personnel a monthly benefit of sixty-six and two-thirds percent (66 2/3%) of base monthly salary (insured payroll), less offsets contained in the existing plan, to a maximum monthly benefit of $5,000. 12.4 Life Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for term life insurance coverage under the policy it maintains on behalf of its officers and employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to twice such employee's annual rate of salary to a maximum of three hundred thousand dollars ($300,000), provided said affected employees can provide evidence of insurability of coverage above one hundred fifty thousand dollars ($150,000) if so required by the terms'and "conditions of said term life insurance policy. In the event any employee is determined to be ineligible.for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost without having to. provide evidence of insurability. 12.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as a part of any self-insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the changes have been made. 12.6 Cafeteria Benefit Plan. The City provides a Cafeteria Benefit Plan adopted in accordance with the provisions of Internal Revenue Code § 125 for employees covered by this MOU. Affected employees will be eligible to receive cash (subject to taxation as wages) through the cafeteria Benefit plan if they either opt -out of receiving one of the optional benefits provided through the plan or if they choose optional benefits that do not cost as much as the maximum dollar amount they have received through the plan. If two City employees are married, at least one of the two employees must maintain insurance coverage. The amount of money that can be redesignated by the employee waiving 34 251-36 coverage is limited to the value of the "employee -only" level within each type of insurance. In the event the City experiences an adverse impact in Yates due to utilization of the redesignation option, the City and PMA agree to meet and confer over the impact. 12.7 Medical Retirement Subsidy Plan. The City provides the"Vantage Care" Retirement Health Savings Plan ("RHS'), which designated ICMA-RC as the administrator of the plan. A. Effective January 1; 2018, the City shall contribute two and three-quarter percent (2.75%) of base salary, plus pay additives each pay period into the individual accounts of Association members established with plan administrator ICMA-RC. 1. Employees covered by this MOU shall continue to contribute one half of one percent (.5.00/6) of base salary, plus pay additives, each pay period. into their individual RHS accounts established with.plan administrator ICMA-RC. 2. ;In addition to the contributions referenced above, an Asspciaiion member may contribute unused sick leave, vacafon, and other benefits to the trust as defined by the plan guidelines. 3. The program is not intended to create any form of lifetime insurance subsidy, benefit or entitlement. 12.8 Vision Insurance., The City shall maintain in effect its existing vision care plan through EyeMed, for, employees covered by this MOU. This plan is voluntary on behalf of the employee and. shall be fully funded by the participating employee. 35 251-37 ARTICLE XIII. 13.0 DEFERRED COMPENSATION 13.1 Effective January 1, 1977, employees covered by this MOU were granted a one percent (1%) salary increase to be utilized toward deferred compensation. Effective July 1, 1991, to comply with Ca1PERS salary reporting requirements, salary rate ranges for employees covered by this MOU were adjusted upward by one percent (1%) to reflect the deferred compensation as salary. Fot'salary'reportingpurposes, the deferred compensation was shown as part of salary, rather than as an add-on benefit. The amounts contributed by the City under this article shall be subject to provisions as outlined in the Internal Revenue Code (IRC) 457. Furthermore, all new contributions and existing assets are to be held for the exclusive benefit of the participants and beneficiaries. 36 251-38 ARTICLE XIV 14.0 RETIREMENT 14.1 General. The terms of the existing contract between the City and California Public. Employees' Retirement System (CaIPERS) governing the City retirement benefit's of employees covered by this MOU are incorporated by reference herein. The City shall continue to make contributions to CaIPERS in accordance with its contract with CaIPERS for employees covered by said contract as amended. 14.2 Deferred Retirement. The City will continue to make payment to,CalPERS on behalf of each affected employee, in an amount necessary to pay one hundred percent (1000/) of his or her individual "employee'retirement; eontribution. Such payments shall, be credited to the individual employee's CaIPERS. account. Such payments are not increases in base salary and no salary rate ranges applicable to any of the employees covered by this-MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary'income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal .Revenue Service confirming that these payments are deferred compensation, and not ordinary income. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were partof the employee's base salary. In the event that the City receives a ruling from the Intemal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to. make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eighteen (18) salary rate ranges (approximately '9%) for "safety member" employees covered under the 3% at age 50 CaIPERS formula and. sixteen (16) salary rate ranges (approximately 8%) for all "miscellaneous member" employees covered under the 2.7% at age 55 CaIPERS"Formula. 14.3 1959 Survivor's Benefit. The City shall provide CaIPERS fourth level of 1959 Survivor's Benefits to all eligible employees in the unit. 14.4 Pre -Retirement Optional Settlement 2 Death Benefit. The City shall provide the Pre - Retirement Optional Settlement 2 Death Benefit to all employees covered by this MOU. 14.5 2.7% at 55 Service Retirement Benefitfor Classic Miscellaneous Members. The City agrees to continue to provide Classic Miscellaneous employees covered.by.this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act (PEPRA) of 2013 with the 2:71/o at 55 Service Retirement benefit. 37 251-39 Payment of 2.7% at 55 Service Retirement Benefit. Classic Miscellaneous employees covered by this MOU shall pay eight percent (8%) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost-sharing pursuant to Government Code section 20516(f). Pre -Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service "regulations, this eight percent. (8%) employee contribution shall be implemented through payroll deductions on a pre-tax basis. 2% at 62 Retirement Benefit for New Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU who are defined as New Members under PEPRA, with the 2% at 62 Service Retirement benefit. The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOO and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Miscellaneous Members will be based on the highest annual average compensation eamable during any 36 consecutive months preceding the effective date of his or her retirement,. Effective July 1, 2013, employees covered under the 2% at 62 retirement formula for Miscellaneous shall pay one half of the normal cost rate, as established by CalPERS. 14:6 3% at 50 Service Retirement Benefit for Classic Safety Members. The City agrees to continue to provide Classic Safety employees covered by this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act (PEPRA) with the 3% at 50 Service Retirement benefit. Payment of 3% at 50 Service Retirement Benefit. Effective January 1, 2018, Classic Safety employees covered by this MOU 'shall pay twelve percent (12%) of CAPERS reportable compensation toward the employer cost of the 3% at 50 enhanced retirement formula. This payment shall be implemented as cost-sharing pursuant to Government Code Section 20516(f). Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations this twelve percent (12%) employee contribution shall be implemented through payroll deduction on a pre-tax basis. 2.7% Ca, 57 Retirement Benefit for New Safety Members. The City agrees to provide Safety employees covered by this MOU who are defined as New Members under PEPRA with the 38 251-40 2.7% @ 57 Service Retirement benefit. The PEPRA went into effect on January 1, 2013. The parties agree that if there'is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request.to negotiate over the legislation, including over the impact. Final compensation for New Safety Members will be based on the highest annual average compensation earnable during any 36 consecutive months preceding the effective date of his or her retirement: Effective July 1, 2013, employees covered under the 2.7% @ 57 retirement formula for Safety shall pay one half of the normal cost rate, as established by CaIPERS. 14.7 Military Service Credit as Public Service. "Safety" employees and. "miscellaneous" employees may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an, amountequal to'the contribution for current and prior service that the.employee and the employer would have made with respect -to that period of service. 14,8 Credit for Unused Sick Leave. A non-swom employee covered by this MOU can have unused accumulated sick leave at the time of retirement converted to additional "service credit. at the rate of 0,004 years of seryice .credit for each day, eight (8) hours per day, of unused sick leave (i.e., 200 days of sick leave equals :80 additional years of service credit), pursuant to regulations prescribed by PERS. The maximum. total unused sick leave that can be converted shall be two hundred (200), eight (8) hours working days; (1600 hours). Any accumulated sick leave in excess of 1600 hours shall be forfeited.. The City must report only those hours of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. The provisions of this section will also apply to sworn employees covered by this 'MOU. 39 251-41 ARTICLE XV 15.0 TECHNOLOGY STIPEND 15.1 The City shall provide a $75 a month Electronic Device Stipend ("Stipend") for those Association employees whose positions require the regular use of a cell phone and/or tablet. and who choose to use their own personal devices for business-related conversations and activities. These employees may be eligible to receive a Stipend to compensate forbusiness- related costs incurred while using their individually -owned electronic devices. Eligibilityfor the stipend requires the employee to return to the City any City issued electronic device for which the employee will be substituting his or her personal device. 40 251-42 ARTICLE XVI 16.0 EXPANDED RESIDENCY 16.1 The City shall continue to permit employees covered by this MOU to "reside outside the limits of Orange County, so long as such residency is not an, unreasonable distance nor requires an unreasonable response time to the particular employee's place of employment. Any affected employee who desires to take advantage of the opportunity to: reside outside of Orange County shall first request, permission to do "so from the Police Chief. Said request shall be granted by the Police Chief if it is determined `that the intended residence is not an unreasonable distance nor requires an unreasonable response time to the employee's place of employment. Should the Police Chief refuse any such request, the employee shall have the right to appeal said determination to the City Manager for reconsideration. 41 251-43 ARTICLE XVII 17.0 CONTROLLED PARKING AND TAKE HOME VEHICLE PRIVILEGES 17.1 Parkine. The City shall provide non -sworn employees covered by this MOU with free parking for personal "vehicles during on -duty hours in controlled parking facilities in the Civic Center area. 17.2 Take Home Vehicle. All employees in the classifications of Deputy Chief of Police and Police Commander shall receive a City -owned and.maintained vehicle for traveling between the employee's residence and the Police Department or other business-related location, as necessary in the performance of his or her duties. 42 251-44 ARTICLE XVIII 18.0 DISCIPLINE 18.1 An employee covered by this MOU may only be: disciplined in accordance with the standards and procedures and subjects to all rights of appeal set forth in Section 1000d of the City Charter and Municipal Code Sections 94, 9-16, 9-118.1 et. seq. 18.2 In addition; a, new section shall be added to the Municipal Code to provide as. follows. A. In the event an employee is ordered to absent himselffrom thejob based on probable cause and it is subsequently determined by the Police Chief, the City Manager, Personnel Board or a court of competent jurisdiction, that cause did not exist for the ordered absence, the employee shall have restored to him any paid leaves of absence against which such absence may'have been charged, and he shall be _granted a retroactive leave of'absence with pay for the time during which.he was prohibited from performing the duties ofhis position, less any compensation paid to him by the City during such ordered absence. B. In the event an employee is reduced, suspended, and/or discharged, and upon appeal the City Manager, Personnel. Board or a court of competent, jurisdiction does not sustain such reduction, suspension, and/or, discharge; ;the employee shall be entitled to his base rate of salary including all additives, vacation, and sick leave as if such unsustained reduction, suspension, or discharge had not been invoked: However, in no event shall an employee be entitled to any salary credit for vacation and sick leave for any period of time covered by asuspension sustained on appeal or for any.period of time"waived by the employee as a condition to the granting of a continuance of any hearing.on appeal. C. If, during an absence for which an employee is paid pursuant to this Section, he earned any money which he would not have earned had he continued to perform the duties "of his position, such sum shall be deducted from the salary'otherwise_payable to him pursuant to this Section. 43 251-45 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be. defined as a timely complaint by an employee or group of employees of the Association concerning the interpretation or application of specific provisions,of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of ten (10) calendar days after the occurrence of the alleged incident givingrise to the grievance, or when the grievant knew or should have reasonably become aware of the facts given rise to the grievance. B. Every effort shall be made to find unacceptable solution to the grievance through this informal means at the mostimmediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (5) working days, a mutually acceptable solution has not been reached at the informal level; the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it to the Police Chief. At this point, the grievance review process becomes formal. Should the grievant and/or his or her designated representative fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance "shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification,he or she considered, proper, sign it, and forward it to the Police Chief without undue delay or, in no case, more than ten (10) calendar days. 44 251-46 B. If the grievant files a written grievance to the Police Chief in the manner and within the time limits specified, then a conference shall be held at the request. of the employee or the Police Chief. C. Police Chief shall inform the employee of his or her action within ten (l 0) calendar days of the conference referenced in subsection (B) above. The original of the grievance form and the Chiet's decision shall be f led in the Personnel Records of the Department. D. If no satisfactory settlement has been reached at the Department level, the employee may, within ten (10) calendar days after being informed by the Police Chief of his or her decision on the-matteri and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on a basis of the Police Chief's response. E. The City Manager or his or her duly authorized representative, after a.caref it review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within thirty (30) calendar`days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his representative's written decision shall be filed in the Personnel Records of the Department and the grievant's personnel jacket maintained in the Personnel Services,Department. F. After the procedures setforthh in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. 45 251-47 ARTICLE XX 20.0 DUES DEDUCTION AND INDEMNIFICATION 20.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Association, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Association within thirty (30) days'following their: deduction. 20.2 'Indemnification.. The Association agrees to hold the City harmless and indemnify the City against any claims, causes of action, or lawsuits instituted by.4 member or members of the Association arising out of the deductions or transmittal of such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article. M 251-48 ARTICLE XXI 21.0 CITY RIGHTS 21.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are -not abridged by this MOU or bylaw shall include but not be limited to the following rights: A. To manage the'City generally and to determine the issues of policy. B. To determine the existence_ or non-existence of facts which are the basis of the Management decision. C. To determine the necessity oforganization of any service or activity conducted bythe City and expand or diminish services. D. To determine the nature; manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce,by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including but not limited to the right contract for or subcontract any work or operation of the City. 1. To assign work to and schedule employees in, accordance with requirements as. determined.by the City, and to establish and change work schedules and:assignments. To relieve employees from duties for lack of work or similar nondisciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in 47 251-49 accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine -job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for nondisciplinary reasons in accordance with this MOU. O. To determine policies, procedures and standards including, butnot limited to, quality and quantity standards and to require compliance therewith. P. To establish employee performance standards including, but not limited to, quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify'rules and "regulations to maintain order and safety in the City which are not in contravention with this MOU. S. To take any and 'all necessary action to carry out the mission of the City in emergencies. 21.2 Except in emergencies, or where the City is required. to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Association regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. '21.3 Layoffs. During the term of this MOU, the City agrees to meet and confer regarding both the decision and the impact of layoffs to the ranks of Police Commander or Deputy Chief of Police, respectively. 21.4 Transfer of Bargaining Unit Work. As required by the Meyers-Milias-Brown Act, the City agrees to meet and confer prior to the implementation of said transfer as follows: A. Transfer of bargaining unit work from an Association classification to a class not represented by the Association; or B. Transfer of work from a classification outside the Association to a classification represented by the Association. 48 251-50 .ARTICLE XXII 22.0 STRIKES AND WORK STOPPAGES 22.1 Prohibited Conduct. A.. The Association, its officers, agents, representatives, and/or members agree that during the term of this MOU, they will not cause or condone any unlawful strike, workout, slowdown, sick-out, or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissalby the appointing -authority. 22.2 .Association .Respohsibility. In the event 'that the Association, its officers, agents, representatives, or members engage in any of theconduct prohibited in Subsection A, Section 22.1 aboveof this Article', the Association shall immediately instruct any persons engaging in such.conduct that their conduct is in violation of this MOU and unlawful, and they must immediately cease engaging in the conduct: prohibited and return to work. 49 251-51 ARTICLE XXIII 23.0 SOLE AND ENTIRE AGREEMENT 23.1 It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda ofunderstanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral and written, expressed or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 23.2 The City will continue to administer its employee relations and its personnel policies and procedures in accordance with duly adopted ordinances and resolutions, and the affected employees will continue to be governed thereby during the term of this MOU. 50 251-52 ARTICLE XXIV 24.0 WAIVER OF BARGAINING DURING THE TERM.OF MOU 24.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms of conditions of employment; whether or not covered by this MOU or in the negotiations leading thereto, unless required by specific ,provision of this MOU, and irrespective of whether or not such. mattersmere discussed or were even within the contemplation of the parties 'hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this MOU. 51 251-53 ARTICLE XXV 25.0 SEVERABILITY PROVISION 25:1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction or by statue, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 52 251-54 ARTICLE XXVI .26.0 TERM OF MOU 26.1 The term of this MOU shall be from July 1, 2017 through June 30, 2018. 53 251-55 ARTICLE XXVII 27.0 RATIFICATION AND EXECUTION 27.1 The City and the Association have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Association acknowledge that this MOU shall not be in full force and effect until ratified by the membership of the Association and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed.by the authorized representatives of the City and the Association and entered into this day of December, 2017. Dated: Dated: Dated: ATTEST: CLERK OF THE COUNCIL APPROVED AS TO FORM: CITY OF SANTA ANA, a municipal corporation.of the State of California By: MAYOR By: CITY MANAGER By: EXECUTIVE DIRECTOR - PERSONNEL SERVICES 4WA-)Tal R . � q{ CITY ATTORNEY C Gfi io , 1 � Q �. Cc ruq ho 54 251-56 This Memorandum of Understanding has been ratified by the membership of the Santa Ana Police Management Association. Dated: By: PRESIDENT, SANTA ANA POLICE MANAGEMENT ASSOCIATION 55 251-57 251-58 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AGREEMENT WITH THE SANTA ANA MANAGEMENT ASSOCIATION OF THE CITY OF SANTA ANA (SAMA) (STRATEGIC PLAN NO. 7,4 & 6) CI 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 Adoption of a Memorandum of Understanding (Exhibit 1) with the Santa Ana Management Association of City of Santa Ana (SAMA) regarding wages and other terms and conditions of employment for a term from July 1, 2017 through December 31, 2018, for an estimated cost of $160,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City and the SAMA employees recently completed contract negotiations resulting in a new eighteen month Memorandum of Understanding (MOU). The MOU covers July 1, 2017 through December 31, 2018. The terms reflect direction given to staff by City Council and the SAMA employees voted and approved these terms on November 29, 2017. The major provisions of this agreement include: 1. Term: An eighteen month term from July 1, 2017 through December 31, 2018. 2. Salary: Effective September 1, 2017, the base salary of employees covered by this MOU shall be increased by two percent (2%). 3. Health Insurance Contribution: Effective January 1, 2018 city shall contribute in a monthly amount as follows: Employee up to $654.00 Employee + 1 up to $1,307.00 Family up to $1,700.00 4. Holidays: Adjust current Holiday and Floating Holiday hours to reflect each employee's regular work hours. Allow employees to take Banked Holiday time off in '/z hour increments. 25J-1 SAMA MOU Agreement December 19, 2017 Page 2 5. Management Leave: Management Leave shall be increased from 40 to 50 hours per year. 6. Tuition Reimbursement: Increase current Tuition Reimbursement from $2500 to $3000 per fiscal year. 7. Sick Leave: Employees who have completed thirty (30) years of cumulative service with the city shall be entitled to payment for three—fourths (3/4) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1,200 hours, at the rate of base pay effective on the date of termination. 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 and Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success. FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that this agreement will result in a net cost to the City of $160,000 during the term of the agreement. APPROVED AS TO FUNDS AND ACCOUNTS: Edward S. Raya Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance and Management Services Agency Exhibit 1: SAMA MOU for July 1, 2017 through December 31, 2018 25J-2 I _ o � : ►It LI OF UNDERSTANDING BETWEEN CITY OF SANTA ANA SANTA ANA MANAGEMENT ASSOCIATION July 1, 2017 — December 31, 2018 EXHIBIT 1 26J-3 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA MANAGEMENT ASSOCIATION FOR FISCAL YEARS 2017-18 TABLE OF CONTENTS ARTICLE I RECOGNITION 3 ARTICLE II PURPOSE AND INTENT 4 ARTICLE III IMPLEMENTATION 5 ARTICLE IV ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE 6 ARTICLE V SALARIES 9 ARTICLE VI ADDITIONAL COMPENSATION 17 ARTICLE VII OVERTIME PAY 18 ARTICLE VIII HOLIDAYS 19 ARTICLE IX VACATION 21 ARTICLE X OTHER LEAVES OF ABSENCE 26 ARTICLE XI EMPLOYEE INSURANCE 37 ARTICLE XII RESERVED 39 ARTICLE XIII RETIREMENT 40 ARTICLE XIV TUITION REIMBURSEMENT 42 ARTICLE XV ELECTRONIC DEVICE STIPEND 43 ARTICLE XVI STRIKES AND WORK STOPPAGES 44 ARTICLE XVII SOLE AND ENTIRE MOU 45 ARTICLE XVIII SEPARABILITY PROVISION 46 ARTICLE XIX GRIEVANCE REVIEW PROCEDURE 47 ARTICLE XX WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 49 ARTICLE XXI EMERGENCY WAIVER PROVISION 50 ARTICLE XXII TERM 51 ARTICLE XXIII NON-DISCRIMINATION 52 ARTICLE XXIV RATIFICATION AND EXECUTION 53 EXHIBIT C JOB TITLES 55 29J-4 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the Employee Relations Resolution of the City of Santa Ana (Resolution Number 81-075) and applicable State law, the City of Santa Ana (hereinafter called "the City") certified the Santa Ana Management Association (herein after called "SAMA") on September 25, 2002, as the majority of the Middle Management and Administrative Management Representation Unit (hereinafter called the "Unit") previously found appropriate by the Employee Relations Officer. The City hereby recognizes SAMA as the certified majority representative of the full time employees in said Unit. The term "employee" or "employees" as used herein shall refer only to full-time employees employed by the City in said Unit in the employee classifications comprising said Unit as listed in the attachments shown as listed "Exhibit C," as well as such classifications as may be added hereafter by the employee designated as the employee relations officer pursuant to Resolution No. 81-75. 25J-5 ARTICLE II 2.0 PURPOSE AND INTENT 2.1 It is the purpose of this Memorandum of Understanding MOU (hereinafter referred to as MOU) to promote and provide for harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU. 2.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter, or award Civil Service rights or privileges to any employee represented by SAMA who is in the Excepted Service of the City. 4 25J-6 ARTICLE III 3.0 IMPLEMENTATION 3.1 This MOU constitutes a recommendation jointly submitted to the City Council of the City of Santa Ana. The parties agree that this MOU shall not be binding upon the parties until said City Council: A. Acts, by majority vote, formally to approve said MOU and, B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Implementation shall be effective as of the date the MOU is both approved by the City Council and the funding has been appropriated pursuant to Section 3.1 above. If the parties fail to agree to implement provisions of this Memorandum not requiring City Council approval, then negotiations shall resume upon the request of either party. 26J-7 ARTICLE IV 4.0 ATTENDANCE, WORKDAY, WORKWEEK, & WORK SCHEDULE 4.1 Attendance. All full time SAMA employees covered by this MOU shall be in attendance at their work during hours prescribed by the Executive Director or his designee(s) and shall not absent themselves during prescribed hours without authorization. SAMA employees shall not be required to submit Leave of Absence Requests for absences of two (2) hours or less. 4.2 Hours of Work. Eight (8) hours of work shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special regulations have been approved by the City Manager. A. 4/10 Work Schedule. The Executive Director, with the approval of the City Manager, may assign SAMA employees to a workweek consisting of four (4) ten (10) hour day with an additional one-half (1/2) or one (1) hour for unpaid lunch periods. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. B. 9/80 Work Schedule. All SAMA employees shall be permitted to work a 9/80 work schedule when authorized by the Executive Director and approved by the City Manager. A SAMA employee will not be permitted to work this schedule if in the discretion of the Executive Director and City Manager, the 9/80 work schedule may reduce service to the public. 1. 9/80 Work Schedule Defined. The 9/80 work schedule shall be defined as working eighty hours over nine days in a two-week period. An employee shall work eight days for nine hours per day and one day for eight hours, excluding a one-hour lunch break during each work shift, totaling forty (40) working hours in each work week. a. The Work Week Period. The forty (40) hour work week period shall be defined as the work period starting from Friday at mid - shift to Friday at mid -shift. No employee working the 9/80 work schedule will be able to flex their Friday start time nor the time they take their lunch break, which will occur in the middle of the day on Fridays. b. The 9/80 Work Period. The 9/80 two-week work period for employees starts Friday mid -shift and continues for fourteen (14) 24J-8 days until Friday mid -shift. During this period, each week is made up of four nine -hour work days (thirty-six hours) and one four- hour Friday and those hours equal forty work hours in each work week (e.g., the Friday is split into four hours for the first shift, which is charged to work week one and four hours for the second shift, which is charged to work week two). C. SAMA employees cannot change schedules without prior approval of their Executive Director. The purpose of this authorization is to review the impact on supervision, staffing and workload. Employees may change schedules at the beginning of any work period with approval of their Executive Director. d. Modification of the 9/80 work week period are not permitted unless authorized by the Executive Director of Personnel Services and the City Manager. e. Emergencies. All SAMA employees on the 9/80 work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Executive Director or designee, may require such service from any of said employees. 2. Leave Benefits. When a SAMA employee is off on a scheduled workday under the 9/80 work schedule, then nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance or eight (8) hours shall be charged if the day off is a Friday. All leaves shall continue under the current accrual, eligibility, request and approval requirements. 3. Holidays. Provisions for holiday leave are found in Article VIII of this MOU. 4. Jury Duty Leave. The provisions of the MOU shall continue to apply; however, if an employee is called to serve on jury duty during a normal Friday off, Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the same as having occurred during employee's day off work. 26J-9 4.3 It is intent of the parties that no additional paid time off shall be gained or lost as a result of implementing any alternate work schedules. The City and SAMA agree to meet and confer to discuss abandoning any work schedule and implementing an alternate work schedule if the current schedule has not achieved the desired results. ARTICLE V 5.0 SALARIES 5.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full-time personnel who are now employed or will in the future be employed in any of the designated classifications of employment represented by SAMA as listed in this MOU and its attachments. 5.2 Schedule of Salaries. A. Two separate schedules of salary rate ranges, one for classifications of employment designated as SAMA Middle Management (MM) assigned to 17 -step monthly salary rate ranges, and one for classifications of employment designated as SAMA Administrative Management (AM) assigned to 5 -step monthly salary rate ranges, are attached hereto in matrix format as though set forth herein. The assignment of classifications to salary rate ranges for SAMA Middle Management (MM) and SAMA Administrative Management (AM) is listed in the City's salary schedule, as periodically updated and published by the City. B. The basic salary schedule for SAMA Middle Management classifications contains numerous salary rate ranges, each range comprised of seventeen (17) separate rates of pay shown in monthly amounts. The respective rate ranges are identified by a two -digit number preceded by the capital letters "MM." The separate rates of pay or steps within each salary rate range are identified by the numbers "1" through "17" inclusive, with Step "1" being the lowest or minimum rate of the range, Step "T' the middle or midpoint rate of the range, and Step "17" being the highest or maximum rate. The purpose of each step and criteria for advancement are set forth in Subsection 5.8(A) below. C. The basic salary schedule for SAMA Administrative Management contains salary rate ranges comprised of five (5) steps or rates of pay shown in monthly amounts, identified by the letters "A" through `B" inclusive, with Step "A" being the lowest step in the range. The purpose of each step and criteria for advancement to the next higher step within a particular salary rate range are set forth in Subsection 5.8(B) below. 25J-11 5.3 Salaries A. Effective September 1, 2017 the base salaries of classifications covered by this MOU shall be increased by two percent (2). 5.4 Application of Basic Compensation Plan. The salary rate ranges contained in Subsection 5.2 are monthly salary rate ranges. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter and employees re-employed from re-employment eligible lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) or appointment from a promotional eligible list. 5.6 Beginning Rates. A. SAMA Middle Management Classifications. An employee appointed to a Middle Management classification shall be compensated at any rate within the lower third of the 17 step salary rate range (Steps "1" through "6") for their job classification as authorized by the Appointing Authority. When economic conditions, unusual employment conditions, or exceptional qualifications of a candidate for employment indicate a higher rate would be in the City's best interest, the City Manager may authorize hiring at a higher rate in the salary rate range but this higher rate generally shall not be above the midpoint. B. SAMA Administrative Management Classifications. An employee appointed to an Administrative Management classification may be placed by the Appointing Authority at any step within the applicable five (5) step salary rate range (Steps "A" through "B'� in the schedule to which the classification has been assigned through adoption of this MOU, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article as set forth below. 5.7 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in the higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. 2dJ-12 Notwithstanding the above, employees in classifications represented by SAMA who are hired after the first (15) working day of the month shall not be credited with time in service for that month when determining the length of service for salary advancement. A lapse of service by an employee for a period of time longer than ten (10) calendar days, by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this MOU, and any such employee reentering the service of the City shall be considered as a new employee, except that he or she may be reappointed as provided in Santa Ana Municipal Code (SAMC) Chapter 9-114 and may be placed in the same salary step in the appropriate salary rate range as he or she was at the time of termination of employment. 5.8 Advancement Within Ranges. A. SAMA Middle Management Classes: The following provisions shall govern salary advancement within rate ranges for employees employed in SAMA Middle Management classes: 1. Steps "1" through "15" Advancement: For any employee in a SAMA Middle Management classification covered by this MOU who has been initially appointed to a step lower than Step "15", advancement in the SAMA Middle Management schedule of salary rate ranges may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in two-step increments, each step being equivalent to 2.5%, for a total increase of 5% per year, until Step "15" is achieved. For example, an employee covered by this MOU shall advance from Step 1 to Step 3, Step 3 to Step 5, Step 5 to Step 7, Step 7 to Step 9, Step 9 to Step 11, Step 11 to Step 13, or Step 13 to Step 15. The effective date of such merit step increase, if granted, shall be the first (15`) day of the month following the completion of one (1) year of service at the step from which said employee is being advanced. 2. Advancement to Steps "16" and "17": Any employee in a SAMA Middle Management classification covered by this MOU, who has reached Step "15" or Step "16" in the SAMA Middle Management schedule of salary rate ranges, may advance to the next higher step in the SAMA Middle Management schedule of salary rate ranges only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in one-step 2dJ-13 increments, each step being equivalent to 2.5% per year until Step "17" is achieved. For example, an employee covered by this MOU shall advance from Step "15" to Step "16", and Step "16" to Step "17", respectively. 3. Any current SAMA Middle Management employee who previously advanced through the steps of each salary rate range using his or her initial date of hire into a middle management class shall retain that date as the anniversary date for purposes of advancing through the steps of each salary rate range while in his or her current class and for any subsequent promotions to a SAMA Middle Management class. The effective date of such merit step increase, if granted, shall be the first (151) day of the month following the anniversary date. Such merit advancement shall require the following: a. There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "1" results from promotion under the provisions of Section 5.9 (A) of this MOU. d. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be 26J-14 retroactive to the first (1") day of the month following the completion of the required length of service. 4. When an employee in a SAMA Middle Management classification has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional continued service in the classification and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional continued service in the classification. 5. An employee in a SAMA Middle Management classification who is being paid at any salary step above Step "1" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Appointing Authority and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement in Subsection 5.8 Paragraph (A) (4) above, and such officer or employee may be considered for readvancement under the same provisions as contained in Subsection 5.8 Paragraph (A) (4) above. B. SAMA Administrative Management Classifications: The following conditions shall govern salary advancement within 5 -step rate ranges for employees employed in SAMA Administrative Management classifications: 1. For any employee in a Administrative Management classification covered by this MOU who has been initially appointed to a step lower than Step "B," advancement to the next higher step (Step `B" from Step "A" or Step "C" from Step `B," etc.) may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of such merit step increase, if granted, shall be the first day of the month following the completion of one year of service at the step from which said employee is being advanced. Such merit advancement shall require the following: a. There shall be on file in the Office of the Executive Director of Personnel Services a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of 2dJ-15 service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "A" results from promotion under the provisions of Section 5.9(B) of this MOU. d. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step increase shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step increase shall be retroactive to the first (1st) day of the month following the completion of the required length of service. 2. When any such employee in a classification designated as Administrative Management (AM) has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in Subsection 5.8(B)(1) above. 3. Any employee in an Administrative Management classification who is being paid at any salary step above "A" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Executive Director and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement provided in Subsection 5.8(B)(1) above, and such employee may be considered for re -advancement under the same provisions as contained in Subsection 5.8(13)(2) above. 2dJ-16 5.9 Promotional Salary Advancement. A. SAMA Middle Management Classifications: When an employee in a non- management classification of the City service is promoted to a SAMA Middle Management classification, they shall be placed at a salary rate in the appropriate salary rate range that will provide at least a five percent (5%) pay increase. B. SAMA Administrative Management Classifications: 1. Promotion from a Non -Management Classification. An employee who is promoted to a SAMA Administrative Management classification from a non -management classification of the City service shall be placed at a salary rate in the appropriate Administrative Management monthly salary rate range that provides a pay increase of at least five percent (51%). 2. Promotional Salary Advancement. When an employee in a classification designated as Administrative Management (AM) is promoted to a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to the beginning step in the appropriate monthly salary range for the higher classification; provided, however, that if the base salary currently being paid such employee is already equal to or higher than such beginning step, he or she shall be placed in the lowest step in the appropriate monthly salary rate range as will grant the employee a pay increase of at least five percent (5%) over his or her current base salary step exclusive of pay premiums such as bilingual pay, special skills or the like. 5.10 Demotion. A. SAMA Middle Management Classifications: When an employee in a Middle Management classification is demoted to a position in a lower classification, he or she shall be placed at a rate in the lower salary rate range which provides at least a five percent (5%) reduction in pay. B. SAMA Administrative Management Classifications: When an employee in a SAMA Administrative Management Classification is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification accordance with the following provisions: 2dJ-17 1. The salary rate shall be reduced by five percent (50/6). 2. The new salary rate must be within the appropriate salary rate range. 3. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 5.11 Probationary Rejection. A promotional employee who is rejected during the probationary period from a SAMA classification shall be returned to the classification in which he or she holds regular status and at his or her former salary step, unless the reasons for failure to complete probation would also be cause for dismissal from City service. 5.12 Reallocation of Salary Rate Ranges. An employee who is employed in a classification covered by this MOU which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Acting Pay. An employee in a classification covered by this MOU may be appointed by the Executive Director to serve in an acting capacity during an unplanned absence from work of thirty (30) calendar days or more of another employee represented by SAMA. Represented SAMA employees who are granted "acting pay" shall receive a five percent (5%) increase or the minimum rate of the higher salary range while serving in an "acting" capacity. 2�J-18 ARTICLE VI r,117,103101 08M.WGIONNUIJONVION "OV 6.1 Bilingual 1 Pay. An employee whom the Executive Director or his designee assigns to a position requiring bilingual capability in both English and either Samoan, Spanish, Vietnamese or other languages designated by the City Manager, will be paid a monthly premium in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capability. B. Positions for which the Executive Director has determined that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed, will be designated as Primary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly premium of one hundred seventy-five dollars ($175) above his or her then current base monthly salary step. C. Positions where it has been determined by the Executive Director that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, will be designated as Secondary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly differential of forty dollars ($40.00) above his or her monthly salary step for each of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignment shall be no larger than the requirements of the department as determined by the Executive Director and the City Manager. E. There may be annual re -certification of such bilingual capability. 6.2 All assignments to positions providing for bilingual pay as set forth in this Article shall be made or revoked at the sole discretion of the Executive Director. 2�J-19 ARTICLE VII 7.0 OVERTIME PAY 7.1 Compensation for Overtime. Employees in any of the designated classifications of employment listed in this MOU are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 2�J-20 ARTICLE VIII 8.0 HOLIDAYS 8.1 Employees covered by this MOU who work a regular forty (40) hour workweek schedule shall be entitled to receive the following days off during the calendar year as paid holidays: • January 1 st - New Year's Day • Third (3rd) Monday in January - In observance of Martin Luther King's Birthday Third (3rd) Monday in February - In memory of George Washington's Birthday • Last Monday in May - In commemoration of Memorial Day • July 4th - In observance of Independence Day • First (1st) Monday in September - In observance of Labor Day • November 11th - In observance of Veteran's Day • Fourth (4th) Thursday in November - In observance of Thanksgiving Day • The Friday immediately following Thanksgiving Day • Last working day before Christmas Day, unless Christmas Day falls on a Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof • December 25th - In observance of Christmas Day • One (I) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor e Every day proclaimed by the Mayor of the City as a holiday for City employees • Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 8.2 HolidM — Employees on Alternate Work Schedules. A. Full-time employees whose regular scheduled days off are other than Saturday and Sunday shall be entitled to receive twelve (12) working days off during the year in lieu of the holiday benefits specified in Section 8.1 above. Holidays will be credited based on the employee's working schedule. If the holiday falls on a regular 9 hour day, then 9 holiday hours will be credited. If the holiday falls on the 8 hour working Friday then 8 hours of holiday pay will be credited. 2dJ-21 B. Said substitute holidays may be scheduled by the Executive Director or his or her designee, normal during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportions to his or her service at full pay in such capacity during the year. 8.3 A newly employee must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, supra, actually occurs in order to receive credit for such holidays during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service in order to receive credit for the Floating Holiday listed in Section 8.1 above. 8.4 Holiday time off may be taken in incumbents of eight (8) hours by employees who work 8 hour days. Employees assigned to the 4/10 must use their holiday in ten (10) hour increments. Effective with the date of approval of this MOU by the City Council, employees assigned to a 9/80 work schedule must use their holidays in nine (9) hour increments. 8.5 If a holiday falls on an employee's Friday off, the employee must then take their holiday off before or after the regular holiday as their holiday off with supervisor and/ or Executive Director approval. If the SAMA employee cannot take their holiday off before or after the regular scheduled holiday off the employee will bank eight hours of holiday leave to be used at a later date with the supervisor's approval. 8.6 Holiday benefits may not be carried over from one (1) calendar year to the next. 29J-22 ARTICLE IX 9.0 VACATION 9.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 9.2 Vacation. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members shall be combined into one single vacation bank. The accrual rates will remain the same. However, after January 1, 2016 there will no longer be a reference to longevity vacation. Longevity vacation earned but not advanced in 2015 will be credited to the employee's vacation bank effective January 1, 2016. Thereafter, members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Beginning Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 120 10.00 2 120 10.00 3 120 10.00 4 1 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 2�J-23 B. No employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (P) day of the month following completion of six (6) months of continuous full-time service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Vacation time off may be taken in increments as small as one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. The time at which an employee shall take his or her vacation shall be determined by the Department Head, with due regard for the wishes of the employee and particular regard for the needs of the City. F. Computation of Vacation. 1. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Executive Director, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. A period of earlier service does not apply toward the calculation of the completed years of service factor for vacation accrual when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Subsection 10.1 (E) (Sick Leave - Extended), Article X, Subsection 10.8 (Authorized Absence Without Pay - Long Term) and Article X, Subsection 10.12 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section; however, the leave of 2�J-24 X absence period shall not be applied toward the accumulation of vacation. Absence on military leave followed by reinstatement, as provided in Chapter 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. 3. Vacation Buy -Back. Employees covered by this MOU are eligible to require the city to buy back up to eighty (80) hours of their banked vacation per fiscal year. Longevity Vacation. A. Longevity vacation accrual shall be operative only through December 31, 2015. Effective January 1, 2016, vacation accrual shall be governed solely by Section 9.2. B. Each permanent employee is granted additional work days of vacation leave with pay for each completed year of full-time, continuous city service as set forth in the following table. This additional vacation shall be designated longevity vacation. Hourlv Eauivalent Completed Years Additional Days of Additional DUs 6 1/2 4 7 1 8 8 1 1/2 12 9 2 16 10 21/2 20 11 3 24 12 31/2 28 13 4 32 14 41/2 36 15 5 40 16 6 48 17 7 56 18 8 64 19 9 72 20 10 80 2�J-25 C. No employee becomes eligible for longevity vacation until completion of the sixth (6h) year of continuous service, and each employee continues to cam the maximum of ten (10) working days (80 hours) of longevity vacation for each completed year of service in excess of twenty (20) years. D. A period of earlier services does not apply toward longevity vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Subsection 10.1 (E) (Sick Leave - Extended), Article X, Subsection 10.8 (Authorized Absence Without Pay - Long Term) and Article X, Subsection 10.12 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of longevity vacation. Absence on military leave followed by reinstatement, as provided in Chapter 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of longevity vacation. 9.4 Vacation Carry Over A. No employee may cant' over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any time. With respect to any vacation forfeited in this manner, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. Completed Years Maximum Hours of Vacation Carry Over 1 120 2 240 3 360 4 360 5 360 6 364 7 372 8 384 9 396 10 408 11 420 2�-26 12 432 13 444 14 456 15 468 16 484 17 504 is 528 19 552 20 576 21 592 22 600 23 600 24 600 25 or more 600 9.5 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days, in any one (1) calendar month, shall not be considered as service time for vacation accrual purposes. 9.6 Management Vacation Benefit. A. SAMA employees covered by this MOU will be granted fifty (50) per calendar year of Management Vacation. In addition to the vacation accrual table in Section 9.2.A. above subject to a maximum accrual of thirty (30) days (240 hours) of such additional Management Vacation. 9.7 Management Vacation Pay Option. A. SAMA employees shall be given once each calendar year the option to receive cash compensation, computed on a straight time basis, in lieu of up to five (5) 8 - hour working days of earned, unused Management Vacation benefits. . 26J-27 ARTICLE X 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave, A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay, provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: 1. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account, if the employee remains off work longer than 14 days. Paid sick leave will continue until the fourth (4a') day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, 2�J-28 the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this MOU, the City may authorize employees to use sick leave or vacation time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. 1. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days (1600 hours). Sick leave usage of less than a full day shall be charged in minimum increments of one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2) hour. 2. Effective January 1, 2005, the maximum total accumulation of sick leave with pay will be increased by 400 hours to a maximum of 2,000 hours. These additional 400 hours of accumulated sick leave will not be permitted to be compensated or converted to health insurance premiums as specified herein under Subsection 10.1 (K) of this Article at the time of non -disciplinary termination. E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from the designated physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. 2gJ-29 F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Executive Director a physician's certificate stating the cause of illness and that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Personnel Services with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. I. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; second, from the next scheduled salary payment. J. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non -cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee or as further specified below. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage; a parent, parent -in-law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence; any other relative of the employee by blood or marriage, where it can be established by the 2dJ-30 employee that the employee's presence is required to handle emergency arrangements and/or other matters. Up to 48 hours of this personal necessity leave may be used: a) to attend to a serious accident to members of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; d) when the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or e) attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. 1. Except in cases of disability retirement, upon non -disciplinary termination of employment after ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one- third (1/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination, not to exceed a maximum limit of fifty-three and one-third (53.33) eight (8) hour working days, at the rate of pay effective on the date of such termination. Maximum sick leave cash -out after ten (10) years of service shall be equal to 427 hours (53.33 x 8). At the employee's election, payment of unused sick leave may be received in either a lump sum of money, or in equal monthly payments for a period of up to five (5) years. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one-third (1/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 2. At his or her option, an employee may convert any lump sum payment provided herein into health insurance premiums, to the extent necessary to provide the employee and his or her designated eligible dependents, if any, 2tJ-31 with benefits under the health insurance program maintained by the City. The City's obligation to pay such premium shall terminate upon the happening of any of the following events: a. Premiums have been paid on behalf of the former employee until all monies are exhausted; or b. The sum of premiums paid equals one hundred fifty percent (150%) of the amount of the lump sum payment that the employee would have received for unused sick leave benefits had this option not been elected. C. Except in cases of disability retirement, upon non -disciplinary termination of employment after fifteen (15) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for two-thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of such termination to be applied toward health insurance premiums only as specified in Subsection K(2) above excluding Subsections aand b 3. Payment After Twenty -Five Years. Affected employees shall be granted payment for unpaid sick leave on the same basis above, with the exception that such affected employees who have completed twenty-five (25) years or more of cumulative service with the City shall be entitled to payment for two-thirds (2/3) of the total sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1066 hours, at the rate of base pay effective on the date of such termination. a. Payment After Thirty Years. Affected employees shall be allowed to convert seventy-five percent (75%) of the unused sick leave balances up to a maximum of 1200 hours to their RHS account, subject to the cap. 4. SAMA members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any eligible sick leave bank balances (K.1 and K.3.), upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request 25J-32 has been made. If said employee cashes out his/her eligible sick leave bank balances prior to retirement and subsequently does not retire from City, all future sick leave accrual for said employee shall be subject to the same cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the said employee would have been entitled to if the cash out was processed on the final paycheck only. The City Manager is authorized to grant a newly appointed incumbent of a SAMA classification sick leave credits up to an amount equal to any earned but unused sick leave credits available to such appointee at the time of his or her separation from his or her most recent previous employer. 10.2 Bereavement Leave. A. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: 1. Any member of the employee's household related by blood or marriage; 2. A parent, parent -in-law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. B. Whenever an employee is required to travel one way more than 500 miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Executive Director. 10.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Personnel Services satisfactory 26J-33 proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Chapter 9-143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) year's service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non- party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Executive Director for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 10.5 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from the service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Executive Director regarding the cause of his or her absence, the Executive Director may restore him or her to his or her position, with the City Manager's approval. 10.6 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days, may be authorized by the Executive Director. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Executive Director with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Executive Director it serves the best interest of the City. 10.7 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Executive Director recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Executive Director and the Executive Director of Personnel Services of his or her intention at least thirty (30) 25J-34 calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Executive Director will take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 10.8 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 10.9 Preenancv Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. 10.10 Administrative Leave. The City Manager is authorized to grant, at his or her discretion, paid or unpaid leave for full time SAMA employees. 10.11 Catastrophic Leave. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non -industrial medical condition or injury, the City and SAMA agree to implement a Catastrophic Leave Donation Program. 25J-35 Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinance of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the Long Term Disability benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two-week periods to submit donations. Donations received after this two-week period shall not be processed. The two-week period for each case shall be designed by the Executive Director or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Subsection 10.12(C)(2) below, will not be processed. 5. All donations shall be irrevocable. 6. In event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and way be used pursuant to Subsection 10.1 (A) through 10.1(K). 7. Donations shall be limited to employees of this bargaining unit or any other unrepresented unit. B. Eligibility. SAMA employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: 2eJ-36 I . When it is reasonably foreseeable that all accrued time on the books, such as sick leave and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Executive Director, or his or her designee, has approved a written request for donation accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Executive Director or his or her designee shall post a notice of the eligible employee's need for donation on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employee wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number. b. The number of hours of vacation time of the donation within the limitation of Subsection 10.12(A)(3) above; C. The name, department and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all 2dJ-37 donated hours may request an additional donation period subject to the provisions of Subsection 10.12(A) herein. 5. The City shall add the donated time to the recipient's sick leave account. 2�J-38 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance. Effective January 1, 2018, the City shall contribute the following to insurance coverage: Employee Only Employee + 1 Employee + 2 or more 11.2 Dental Insurance. $654.00 per month $1,307.00 per month $1,700.00 per month A. The City shall continue to contribute the current maximum amount of $90 per month per SAMA employee for employee dental insurance premiums. Effective January 1, 2016, the City contribution amount will be increased to a maximum of one hundred ten dollars ($110) per month per employee. B. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be borne entirely by the employee. 11.3 Long -Term Disability (L.T.D.) Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for a 60 -day elimination period long term disability insurance plan for employee covered by this MOU. 11.4 Life Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for term life insurance coverage under the policy it maintains on behalf of employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to twice such employee's annual rate of salary to a maximum of three hundred thousand ($300,000) provided said employees can provide evidence of insurability of coverage, if so required by the terms and conditions of said term life insurance policy. In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost not to exceed the actual monthly premium amount allotted for said coverage without having to provide evidence of insurability. 2�J-39 11.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as a part of any self-insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 11.6 SAMA employees shall have the option of waiving coverage under any City sponsored group insurance plan, such as medical, and dental, and receiving a cash payment (subject to taxation as wages) each month in an amount equal to the City contribution for the "employee -only" coverage for medical and the City contribution for family dental. The above specified amounts of City contributions towards each such coverage waived will be applied to earned income. 11.7 Medical Retirement Subsidy Plan. A. Effective June 30, 2015, SAMA dissolved the City's Medical Retirement Subsidy Plan for employees covered under this MOU. Prior to that date, all existing SAMA Medical Retirement Subsidy Plan funds were distributed among SAMA membership and, if applicable, its retired members. SAMA agrees to defend the City against, and indemnify the City for, any liability and damages incurred by the City as a result of the dissolution of the SAMA Medical Retirement Subsidy Plan. B. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA-RC as the administrator of the plan. At that time, employees covered under this MOU received a one-time increase of 1.25% in their base pay, which amount was deposited into their individual RHS accounts each pay period going forward. C. Employees covered under this MOU shall continue to contribute 1.25% of their base pay each pay period to the RHS plan, which amount shall be deposited into the employee's individual RHS account. 11.8 Vision Plan. The City shall maintain in effect its existing vision care plan through EyeMed, for employees covered by this MOU. This plan is voluntary on behalf of the employee and shall be fully funded by the participating employee. . 2dJ-40 ARTICLE XII 12.0 RESERVED 2dJ-41 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CalPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to CalPERS in accordance with its contract with CalPERS for SAMA employees covered by said contract as amended. 13.2 Deferred Retirement. The City will continue to make payment to CalPERS on behalf of each SAMA employee, in an amount necessary to pay one hundred percent (100%) of his or her individual retirement contribution which is currently equal to eight percent (8%) of base salary, effective January 1, 2009. Such payments shall be credited to the individual employee's CalPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eight percent (8%) after January 1, 2009. For the purpose of reporting an employee's compensation to CalPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 Credit for Unused Sick Leave. An employee covered by this MOU, can have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each day of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 26J-42 13.4 Military Service Credit as Public Service. An employee covered by this MOU may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 13.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU with the 2.7% at 55 Service Retirement benefit. pursuant to CaIPERS regulations. This formula will apply to each year of eligible service credited with the City of Santa Ana. Employee Contribution for Retirement Benefit. The employee's contribution rate will be 8%. All employee contributions for retirement benefits are paid to the employer cost (i.e., employer contribution) in accordance with Government Code section 20516(f). The parties acknowledge that this provision has been mutually negotiated and incorporated as an essential element of the parties' MOU. In the event that either party wishes to modify this provision in a successor MOU, the parties intend for this provision to remain unchanged until a successor MOU is ratified or impasse procedures have been concluded. Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.6 For "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.20(a), the 2%@ 62 retirement formula for non-swom. Final compensation will be based on the highest annual average compensation eamable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Employees shall pay one half of the normal cost rate, as established by CaIPERS. 26J-43 ARTICLE XIV 14.0 TUITION REIMBURSTMENT 14.1 SAMA employees shall continue to be eligible to participate in the existing Training and Education Assistance Program provided for all regular, full-time employees of the City; except, however, reimbursement for eligible employees shall be one hundred percent (100%) of tuition and registration costs up to a maximum of three thousand dollars ($3,000), per year in accordance with the provisions of that program. 2�J-44 ARTICLE XV 15.0 ELECTRONIC DEVICE STIPEND 15.1 Electronic Device Stipend All full-time SAMA employees covered under this MOU, whose supervisor determines are required to have a cellphone or tablet will be given the option to choose one of the following: A. Be provided a City paid phone or tablet, or B. Be compensated a maximum $75.00 monthly to cover costs related to the use of personal electronic devices (phone and/or tablet) for City business. Employees who use their own devices will comply with the City's policy. 6J 2-45 ARTICLE XVI 16.1 Prohibited Conduct. A. SAMA, its officers, agents, representatives, and members agree that during the term of this MOU, they will not cause or condone any unlawful strike, walkout, slowdown, sickout, or any other unlawful job action by withholding or refusing to work. B. According to City Charter Section 1014, any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the Appointing Authority. 16.2 SAMA Responsibility. Whenever SAMA, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection 14.1(A) above of this Article, SAMA will immediately instruct any persons engaging in such conduct that their conduct is violating this MOU and unlawful, and they must immediately cease engaging in the conduct prohibited in said Subsection 14.1(A) above, and return to work. 2�`�-46 ARTICLE XVII 17.0 SOLE & ENTIRE MOU 17.1 It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, The City of Santa Ana Charter, its Municipal Code, and its City's Employer -Employee Relations Resolution Number 81- 75. It is the intent of the parties hereto that the provisions of this MOU will supersede all prior MOUS, memoranda of MOU, memoranda of understanding, or contrary salary, and /or personnel rules and regulations, Municipal Code provisions of the City, oral or written MOUs expressed or implied between the parties. This MOU will govern the entire relationship and will be the sole source of any rights that they may assert hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 17.2 Notwithstanding the above, there exists within the City personnel rules and regulations and departmental rules and regulations. The City shall continue these rules and regulations to the extent that they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, or other terms and conditions of employment, the City shall meet and confer with SAMA; provided further, the parties shall change no provision of the rules and regulations to contravene specific provisions of this MOU. 2dJ-47 ARTICLE XVIII 18.0 SEPARABILITY PROVISION 18.1 Should any provisions of this MOU be found to be inoperative, void, or invalid by a court competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 25J-48 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Association concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of ten (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (5) working days, a mutually acceptable solution has not been reached at the informal level, the employee shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to his or her immediate supervisor. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification he or she considers 2dJ-49 proper, sign it, and forward it to the Department Head without undue delay or, in no case, more than ten (10) calendar days. B. If the grievant files a written grievance with the Department Head in the manner and within the time limits specified, then a conference shall be held at the request of the employee or the Department Head. C. The Department Head shall inform the employee of his or her action within ten (10) calendar days after receipt of the request of the settlement. The original of the grievance form and the Department Head's decision shall be filed in the personnel records of the department. D. If no satisfactory settlement has been reached at the departmental level, the employee may, within ten (10) calendar days after being informed by the Department Head of his or her decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the Department Head's response. E. The City Manager or his duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within fifteen (15) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision shall be filed in the personnel records of the department and the grievant's personnel jacket maintained in the Personnel Services Department. F. After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. 25`J-50 ARTICLE XX 20.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 20.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain concerning wages, hours, or terms and conditions of employment, whether or not covered by the MOU, or in the negotiations leading thereto, and whether or not such matters were discussed, or were even within the contemplation of the parties during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual MOU, in writing, agree to meet and confer about any matter not covered by this MOU, or to carry out any provision of salary or benefit tied to another bargaining unit during the term of this MOU. 20.2 RE -OPENER REGARDING THE POSSIBLE MERGER OF MIDDLE AND ADMINISTRATIVE MANAGEMENT CATEGORIES OF EMPLOYMENT During FY 2010-11, the City and SAMA agree to re -open the MOU for the purpose of discussing the feasibility of merging Middle and Administrative Management categories of employment. 254JJ-51 ARTICLE XXI 21.0 EMERGENCY WAIVER PROVISION 21.1 In case of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Santa Ana Municipal Code or Resolutions, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergencies. After the City declares the emergency over, this MOU will be reinstated immediately. SAMA shall have the right to meet and confer with the City regarding the impact of the suspension of the provisions in the MOU during the emergency. 25-6J-52 ARTICLE XXII 22.0 TERM 22.1 The term of this MOU shall commence on the date when the terms and conditions for its effectiveness, as set forth in Article III, Implementation, are fully met, but in no event shall said MOU become effective prior to 12:01 a.m. on July 1, 2015. This MOU shall expire and otherwise be fully terminated at 12:00 midnight on June 30, 2017. 2eJ-53 ARTICLE XXIII 23.0 NON-DISCRIMINATION 23.1 The parties mutually recognize and agree fully to protect the rights of all employees covered hereby to join and participate in the activities of SAMA and all other rights in the Employee Relations Resolution (Resolution Number 81-075) and Government Code, Sections 3500 through 3511. 23.2 The provisions of this MOU shall be applied equally to all employees covered hereby without favor or discrimination because of race, color, sex, sexual orientation, age, national origin, political or religious opinions or affiliations, or disability status or other factors not directly related to the successful performance of the job. 2eJ-54 ARTICLE XXIV 24.0 RATIFICATION & EXECUTION 24.1 The City and SAMA have reached an understanding as to certain recommendations to be made to the City Council of the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and SAMA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of SAMA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and SAMA and entered into 4th day of August, 2015. Dated: Dated: Dated: ATTEST: a- c Clerk of the C uncil CITY OF SANTA ANA, a Municipal Corporation of the State of California By: Mayor By: City Manager By: VYNI 1 Executive Director of Pe onnel Services APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney 2�J-55 This MOU has been ratified by the membership of the Santa Ana Management Association. Dated: SAMA: President Vice President By: 26�-56 EXHIBIT A JOB TITLES RANGE NO. ACCOUNTING MANAGER (MM) MM -25 ADMINISTRATIVE SERVICES MANAGER (MM) MM -22 ASSISTANT CITY ATTORNEY (MM) MM -22 ASSISTANT DIR OF COMMUNITY DEVELOPMENT (MM) MM -26 ASSISTANT DIR OF FINANCE AND MANAGEMENT SVCS (MM) MM -28 ASSISTANT DIR OF PARKS, REC, AND CMTY SVCS (MM) MM -26 ASSISTANT DIR OF PERSONNEL SERVICES (MM) MM -26 ASSISTANT DIR OF PLANNING AND BUILDING (MM) MM -28 ASSISTANT TO THE CITY MANAGER (MM) MM -22 BUILDING SAFETY MANAGER (MM) MM -26 CHIEF ASSISTANT CITY ATTORNEY (MM) MM -30 CITY ENGINEER (MM) MM -28 CITY TRAFFIC ENGINEER (MM) MM -25 *CODE ENFORCEMENT MANAGER (MM) MM -26 COMMUNITY DEVELOPMENT MANAGER (MM) MM -26 COMMUNITY SERVICES MANAGER (MM) MM -22 CORPORATE YARD FACILITIES/FLEET SVCS MGR (MM) MM -22 COUNCIL SERVICES MANAGER (MM) MM -22 DEPUTY BUILDING OFFICIAL/NEW CONSTRUCTION (MM) MM -22 DEPUTY BUILDING OFFICIAL/PLAN CHECK (MM) MM -25 DEPUTY CITY ATTORNEY (MM) MM -12 DEPUTY CITY ENGINEER (MM) MM -25 ECONOMIC DEVELOPMENT MANAGER (MM) MM -26 FACILITIES MAINTENANCE SUPERINTENDENT (MM) MM -18 HOUSING DIVISION MANAGER (MM) MM -26 *INFORMATION SERVICES AND NETWORK MANAGER (MM) MM -25 LIBRARY OPERATIONS MANAGER (MM) MM -17 PLANNING MANAGER (MM) MM -26 PRINCIPAL CIVIL ENGINEER (MM) MM -25 PUBLIC WORKS MAINTENANCE MANAGER (MM) MM -24 REDEVELOPMENT PROGRAM MANAGER (MM) MM -26 RISK MANAGER (MM) MM -23 SENIOR ASSISTANT CITY ATTORNEY (MM) MM -28 STRATEGIC COMMUNICATIONS MANAGER (MM) MM -19 TRANSIT PROGRAM MANAGER (MM) MM -25 TRANSPORTATION MANAGER (MM) MM -25 TREASURY AND CUSTOMER SERVICES MANAGER (MM) MM -22 WATER RESOURCES MANAGER (MM) MM -26 ZOO MANAGER (MM) MM -22 26J-57 25J-58 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AGREEMENT WITH THE PART- TIME CIVIL SERVICE SEIU (PTCS-SEIU) (STRATEGIC PLAN NO. 7, 4 & 6) r CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: F_hJ=1N9;4�: ❑ As Recommended ❑ As Amended ❑ Ordinance onI� Reading ❑ Ordinance on 20d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adoption of a Memorandum of Understanding (Exhibit 1) with the Part-time Civil Service- SEIU (PTCS-SEIU) bargaining group regarding wages and other terms and conditions of employment for a term from July 1, 2017 through December 31, 2018, for an estimated cost of $13,700, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City and the PTCS-SEIU employees recently completed contract negotiations resulting in a new eighteen month Memorandum of Understanding (MCU). The MOU covers July 1, 2017 through December 31, 2018. The terms reflect direction given to staff by City Council and the PTCS-SEIU employees voted and approved these terms in December 7, 2017. The major provisions of this agreement include: 1. Term: An eighteen month term, from July 1, 2017 through December 31, 2018. 2. Salary Increase: A. Effective September 1, 2017, the base salary of all employees covered by this MOU shall be increased by two and one quarter percent (2.25%). B. Effective September 1, 2017 all employees whose salary is still under the market average based on the Classification and Compensation study completed by Public Sector Personnel Consulting in 2017 after application of the base increase will receive up to a maximum of an additional three percent 3%. 3.Health Insurance: Effective January 1, 2018 an employee who is covered under a spouse's non -city sponsored health plan and voluntarily waives, in writing, their City paid health insurance coverage will 25K-1 PTSC MOU RFCA December 19, 2017 Page 2 receive a cash payment each month in an amount equal to 75% of the full time adjusted monthly premium reimbursement for the City's "employee only" coverage. 4. Sick Leave: Maximum accrual of sick leave with pay shall be four hundred (400) hours. 7.Vacation Accrual: Effective January 1, 2018, unit employees shall accrue vacation at 75% of full-time SEIU employees. Maximum accrual shall be 75% of full-time SEIU accrual limit. 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 and Objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success. FISCAL IMPACT Funds are available in the affected departmental salary accounts (no. 61000). It is estimated that this agreement will result in a net cost to the City of $13,700 during the term of the agreement. APPROVED AS TO FUNDS AND ACCOUNTS: Edward S. Raya Francisco Gutierrez Executive Director Executive Director Personnel Services Agency Finance and Management Services Agency Exhibit 1: PTCS-SEIU MOU for July 1, 2017 through December 31, 2018 25K-2 ervice 25K-3 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 PART TIME CIVIL SERVICE EMPLOYEE REPRESENTATION UNIT JULY 1, 2017 -DECEMBER 31, 2018 25K-4 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA CITY EMPLOYEES, CHAPTER 1939/ SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 FOR FISCAL YEARS 2017-18 THROUGH 2018-19 PART TIME CIVIL SERVICE EMPLOYEE REPRESENTATION UNIT TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I RECOGNITION 4 ARTICLE II NON-DISCRIMINATION CLAUSE 5 ARTICLE III ATTENDANCE, HOUR LIMITS, AND NUMBER OF EMPLOYEES 6 ARTICLE IV SALARIES 7 ARTICLE V ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 12 ARTICLE VI OVERTIME 17 ARTICLE VII RESERVED 20 ARTICLE VIII HOLIDAYS 21 ARTICLE IX VACATION 23 ARTICLE X OTHER LEAVES OF ABSENCE 24 ARTICLE XI EMPLOYEE INSURANCE 31. ARTICLE XII RETIREMENT 32 ARTICLE XIII TOOL REIMBURSEMENT POLICY 35 ARTICLE XIV UNIFORM MAINTENANCE 36 ARTICLE XV. SAFETY 37 ARTICLE XVI RESERVED 38 ARTICLE XVII GRIEVANCE REVIEW PROCEDURE 39 ARTICLE XVIII UNION RIGHTS 41 ARTICLE XIX DUES DEDUCTION & INDEMNIFICATION 45 ARTICLE XX CPI'Y RIGHTS 47 ARTICLE XXI STRIKES & WORK STOPPAGES 49 ARTICLE XXII LAYOFFS 50 ARTICLE XXIII MISCELLANEOUS PROVISIONS 52 ARTICLE XXIV SOLE & ENTIRE AGREEMENT 57 ARTICLE XXV WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT 58 ARTICLE XXVI EMERGENCY WAIVER PROVISION 59 ARTICLE XXVII SEPARABILITY PROVISION 60 ARTICLE XXVIII TERM OF AGREEMENT 61 ARTICLE XXIX RATIFICATION & EXECUTION 62 EXHIBIT A LIST OF PART TIME CLASSIFICATIONS REPRESENTED 64 BY SEN EXHIBIT B RESOLUTION NO. 81-75 65 25K-5 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, ems., the City of Santa Ana (hereinafter called the "City") has recognized the Santa Ana City Employees Chapter 1939/Service Employees International Union Local 721 (hereinafter. called the "Union") as the recognized representative of the bargaining unit which includes Part Time Civil Service personnel employed by the City of Santa Ana in classifications listed in Exhibit "A". 1.2 During the term of this Agreement, no substantive issue of representation shall be raised contrary to this recognition except as provided in Resolution No. 81-75, the Employer -Employee Relations Resolution of the City of Santa Ana. 0 25K-6 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE The City and the Union agree that they shall not discriminate against any employee because of political affiliation, union activities, union membership, race, color, sex, age, national origin or alienage, sexual orientation, political or religious opinions or affiliations, religious creed, ancestry, physical disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, military or veteran status, and other protected classifications as defined by the California Fair Employment and Housing Act (FEHA). The City and the Union shall reopen any provision of this MOU for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this MOU in compliance with State or Federal anti -discrimination laws. 25K-7 ARTICLE III 3.0 ATTENDANCE, HOUR LIMITS, AND NUMBER OF EMPLOYEES 3.1 Attendance. Employees covered by this Agreement shall be in attendance at their work during hours prescribed by the Executive Director or his/her designee(s) and shall not absent themselves without approval of the Executive Director or his/her designee(s). 3.2 Hour Limits. Persons appointed to a Part Time Civil Service position work an average of 20-39 hours per week. NOTE: Pay periods for Part Time Civil Service employees run from the lith of the month, through the 25th of the same month, and from the 26th of the month through the 10th of the following month. 3.3 Number of Employees The number of Part Time Civil Service positions during the term of this Agreement shall not exceed: o Fifteen (15) in the Library Department o Ten (10) in the Parks, Recreation, and Community Services Department o Twelve (12) in all other departments Should an adjustment to these numbers be requested by either party during the term of this Agreement, the parties agree to meet and confer regarding this matter. 3.4 Hourly Conversion Whenever reference is made to a required number of days; months, or years for Full Time Civil Service employees in this Article, an equivalent number of hours shall be substituted to satisfy an equivalent requirement for Part Time Civil Service employees as defined in Section 3.2 of this Agreement. 25K-8 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all Part Time Civil Service personnel who are now employed or will in the future be employed in any of the designated classifications of employment represented by the Union as listed in this Agreement and its attachments. 4.2 Salary Schedule. The basic salary schedule will provide numerous salary rate ranges, each comprised of six (6) steps or rates of pay. The respective rate ranges are identified by a three digit number. The steps within each range are identified by the letters "AA" through "E" inclusive, with Step "AA" being the lowest step in the range. For Part Time Civil Service employees, the purpose of each step and length of service required for advancement to the next step within a particular salary rate range is summarized as follows: AA Step — Normal beginning pay rate. A Step — After 1040 hours in next lower step. Also optional hiring rate. B Step — After 2080 hours in next lower step. Also optional hiring rate. C Step — After 2080 hours in next lower step. Also optional hiring rate. D Step — After 2080 hours in next lower step. Is maximum hiring rate. E Step — Merit rate. After 3120 hours in next lower step. Specific regulations governing advancement within salary rate ranges for Part Time Civil Service employees are set forth in Section 4.8 of this Agreement. 4.3 Salaries. Effective September 1, 2017 the base salary of all employees covered by this MOU shall be increased by 2.25%. Employees whose classifications are deemed to be below the market average based on the 2017 compensation study prepared by the consultant firm, shall receive up to 3% base salary increase effective September 1, 2017, above the 2.25% base salary increase mentioned above. Such increase shall not exceed the amount necessary to bring the classifications compensation to the market average. A. During the term of this MOU, should any other employee bargaining unit of the City receive any base salary rate increase that exceeds those set forth in 25K-9 Subsection "A" above, SEN Part -Time Civil Service employees shall receive the same base salary increase or equivalent as applied to the salary matrix (where applicable) retroactive to the date such increase went into effect for the other bargaining unit. B. The assignment of classes to salary rate ranges is listed in the City's salary schedule, as periodically updated and published by the City.. 4.4 Application of Basic Compensation PlanThe salary rate ranges contained in Section 4.2 and the City's salary schedule, as periodically updated and published by the City, are monthly salary rate ranges. However, all employees working in classifications of employment covered by this Agreement shall be compensated at an hourly rate. The regular rate of pay shall be computed as provided for by the Pair Labor Standards Act (FLSA). Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. 4.5 Probation. The probationary period shall be the hourly equivalent of one (1) year (2080 hours) from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) and the hourly equivalent of six (6) months (1040 hours) from the date of appointment from a promotional eligible list. . 4.6 Beginning Rates. A new employee of the City of Santa Ana shall be paid the rate shown as Step "AA" in the salary rate range allocated to the class of employment for which he or she has been hired. In special instances where such new employee possesses unique and exceptional educational training and/or experience qualifications, the Executive Director, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "A," "B," "C," or "D" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article. 4.7 Service. The word "service" as used in this Agreement shall be deemed to mean continuous, full time service or an equivalent number of hours (one (1) year = 2080 0 25K-10 hours; six months =1040 hours) in the classification in which the employee is being considered for salary advancement, service in a higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (lst) working day of the month shall not be credited with "time in service' for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer than thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this Agreement, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed within one (1) year and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean separating from Part Time Civil Service City position in an unrelated classification outside the career ladder. 4.8 Advancement within Ranges. A. Length of Service Advancements. After the salary of an employee has been first established and fixed under this plan, such employee shall be advanced from Step "AA" to Step "A," from Step "A" to Step "B;' from Step "B" to Step "C;' or from Step "C" to Step "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 4.2 and the City's salary schedule, as periodically updated and published by the City. B. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 4.2 and the City's salary schedule, as periodically updated and published by the City; the effective date of such merit increase, if granted, shall be on the first (1st) day of the month following. the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: 1. There shall be on file in the office of the Executive Director of Personnel Services a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and/or E 25K-11 the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Executive Director, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Executive Director as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D". shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 4.10 of this Article. C. Length of Service Required When Advancement Denied When an employee has not been approved for advancement to merit Step "E," he or she may be reconsidered. for such advancement after the completion of 520 hours of additional service and shall be reconsidered for such advancement after the completion of 1040 hours of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in subparagraph B of this section. 4.9 Reduction in Salary Steps Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Executive Director, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 4.8 above, and such employee may be considered for readvancement under the same provisions as contained in Subsection C of Section 4.8 above. 4.10 Promotional Salary Advancement When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than said Step "AA," he or she will be placed in the lowest"step in the appropriate salary rate range as will grant that employee a minimum increase of one (1) salary step (approximately 5%) over his or her current base salary step, inclusive of lead _pay, anq exclusive of any other assignment or special pay additive or additives such as bilingual pay, shift differential, special skill pay or 10 25K-12 the like, except when placement at "E" step will not be sufficient to provide a one (1) salary step (approximately 5%) increase. 4.11 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step (approximately 5%). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D. If the salary rate recommended by the Executive Director is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be _handled in accordance with the provisions for salary reductions (Section 4.9, above). 4.12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 11 25K-13 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Assignment Pay Differential Any full time SEN bargaining unit member(s) receiving assignment pay differential who moves into the SEN PT CS bargaining unit during the term of this Agreement will continue to receive assignment pay differential if that member(s) continue performing the job duties for which the assignment pay differential was originally given. 5.2 Lead Pay. An incumbent who is regularly and continuously assigned to lead a functional unit which includes two (2) or more Part Time Civil Service positions in the same or lower classifications as the incumbent may be compensated at a rate of ten (10) salary rate ranges (approximately 5%) for said duties upon mutual agreement of the City and SEN and approval of the Executive Director of the affected department and the Executive Director of Personnel Services. This compensation shall be referred to as "lead pay." 5.3 Bilingual Pay_. An employee who is assigned by an Executive Director or his or her designee to a position requiring bilingual capability in both English and any languages designated by the Orange County Registrar of Voters as necessary for official voting information and/or the federal Voting Rights Act, shall be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Personnel Services as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capacity. B. Positions where it has been determined by the Executive Director of the affected department that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a prorated amount based on $175 per 173.33 hours above his or her then current base hourly salary step. 12 25K-14 C. Positions where it has been determined by an Executive Director that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, shall be designated as Secondary Bilingual Assignments. A qualified incumbent of such position shall be paid a prorated amount based on $40 per 173.33 hours above his or her base hourly salary step for each full month of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Executive Director and the City Manager. E. There shall be periodic recertification of such bilingual capability. 5.4 Shift Differential. A. Generally. An employee in a class represented by the Union who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (41/2) hours between the hours of 5:00 P.M. and 7:00 A.M., shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step; except, however, such shift pay differential shall not be applicable to employees in the classification of Park Ranger and Supervising Park Ranger. B. Early Morning Street Crews. A Street Maintenance employee who is assigned to traffic painting or downtown cleanup crews who is continuously and regularly assigned to a schedule of work which requires that he or she actually work at least fifty percent (50%) of his or her normal daily work shift between the hours of 1:00 A.M. and 7:00 A.M., shall be paid a shift differential for his or her entire work shift at a rate set ten (10) salary rate ranges (approximately 5%) higher than his or her then current base monthly salary step. C. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. Water Production staff shall be required to serve on standby duty and receive standby pay as defined above. The City's preference shall be to 13 25K-15 accomplish the above through volunteers, however, qualified employees maybe directed to be on standby if the number of volunteers is insufficient. In addition to the $200 per week standby pay, if an employee is able to handle the incident by phone or other electronic means without reporting to duty, he shall be entitled to overtime pay at the rate of 15 minutes or actual time spent per incident whichever is greater, paid at time and one- half (13/2) per incident. 5.5 Tem op rare Upgrade Assignment Pay. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full-time, budgeted, higher-level position the following shall apply: A. General Guidelines. 1. Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, full-time, budgeted positions due to the termination, promotion or authorized long-term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminated at any time, but in no event shall such assignment continue beyond one hundred eighty (180) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Executive Director shall make the following determinations: a. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned pending the return to duty of the absent incumbent or preparation of an eligible list whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. 14 25K-16 B. Eligibility. With the exception of those described in paragraph 3 below, regular, Part Time Civil Service employees shall receive Temporary Upgrade Assignment Pay only upon approval by the City Manager and if the following criteria are met: a. The work assumed encompasses the majority of the typical duties and responsibilities of the vacated position. b. Employees must serve ten (10) consecutively scheduled working days of six (6) hours in an acting capacity to qualify for assignment pay. c. Normally granted holidays will be included in computing actual duty days. 2. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. 3. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: a. Non -permanent employees (Probationary, Part-time, Seasonal, etc.). b. Employees performing work above their regular class in a training capacity. d. Part Time Civil Service employees. C. Payment. 1. On the eleventh (11th) consecutively scheduled working day an employee has been serving in a Temporary Upgrade Assignment, and for each additional consecutively scheduled working day the employee so serves, he or she shall receive the beginning rate (Step "AA") assigned to the higher classification or the lowest rate in that range which is at least ten (10) salary rate ranges (5%) higher than the current base salary rate he or she normally receives, whichever is greater. If an employee has worked ten (10) consecutive days during the term of this Agreement in a higher classification, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the term of this Agreement. Employees must requalify is 25K-17 for an upgrade (Temporary Assignment) if the employee has not worked in this specific upgrade assignment for a period of 18 consecutive months. The employee shall only be considered to work in a higher classification if such work is duly and specifically authorized by the employee's Executive Director. 2. Special pay differentials, such as shift differential, bilingual pay, special skill pay, etc., being paid to an employee prior to becoming eligible for Temporary Upgrade Assignment Pay, will not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 5.5C above, unless the special circumstances upon which said additive is based are also applicable to the Temporary Upgrade Assignment and the employee otherwise meets the criteria established for such pay differential. I Temporary Upgrade Assignments which entail moving an employee into a classification represented by an employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee. 4. While working in a Temporary Upgrade Assignment, an employee will continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases will be paid only to maintain the minimum five percent (5%) differential above the salary to which an employee is entitled in his or her permanent position. 5.6 Assignments — Discretion. All assignments of personnel to positions set forth in Sections 5.1 through 5.5 above shall be made or revoked at the discretion of the City Manager. 5.7 Reserved. 5.8 Career Development Incentives. Any full time SEIU bargaining unit member(s) receiving career development incentive pay who moves into the SEN PT CS bargaining unit during the term of this MOU will continue to receive development incentive pay if that member(s) continue performing the job duties for which the development incentive pay was originally given. 16 25K-18 ARTICLE VI 6.0 OVERTIME 6.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager or the Department Head, may require an employee to perform overtime work. 6.2 Definition. Overtime work is defined as: A. That authorized or required time worked in excess of 40 hours per work week. A workweek is a fixed and regularly recurring period of 168 consecutive hours — 7 consecutive 24-hour periods — as designated by the appointing authority. An employee's work schedule within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XX, City Rights, infra. B. Work on any regularly scheduled non -work day of which there shall be two (2) per week, if work on any regularly scheduled non -work day is worked at management's direction. 6.3 Computation of Foa (40) Hour Workweek. In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: actual work time, jury/witness leave and bereavement leave. Any combination of these work hours in excess of forty (40) hours per week shall entitle the employee to overtime compensation. However, paid time off for vacation leave, sick leave, holiday leave, compensatory time off, Union President's Leave and Union Business Leave shall not be credited towards the forty (40) hour workweek, unless the employee is required to work by management. 6.4 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is 'by monetary payment, at one and one-half (11/2) times the employee's regular rate of pay, subject to the provisions of Subsection "C" below. 17 25K-19 B. Should the Department Head determine that the best interests of the City will be served thereby, his or her designee may permit an employee to be compensated for overtime work by taking paid compensatory time off at the rate of one and one-half (12/2) times the employee's regular base rate of pay. C. Employees shall have the option to convert a maximum of eighty (80) hours of time and one-half (12/2) paid overtime (in compensation for 532/3 overtime hours worked) to time and one-half (12/2) compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee subject to the operational needs and staffing requirements of the department. D. Time off with pay to compensate for overtime worked may be accumulated to a maximum of eighty (80) hours. E. Because each hour of overtime worked is programmatically accrued on a time and one-half (12/2) basis, compensatory time off will be taken, and monetary payment will be paid, on a straight -time basis. Also, upon termination, any earned, unused compensatory time off ("time -on -the -books") will be paid on a straight -time basis. F. Time off with pay to compensate for overtime worked may be taken in increments as small as a half (1h) hour. G. If compensatory time off is used in excess of that available, such excess compensatory time off will be deducted from the next scheduled wage or salary payment.. H. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. I. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. lu 25K-20 6.5 No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, vacation, and sick leave accrual), toward the completion of probationary period or to progression within a salary rate range. 6.6 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shall arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment. 6.7 Call -Back Duty. Any employee covered by this Agreement who is recalled to active duty from off-duty, shall be entitled to overtime pay at the rate of one and one-half (11/z) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 6.8 Declaration of State of Emergency. Upon the occurrence of fire, flood, earthquake, strike, riot or other catastrophe or emergency which directly affects City operations or the welfare of the City s citizens, the City Manager may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all Part Time Civil Service employees of the City to work overtime or off -shift as he or she shall determine to protect life and property within the City. 6.9 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated'by either legislative or judicial action, they shall meet and confer regarding any proposed changes to this Agreement; however, no such changes shall be made except on mutual agreement. 19 25K-21 ARTICLE VII [RESERVED] 20 25K=22 ARTICLE VIII 8.0 HOLIDAYS 8.1 Legal holidays observed by Part Time Civil Service permanent and probationary employees of the City of Santa Ana are as follows: o January 1 — New Year's Day. o Third (3rd) Monday in January — In observance of Martin Luther King, Jr.'s Birthday. o Third (3rd) Monday in February — In observance of Presidents Day. o Last Monday in May — In commemoration of Memorial Day. o July 4th — In observance of Independence Day. o First (1st) Monday in September — In observance of Labor Day. o November 11th — In observance of Veteran's Day. o Fourth (4th) Thursday in November — In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25th — In observance of Christmas Day. o One (I) Floating Holiday — Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday will be observed on the following Monday. o Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 21 25K-23 8.2 Each Part Time Civil Service employee shall be entitled to receive pay for six (6) hours for each of the holidays specified in 8.1 above. This shall equate to a total of 72 hours per calendar year. 8.3 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous Part Time Civil Service in order to receive credit for the Floating Holiday listed in Section 8.1 above. 8.4 Holiday benefits may not be carried over from one (1) calendar year to the next. 22 25K-24 ARTICLE IX 9.0 VACATION 9.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 9.2 Administration. A. Part Time Civil Service employees shall earn vacation on a monthly basis as set forth in the following table. Beginning Years Annual Vacation Accrued Monthly Accrual Rate 1 72 6.0 2 72 6.0 3 72 6.0 4 90 7.5 5 90 7.5 6 93 7.75 7 96 8.0 8 99 8.25 9 102 8.5 10 105 8.75 11 108 9.0 12 111 9.25 13 114 9.5 14 117 9.75 15 120 10.0 16 126 10.5 17 132 11.0 18 138 11.5 19 144 12.0 20 150 12.5 B. A Part Time Civil Service employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year,- provided, ear;provided, however, no Part Time Civil Service employee shall be entitled to or 23 25K-25 receive payment for any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1st) day of the month following completion of six (6) months of continuous Part Time Civil Service, an employee may be allowed to take all, or a proportionate fraction of, his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Limit: The maximum total accrual of vacation leave with pay shall be equal to two years of earned vacation. Vacation time off may be taken in increments as small as one-half (1/z) hour with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. Computation of Regular Vacation I. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approval of the Executive Director, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. The time at which an employee shall take his or her vacation shall be determined by the Executive Director, with due regard for the wishes of the employee.and particular regard for operational needs. 9.3 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual; finally, deducted from the next scheduled salary payment. 9.4 Effect of Extended Sick Leave on Vacation Accrual Absence on sick leave or unpaid leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for regular vacation accrual purposes. 9.5 Vacation Buy -Back. Employees covered by this agreement are eligible to.require the City to buy-back up to thirty six (36) hours of their accrued vacation per calendar year. 9.6 Impact of Promotion or Transfer In the event a unit employee accepts another City position outside of the bargaining unit, their length of service in the Part Time Civil Service' unit will be used in determining eligibility for vacation accrual. Length of service in the Part Time Civil Service unit will be calculated at .75 per each year of full time service. 24 25K-26 ARTICLE X 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave at the prorated amount based on hours worked will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account. Paid sick leave at the prorated amount will continue until the fourth (0) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. Pursuant to the California Healthy Workplaces/Healthy Families Act of 2014, sick leave includes diagnosis, care, and treatment of, or preventative care for an employee or an employee's qualified family member and specified purposes for an employee who is a victim of domestic violence, sexual assault or stalling. B. Administration. Part Time Civil Service employees shall earn six (6) hours per month of sick leave, for a total maximum annual accrual of 72 hours per, year. 25 25K-27 C. Authorized Only When Necessary. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of actual sickness and disability, or necessity, as authorized in Subsection J below. D. Limit. The total maximum accrual of sick leave with pay shall be four hundred (400) hours. Sick leave usage of less than a full day shall be charged in minimum increments of one-half (1/z) hour, with fractional usage rounded upward to the next higher multiple of one-half (1h). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from one of the above mentioned physicians stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Accrued Compensatory Time Off. After an employee's sick leave has been exhausted, he or she may be granted permission to use any unused compensatory time off benefits or unused vacation leave. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Executive Director a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Personnel Services with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful 26 25K-28 misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. I. Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will first be deducted from any available compensatory time off benefit; second, deducted from vacation leave; third, from the next scheduled salary payment. J. Necessity Leave. Each employee shall be afforded the opportunity to use up to 36 hours of sick leave per calendar year, on a non -cumulative basis, as personal necessity leave. Personal necessity leave may be used to attend to an illness of a family member. "Family member" means any of the following: (1) A child, which for purposes of this article means a biological, adopted, or foster child, stepchild, legal ward, or a child to whom the employee stands in loco parentis. This definition of a child is applicable regardless of age or dependency status. (2) A biological, adoptive, or foster parent, stepparent, or legal guardian of an employee or the employee's spouse or registered domestic partner, or a person who stood in loco parentis when the employee was a minor child. (3) A spouse. (4) A registered domestic partner. (5) A grandparent. (6) A grandchild. (7) A sibling. Or any member of the employee's household related by blood or marriage; any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and/or other matters. Necessity leave may also be used: a) to attend to a serious accident to members of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; d) when 27 25K-29 25K-30 25K-31 the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or e) attend to medical or dental appointments for members of the employee's household or family member as defined above. 10.2 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military Ieave if he or she furnishes the Executive Director of Personnel Services satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided by law. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after the hourly equivalent of one (1) year of service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10.3 Tury and Witness Leave. When an on -duty employee is called to serve as a juror or nonparty witness in any court action, he or she shall be allowed to leave for the time actually required for such service, not to exceed six (6) hours per day, without loss of pay. Each on -duty employee called for such service shall present to his or her Executive Director for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 10.4 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required. 10.5 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Executive Director regarding the cause of his or her absence, the Executive Director may restore him or her to his or her position, with the City Manager's approval. W 25K-32 10.6 Authorized Absence Without Pay — Short Term. Absence without pay not to exceed five (5) consecutive working days, may be authorized by the Executive Director. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Executive Director with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Executive Director it serves the best interest of the City. 10.7 Authorized Absence Without Pay —Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Executive Director recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. An employee returning to duty with the City shall inform the Executive Director and the Executive Director of Personnel Services of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Executive Director will take steps necessary to restore the employee to his or her former position. 10.8 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery there from. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee continues to pay a cash premium to continue coverage while on a leave of absence without pay. 29 25K-33 10.9 Family Medical Leave Act. The City shall comply with all applicable provisions of the Family Medical Leave Act (FMLA). 10.10 Bereavement Leave. A. An employee shall be granted up to three (3) working days' leave of six (6) hours each without loss of pay in case of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: 1. Any member of the employee's household related by blood or marriage; 2. A parent, parent -in-law, stepparent, spouse, registered domestic partner, child, stepchild, brother, stepbrother, sister, stepsister, grandparent, or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. B. An employee may use up to twelve (12) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Executive Director. 10.11 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 30 25K-34 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance. Part Time Civil Service employees shall be eligible to participate. in the City's insurance programs as outlined below. A. The City will contribute 75% or depending on the individual employees' selection of CalPER4 health insurance the entire premium, whichever is less, of the City contribution allotted to full time SEIU members for health insurance premium costs for the employee and any dependents. B. The City will contribute 75% or depending on the individual employees' selection of dental insurance, the entire premium, whichever is less, of the City contribution allotted to full time SEIU members for dental insurance premium costs for the employee and any dependents. C. An employee who is covered under a spouse's non -city sponsored health plan and voluntarily waives, in writing, their City paid health insurance coverage will receive a cash payment each month in an amount equal to 75% of the full time adjusted monthly premium reimbursement for the City's lowest "employee only" coverage. Employees must show proof of qualified group health insurance coverage. 11.2 Long -Term. Disability_(L.T.D.) Insurance. The City shall allow employees, for the term of this Agreement, to participate in any aspect of the Plan offered to the City at the City rate. The cost for this benefit shall be borne by the employee. 11.3 Life Insurance. The City shall allow employees, for the term of this Agreement, to participate in any aspect of the plan .offered to the City at the City rate. The cost for this benefit shall be borne by the employee. 11.4 Vision Plan. The City shall offer a non-contributory vision plan through payroll deduction for employees wishing to participate in such a plan. 11.5 Insurance Committee. When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial to involve an Insurance Committee, the Union shall have an equal number of representatives as the City on such a committee to meet as necessary. 31 25K-35 ARTICLE XII 12.0 RETIREMENT 12.1 General. The terms of the existing contract between the City and the California Public Employees' Retirement System (CaIPERS) governing City retirement benefits for affected employees are incorporated by reference herein. Each Part Time Civil Service employee shall be a member of the CalPERS system, and the City shall make contributions to CaIPERS in accordance with its contract with CaIPERS for affected employees covered by said contract as amended. 12.2 Deferred Retirement. The City will continue to make payments to CalPERS on behalf of each employee covered by this agreement, in an amount necessary to pay 100% of his or her individual employee retirement contribution which is equal to eight percent (8%). Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this Agreement shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus, will not withhold federal or state income tax from said payments. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 12.3 2.7% at 55 Service Retirement Benefit for Miscellaneous employees. The City contracts with CalPERS to provide Miscellaneous employees who do not qualify as "New Members" under PEPRA with the 2.7% at 55 Service Retirement benefit. The employee contribution rate for Miscellaneous employees who do not qualify as "New Members" under PEPRA shall be (8%) percent of CaIPERS reportable compensation. All employee contributions for retirement benefits are paid to the employer portion of the City's CaIPERS contribution. This payment shall be paid in accordance with Government Code section 20516(f). Pre -Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 32 25K-36 12.4 2% @ 62 Service Retirement Benefit for "New Member' Miscellaneous employees. The City agrees to provide Miscellaneous employees covered by this MOU who are defined as "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013 with the 2% Q 62 Service Retirement benefit. PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Employees covered under the 2% ® 62 retirement formula shall pay one half of the normal cost rate as established by Ca1PERS. Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 12.5 Credit for Unused Sick Leave. An employee covered by this Agreement can have unused, accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each eight (8) hours of unused sick leave. Alternatively, employees can opt to direct their sick leave balance into their RHS account per Section 12.7 below. 12.6 Military Service Credit as Public Service. An employee covered by this Agreement may elect to purchase up to four (4) years of service credit for any continuous active military, Reserve Forces, National Guard or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 12.7 The Medical Retirement Subsidy Plan was dissolved by agreement between the parties during the 2015-2017 MOU term. 33 25K-37 A. The City amended the contract with ICMA -RC to allow SEIU members to participate in the "Vantage Care" Retirement Health Savings PIan effective January 1, 2016. The City and Union agree to the following elements: 1. 1.25% of base pay will be deposited into employees' individual RHS accounts each pay period. Effective upon adoption of this MOU an additional Z% of base pay, for a total of 1.50/6, wiIl be deposited into employee's individual RHS accounts each pay period. 2. Upon an employee's termination of employment with the City, their eligible sick leave balances will be directed into the individual's RHS account and the Employer VantageCare Retirement Health Savings ("RHS") Plan Adoption Agreement based on the plan guidelines as determined by SEIU) to provide the employee and his or her designated eligible dependents, if any, with benefits under any health insurance program including, but not limited to, the program maintained by the City. 3. Upon retirement, the balance of an employee's sick Ieave accrual after eligible RHS payments are made, will be converted into Ca1PERS Service Credit. 34 25K-38 ARTICLE XIII 13.0 TOOL REIMBURSEMENT POLICY 13.1 Employees classified as Fleet Equipment Technician I, II or III, or Fleet Equipment Supervisor shall continue to provide such tools as are ordinarily used in the trade which shall be the personal tools of the Technician. The City will continue with one (1) or more vendors an account(s) for said employees who have at least one (1) year of service in such classifications. Such employees shall be allowed up to $900 per fiscal year with such vendor(s) in order to purchase tools which, in the sole determination of the Fleet Services Manager, are necessary for the performance of such employee's job duties. The City's policy and procedure for the replacement of stolen tools shall be the same as it existed prior to the effective date of this Agreement. The City shall bear no liability or responsibilityfor such tools except as provided in this Section. 35 25K-39 ARTICLE XIV 14.0 UNIFORM MAINTENANCE 14.1 All employees who are required by the City to wear a uniform while on duty shall continue to be provided seven (7) sets of clean uniforms every two (2) weeks at no cost to the employees. All field/yard maintenance, custodial and equipment repair employees shall be provided eleven (11) clean sets every two (2) weeks at no cost to the employee. All Police Records Personnel and the Senior Office Assistants assigned to the traffic window shall be provided three.(3) sets of uniforms made of Dacron and one (1) wool sweater. The Union agrees that any such employee who wishes to be provided with one (1) or more additional clean sets per week above the amounts specified above will be required to pay the extra cost incurred for such additional set(s). 36 25K-40 ARTICLE XV 15.0 SAFETY 15.1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws and the City of Santa Ana regulations, which relate to health and safety. 15.2 Central Safety Committee. Part Time Civil Service employees are eligible to serve on the City's Central Safety Committee. However, in no case shall the total number of SEN members (both Full Time and Part Time Civil Service) exceed two (2) representatives and two (2) alternates. 15.3 Safejy Shoes. A. The City agrees to pay up to two hundred dollars ($200) per fiscal year to each employee required to wear safety shoes/boots, for the purchase and/or repair of approved safety shoesiboots. The option of purchase and/or repair 3999shall be at the sole discretion of the employee. B. All safety shoes/boots purchased under this program must have steel reinforced toes and insteps and bear the official stamp of approval from the American National Standards Institute (ANSI), z-41. C. If a particular class of employment is designated as requiring its incumbents to wear safety shoes, then it will be mandatory for all incumbents of that class to wear the type of safety shoe (boot or low -quarter) deemed to be appropriate by the Executive Director. (Some exemptions may be allowed, on a case-by-case basis, depending on the type and amount of exposure to hazard in particular positions and subject to the approval or disapproval of the City's Safety Officer). D. The procedure necessary to be followed for the implementation and operation of this program shall be in accordance with the existing policies and procedures as previously established by the City. 37 25K-41 ARTICLE XVI [RESERVED] W. 25K-42 ARTICLE XVII 17.0 GRIEVANCE REVIEW PROCEDURE 17.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Union concerning the interpretation or application of specific provisions of this Agreement, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. 17.2 Informal Process — First Sten A. An employee and/or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) working days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within fifteen (15) working days a mutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the specific MOU provision, rule or regulation allegedly violated, the nature of the action desired, sign it, and submit it in duplicate to the employee's Executive Director. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedence or be used to establish past practice regarding implementation, interpretation, or application of this Agreement. 39 25K-43 17.3 Formal Process. A. Second Sten. The Executive Director or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) working days after the grievance has been submitted to the Executive Director. The Executive Director, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and/or the employee's designated representative within ten (10) working days after said meeting. B. Third Step. If the grievance is not satisfactorily resolved at the Second Step, the employee and/or the employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and/or his or her designated representative to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the disposition made at the Second Step. The City Manager or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) working days after submission of the grievance. The City Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and/or the employee's designated representative within fifteen (15) working days after said meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or. his or her representative's written decision, shall be filed in the personnel records of the department and the grievants personnel jacket maintained in the City Personnel Services Department. 17.4 Reservation of Rights After the procedure set forth in this Article has been exhausted, the grievant, the Union, and the City shall have all rights and remedies to pursue said grievance under the law. Eno 25K-44 ARTICLE XVIII 18.0 UNION RIGHTS 18.1 Release Time for Union Representatives. The Union shall have the right to appoint/elect a reasonable number of representatives who are recognized by the City as officers or worksite leaders/stewards. A. One worksite leaders/stewards shall be recognized by the City for the Part Time Civil Service category of employment. B. The City's Executive Director of Personnel Services shall be provided with a list of names and classification titles of the Union's officers as set forth in the Santa Ana City Employees, Chapter 1939/Service Employees International Union. Local 721 Bylaws, as well as the names and classification titles of all worksite leaders/stewards and other Union representatives. The Union agrees to inform the City in writing of any changes in said list within ten (10) calendar days. C. During the term of this MOU, the City agrees to grant a reasonable amount of City time, without loss of pay or benefits, to enable the officers and worksite leaders/stewards to assist other bargaining unit employees in processing grievances under the Grievance Review Procedure. Officers and worksite leaders/stewards shall make advance arrangement with their supervisors prior to absenting themselves for such purpose. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the MOU. Any unauthorized or unapproved time used by worksite leaders/steward, officers to investigate, discuss, process or meet in conjunction with pursuing a grievance or complaint shall be charged to that employee's vacation or comp time leave bank. The Union shall limit the number of officers or worksite leaders who participate in the investigation or appear at hearings on City time to one representative and a Board member. 41 25K-45 D. Union Business Leave Time. In addition to the above time, officers and worksite leaders/stewards shall be granted thirty two (32) hours per fiscal year. The purpose of this additional thirty two (32) hours per fiscal year shall be to enable the officers and worksite leaders/stewards to participate in union activities which may include conventions, seminars and meetings that are otherwise not covered by this MOU. Such time shall be paid by the Union. However, such officers and worksite leaders/stewards shall make advance arrangements with their supervisors prior to absenting themselves for such purposes. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors on the work time spent on Union business. Any unauthorized or unapproved time used by officers and worksite leaders/stewards to conduct union business shall be charged to that employee's vacation or comp time leave bank. E. If, at some point in the future, the President for the SEIU bargaining unit is elected from the Part Time Civil Service category of employment, then all rights and privileges pertaining to President's leave set forth in the full-time SEN MOU with the City, Article18, shall apply. 18.2 Worksite Access. A. Officers, worksite leaders/stewards and/or paid Union representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods for the purpose of discussing Union business, provided that arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, the Union and the City will agree on an alternate meeting/conference facility for the purpose of providing a place for the Union to hold a meeting before or after work or during lunch periods. If the City facility provided the Union as an alternate meeting site during non -working hours is a public meeting room, its scheduling and use 42 25K-46 shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. C. Solicitations of membership and all activities concerned with the internal management of the Union, such as collecting dues, holding membership meetings, preparation of petitions, preparation of proposals, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by the Union, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or take any economic action against the City. 18.3 Release Time for Employee Representatives. A. In the event that the Union is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or other officials of the Union shall be allowed reasonable time off without loss of compensation or other benefits. B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. 18.4 Use of Bulletin Boards. Space shall be made available to the Union on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Union business, subject to the following conditions: A. Materials posted by the Union shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters. B. Material posted shall not be derogatory to the City, City employees or other employee organizations. 43 25K-47 C. All materials shall be dated, identify the Union and bear the signature of the authorized representative(s) of the Union responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Union materials. E. If the Union does not abide by these provisions, it will forfeit its right to have materials posted on the City's employee bulletin boards. F. The Union shall not be permitted to post any material that is prohibited by State law or the City Charter. 18.5 Use of City Facilities. The City shall allow the Union to conduct meetings in the City's public meeting rooms during non -working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities, provided, however, the Union shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Charter. 44 25K-48 ARTICLE XIX 19.0 DUES DEDUCTION & INDEMNIFICATION 19.1 Dues Deduction. The City shall deduct dues on a regular basis from the pay of all employees covered by this MOU who voluntarily authorize such deduction in writing and on a form to be provided for this purpose by the City. The City shall remit such funds to the Union within thirty (30) calendar days following their deduction. 19.2 Agency Shop. A. All employees represented by the Santa Ana City Employees, Chapter1939/Service Employees International Union Local 721, shall, as a condition of continuing employment become and remain members of the Union or shall pay to the Union a service fee in lieu thereof. The service fee shall be an amount not to exceed the standard initiation fee, periodic dues and general assessments of the Union. B. Any employee hired by the City subject to this MOU shall be provided, through the Personnel.Services Department, with an authorization form for the deduction of Union dues. Employees shall have thirty (30) working days following the initial date of employment to fully execute the authorization form and return it to the Agency/Department payroll section. The effective date of Union dues, service deductions or charitable contribution for such employees shall be the beginning of the first pay period of employment. .C. Any employee of the City subject to this MOU who wishes to execute a written declaration claiming a religious exemption from paying Union dues, and who is a member of a bona fide religion, body or sect which has historically held conscientious objections to joining or. financially supporting a public employee organization and which is recognized as such by the Public Employer Relations Board, shall, upon presentation of verification of active membership in such religion, body or sect be permitted to make a charitable contribution equal to the service fee in lieu of Union membership or service fee payment to one of three designated nonreligious, non -labor, charitable fund exempt from taxation under Section 501(c)(3) of the Internal Revenue Code. Declarations or applications for religious exemption and any supporting documentation shall be 45 25K-49 forwarded to the Union within fifteen (15) calendar days of receipt by the City. The Union shall have fifteen (15) calendar days after receipt of a request for religious exemption to challenge any exemption granted by the City Manager or his or her designee. If challenged, the deduction to the charity of the employee's choice shall commence but shall be held in escrow pending resolution of the challenge. Charitable contributions shall be by regular payroll deduction only. For purposes of this section, charitable deduction means a contribution to one *of three non-profit organizations, with the United Way being one of them. D. Maintenance of Dues Payroll Deduction Any employees in this unit who have authorized Union dues deductions on the effective date of this Memorandum of Understanding or at any time subsequent to the effective date of this Memorandum of Understanding shall continue to have such dues deduction made by the City during the term of this Memorandum of Understanding; provided, however, that any employee in the Unit may terminate such Union dues each year during the period February 10 through February 28, by notifying the Union of their termination of Union dues deduction. Such notification shall be by certified mail and should be in the form of a letter containing the following information: employee name, employee number, . job classification, department name and name of Union from which dues deductions are to be cancelled. The Union will provide the City with the appropriate documentation to process these dues cancellations within ten (10) business days after the close of the withdrawal period. E. The Santa Ana City Employees, Chapter 1939/Service Employees International Union Local 721 shall indemnify and hold the City, its officers and employees, harmless from any and all claims, demands, suits, or any other action arising from the Agency Shop or Maintenance of Dues Payroll Deduction provisions herein. In no event.shall the City be required to pay from its own funds, Union dues, service fee or charitable contributions, which the employee was obligated to pay, but failed to pay, regardless of the reasons. Irl 25K-50 ARTICLE XX 20.0 CITY RIGHTS 20.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this Agreement or by law to manage the City, as such rights existed prior to the execution of this Agreement. The sole and exclusive rights of Management, as they are not abridged by this Agreement or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions, including but not limited to the right to contract for or subcontract any work or operation of the City. I. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J. To relieve employees from duties for lack of work or similar non -disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this Agreement. 47 25K-51 K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non -disciplinary reasons in accordance with this Agreement. O. To determine policies, procedures, and standards for selection, training and promotion of employees. P. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this Agreement: S. To take any and all necessary action to carry out the mission of the City in. emergencies. 20.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Union regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this Agreement. M 25K-52 ARTICLE XXI 21.0 STRIKES & WORK STOPPAGES/NO LOCKOUT 21.1 Prohibited Conduct. A. The Union, its officers, agents, representatives, and/or members agree that during the term of this Agreement, they will not cause or condone any unlawful strike, walkout, slowdown, sick-out, or any other unlawful job action by withholding or refusing to perform services. There shall be no lockouts by the City during the term of this MOU. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. 21.2 Union Responsibility In the event that the Union, its officers, agents, representatives, or members engage in any of the conduct prohibited in Section 1, Subsection A above of this Article, the Union shall immediately instruct any persons engaging in such conduct that their conduct is in violation of this Agreement and unlawful, and they must immediately cease engaging in the conduct prohibited in said Section 1, Subsection A above, and return to work. iM' 25K-53 ARTICLE XXII 22.0 LAYOFFS 22.1 The City agrees to inform the Union as soon as possible if and when a decision is made to reduce positions represented by the Union through layoff. If it is decided to contract out work, the City shall provide the Union reasonable notice of the decision; meet and confer with the Union over the impact of the decision, will seriously consider reasonable alternatives provided by the Union; and if any bargaining unit member is laid off as a result of the decision, the City shall make a reasonable effort to place said employee with the contracting company. 22.2 In the event of a reduction -in -force, part time employees in any City office, activity or department shall be laid off prior to laying off Part Time Civil Service Employees as above defined. Wherever possible, Part Time Civil Service Employees in the classification shall be laid off prior to Full Time employees in the same classification. 22.3 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one (1) employee has the same seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XXH shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he has served, providing that classification is within the same job family/career ladder. In that event, the employee's length of service in the next lower classification will be added to his length of service in the affected classification, and said combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. 50 25K-54 C. The reemployment list shall be valid for one (1) year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Committee will determine Job Family/Career Ladder. 22.4 A bargaining unit employee who is laid off from Part Time Civil Service employment pursuant to this Article, may be granted a temporary appointment to a vacant Part Time Civil Service position in any classification for which there is no eligible list and for which said employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment will be terminated upon the establishment of a new eligible list for the classification or one (1) year following the initial day of such temporary appointment, whichever occurs first. 51 25K-55 ARTICLE XXIII 23.0 MISCELLANEOUS PROVISIONS 23.1 The City agrees to provide a list each month to the Union with names and class titles of bargaining unit employees who have separated from City service, and the names and class titles of bargaining unit employees who have been hired. The Union agrees to pay the City's cost of producing said list(s). A complete list of bargaining unit employees and their addresses will be provided to the Union once every fiscal year. 23.2 The City agrees to distribute Union membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 23.3 Catastrophic Leave Donation In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic medical condition or injury, the City and Union agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this Agreement with regard to granting unpaid leaves of absence. For the purposes of implementing this program, "Catastrophic' condition shall mean any significant personal tragedy such as life-threatening illness or severe non -industrial illness or injury of duration of more than two (2) weeks which requires the employee to need personal time off beyond the amount of leave time he/she has accrued. Maternity leave or elective surgery, absent significant unplanned complication preventing the employee's return to work, is not considered catastrophic. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the Long Term Disability benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation, compensatory time, or one (1) in lieu holiday to the eligible employee. In no event shall sick leave be donated. 52 25K-56 2. Employees shall be provided a two week period to submit donations. Donations received after this two week period shall not be processed. The two week period for each case shall be designated by the Executive Director or his or her designee as provided herein below. 3. Donations shall be for a minimum of two (2) hours and a maximum of six (6) hours per donor. All donations must be made in two (2) hour increments, except in lieu holidays must be for six (6) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave. B. Eligibility. Part Time Civil Service employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, and vacation will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Executive Director, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Department Head or his or her designee shall post a notice within forty eight (48) hours of receipt of the eligible employee's need for donations via email and on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 53 25K-57 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number; b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; c. The name, department and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the two (2) week donation period, the department shall verify that each donating employee has accrued vacation and/or compensatory time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. In no event shall the total time credited to an employee's sick leave balance exceed four hundred (400) hours, pursuant to Article X, Section 10.I.D. 23.4 Full Time Eligible Lists. Part Time Civil Service employees, upon their written request, shall be placed on the Full Time transfer eligible list for the classification in which they are employed. City will submit names of employees wishing to convert to full-time position for consideration to any Department hiring for vacancies in the classification. Certification from that list shall be in accordance with all existing Civil Service rules. 23.5 joint Labor -Management Teams. The City and the Union agree to form Joint Labor -Management teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Executive Director of Personnel Services or his/her designee. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. The City and the Union shall hold an initial meeting no sooner than one (1) month from the date of ratification of this 54 25K-58 Agreement and upon the Union's written request to meet to determine team composition, frequency of meetings and meeting schedules. A. The teams to be formed are: 1. The potential implementation of a new city-wide salary matrix B. Previously authorized teams to be reconvened as needed: 1. Career Ladder/job Family (for the purpose of developing career ladderfJob family series to be used in promotions or in the event of layoffs. 23.6 Performance Appraisals. Non -probationary performance appraisals not completed within six (6) months of the due date shall be stayed and the employee shall next become subject to evaluation upon the end of the evaluation period next following, provided that merit advance performance appraisals shall be completed in accordance with Article IV, section 4.8. 23.7 Request for Classification Review. Any employee who, for a continuous period exceeding one (1) year, believes he or she is regularly and consistently performing duties and/or responsibilities not in conformance with their classification concept, or duties and/or responsibilities of another classification, may request a classification review of their position through their supervisor to the Executive Director. The employee must submit their request on a form specified by the Executive Director of Personnel Services, outlining in writing how they believe their current duties and/or responsibilities differ from their classification concept. A. The Executive Director will review the employee's submitted request and within sixty (60) days will make one of the following determinations:. 1. Will support the employee's request. a. If the Executive Director supports the employee's request for a classification review, he or she shall forward the request to the Executive Director of Personnel Services along with justification for support of the employee's request. b. The Executive Director shall notify the employee that his or her request has been submitted to the Executive Director of Personnel Services. 2. Will not support the employee's request. 55 25K-59 a. If the Executive Director does not support the employee's request for a classification review, he or she shall notify the employee of this decision in writing and set forth the basis for the decision. b. If the Executive Director does not support the employee's request, but agrees that some of the duties and/or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: i. Return the employee to performance of the duties and/or responsibilities of their proper classification. ii. Eliminate the higher duties and/or responsibilities being performed by the employee, for which the City has agreed are those for which it shall provide higher compensation. B. Any employee request for classification review approved by the Executive Director shall be forwarded to the Executive Director of Personnel Services. The Executive Director of Personnel Services shall confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Personnel Services shall notify the employee and Executive Director of the decision as to whether a study will be conducted. If the Executive Director of Personnel Services determines that a study is appropriate, the Executive Director of Personnel Services shall so notify the employee and the Executive Director in writing and shall provide the employee and Executive Director with an approximate start date for the study. C. Determinations of the employee's Executive Director and the Executive Director of Personnel Services are not final. This process is not subject to the grievance procedures however an appeal to the City Manager or his/her representative shall be presented within fifteen (15) working days of the notification of the findings by the Executive Director of Personnel. The City Manager's decision is final and not subject to the grievance provisions of this MOU. D. All studies and study findings shall require City Manager approval before proceeding. E. All recommendations resulting from study findings require the approval. of the City Council and shall be implemented in accordance with the City's Civil Service rules. EO 25K-60 ARTICLE XXIV 24.0 SOLE & ENTIRE AGREEMENT 24.1 It is understood and agreed that the parties to this Memorandum of Understanding are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer -Employee Relations Resolution (#81-75). It is the intent of the parties hereto that the provisions of this Agreement shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This Agreement is not intended to conflict with Federal or State law or the City Charter. The City will continue to provide employees covered by this Agreement a reduced size copy of this Agreement and its attachments and including a section containing the Employer -Employee Relations Resolution of the City of Santa Ana. 24.2 Notwithstanding the foregoing; there exists within the City personnel rules and regulations and departmental rules and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this Agreement. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and/or other terms and conditions of employment, the City shall meet and confer with the Union; provided, further, however, no provision of the rules and regulations shallbe changed to contravene specific provisions of this Agreement. 57 25K-61 ARTICLE XXV 25.0 WAIVER OF BARGAINING DURING THE TERM OF THIS AGREEMENT Except as otherwise specifically provided herein, this MOU fully and completely incorporates the understanding of the parties regarding the provisions contained in this MOU. Neither party shall, during the term of this MOU, demand any change to the MOU, except that nothing shall prohibit the parties from changing the terms of the MOU by mutual agreement and in writing signed by the parties. Mf 25K-62 ARTICLE XXVI 26.0 EMERGENCY WAIVER PROVISION 26.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this Agreement or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this Agreement will be reinstated immediately. The Union shall have the right to meet and confer with the City regarding the impact on employees of the suspension of the provisions in the Agreement during the course of the emergency. 59 25K-63 ARTICLE XXVII 27.0 SEPARABILITY PROVISION 27.1 Should any provision of this Agreement be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this Agreement shall remain in full force and effect for the duration of this Agreement, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. :1 25K-64 ARTICLE XXVIII 28.0 TERM OF AGREEMENT 28.1 The term of this Agreement shall be from July 1, 2017 through December 31, 2018. 61 25K-65 ARTICLE XXIX 29.0 RATIFICATION & EXECUTION 29.1 The City and the Union have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Union acknowledge that this Memorandum of Understanding shall not be in full force and effect until ratified by the membership of the Union and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this Memorandum of Understanding is hereby executed by the authorized representatives of the City and the Union and entered in to this 19th day of December, 2017. CITY OF SANTA ANA, a municipal corporation of the State of California Dated: By: Dated: 0 Dated. By: ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia Carvalho City Attorney Mayor City Manager Executive Director of Personnel Services 62 25K-66 This Agreement has been ratified by the membership of the Santa Ana City Employees, Chapter 1939/Service Employees International Union Local 721. Dated: Terri Eggers PTCS Member SEN Local 721 Santa Ana Chapter 63 25K-67 Approved as to form: Jody L. I fipple Assistant Director of Collective Bargaining SEN Local 721 Exhibit A List of Part Time Civil Service Classifications Represented by Santa Ana Citv Employees, Chapter 1939/Service Employees International Union Local 721 Park Maintenance Aide Senior Community Development Analyst Planning Assistant Assistant Buyer Secretary 25K-68 EXI IIBIT B RESOLUTION NO. 81-75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER-EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of the City to maintain and enhance its administration of employer-employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and its employees, including provisions for (a) recognizing the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City, and (b) establishing equitable and uniform rules and procedures to provide for the orderly and systematic presentation, consideration and resolution of employer-employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen s Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL-CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the administration of employer- employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section 1: Title of Resolution This Resolution shall be known as the "Employer -Employee Relations Resolution of the City of Santa Ana'. Section 2: Definitions As used in this Resolution, the following Willis shall have the meanings indicated: APPROPRIATE UNIT — means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. 65 25K-69 CITY — means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY — means calendar day unless expressly stated otherwise. EMPLOYEE — means any person regularly employed by the City on a full time basis except those persons elected by popular vote. EMPLOYEE, CONFIDENTIAL — means an employee who is assigned to perform work directly. involved in the development, preparation or presentation of management positions with respect to employer-employee relations. EMPLOYEE, MANAGEMENT — means any employee having responsibility for formulating, administering or managing the implementation of City policies or programs, including but not limited to, department and assistant department heads, division heads, and professional administrative staff employees employed to render advice and assistance pertaining to the conduct of legal, fiscal, budgetary, personnel management and employer-employee relations affairs of the City. EMPLOYEE, PROFESSIONAL — means a classification of employees engaged in work (a) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher learning, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY — means any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, if in connection with any of the foregoing, the exercise of such responsibility is not of merely routine or clerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION — means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said 25K-70 organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER — means the City's principal representative in all matters of employer-employee relations designated pursuant to Section 3 hereof, or his duly authorized representative. EMPLOYER-EMPLOYEE RELATIONS — means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE — means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of the City's Employer -Employee Relations Policy or of a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, or is not specifically withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. IMPASSE — means that the representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION — means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice. Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH. — (sometimes referred to herein as "meet and confer" or "meeting and conferring") — means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a reasonable period of time in order to exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. 67 25K-71 MEMORANDUM OF UNDERSTANDING — means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. PEACE OFFICER — means an employee of the Santa Ana Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that term is defined in Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION — means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has the right to meet and confer in good faith as the majority representative of all members of an appropriate representation unit pursuant to Section 11 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually with the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section 11 of this Resolution. SCOPE OF REPRESENTATION — means those matters relating to employment conditions and employer-employee relations including, but not limited to, wages, hours, and other terms and conditions of employment except, however, that the scope of representation shall not include consideration. of the merits, necessity, or organization of any service or activity provided by law or executive order. Section 3: Designation of the City's Employee Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officer who shall be the City's principal representative on all matters of employer-employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer all provisions of this Resolution and the employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer is authorized to delegate his duties and responsibilities. M 25K-72 Section 4: Meet and Confer in Good Faith — Scooe City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5: Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption. In cases of emergency when the City determines that an ordinance, rule, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Recognition An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation: Name and address of the employee organization. Names and titles of its officers. Names and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the employees in their employment relations with the City. 25K-73 A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any manner with, a regional or state, or national or international organization, and, if so, the name and address of each such regional, state or international organization. Certified copies of the employee organization's constitution and bylaws, including all amendments thereof. A designation of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United States mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer-Milias-Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin. A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides full membership rights and privileges, including the right to vote. A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in 70 25K-74 the unit(s) claimed to be appropriate for the purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information as required by this Resolution to be included in the Petition. The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby. Section 7: City Response to Recognition Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after malting said determination, inform the petitioning employee organization, shall give written notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (30) days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall meet and discuss the matter with such petitioning employee organization, and, if such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing. The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution. Section 8: Open Period for Filing Challenging Petition(s) Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petition(s) for an appropriate unit has been filed, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees in the same or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petition(s) evidencing proof of employee support in the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the same form and manner as set forth in Section 6 of this 71 25K-75 Resolution. If such challenging petition(s) seeks establishment of an overlapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations Officer shall determine the appropriate unit or units in accordance with the standards in Section 11 of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is communicated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange for a secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) in accordance with its rules and procedures subject to the provisions of this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of "no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed full time in regular, permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least fifteen (15) days before the date the election commences, including those who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the same unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast in the election. If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the rules governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12 month period affecting the same unit. In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service. Costs of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. 72 25K-76 In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and that the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, it shall be presumed that when said Memorandum of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matters within the scope of representation; provided, however, the employee organization files with the City the information required by Section 6(a),1 through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30,1981. Section 10: Procedure for Decertification of Recognized Employee Organization A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three (3) years, whichever occurs later. A Decertification Petition may be filed by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: The name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto, Proof of employee support that a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee 73 25K-77 Organization. Such proof shall be submitted for confirmation to the Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit from the already established appropriate unit. An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section 6 of this Resolution in satisfaction of the Decertification Petition requirements hereunder. The Employee Relations Officer shall initially determine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the representative(s) of such petitioning employees or employee . organization, and if such determination thereafter remains unchanged, shall return such Petition(s) to the employees or employee organization with a statement of the reasons therefore in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 13 of this Resolution. If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days after such notice to determine the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation. Such election shall be conducted in conformance with Section 9 of this Resolution. The cost of any election proceeding under the provisions of this Section shall be bome entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then in effect as a condition of recognition and said Memorandum of Understanding shall remain in fall force and effect for the balance of the term thereof. 74 25K-78 Section 11: Policv and Standards for Determination of ApproDridte Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be; Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. History of representation in the City and similar employment, except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public. The effect on the administration of employer-employee relations. created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees. When the City establishes new classifications or positions, or modifies the job content of an existing classification or position, the Employee Relations Officer shall, after notice to and consultation with all affected employee organizations, determine which, if any, representation unit shall include such new or modified classification(s) or position(s). Section 12: Procedure for Modification of Established Appropriate Units Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of this Resolution. Such requests shall be submitted in the form of a Recognition Petition,. and, in addition to the requirements set forth in Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in 75 25K-79 support of the proposed modified unit in Willis of the policies and standards set forth in Section 11 hereof. The Employee Relations Officer shall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give written notice of the proposed modification(s) to any affected employee organization and shall hold a meeting concerning the proposed modification(s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11 of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer—s determination may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 6 hereof. Section 13. Appeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section 8) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer. The City Council shall commence to consider the matter within thirty (30) days of the filing of the appeal, and shall render a final and binding decision regarding. the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral arguments in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, in its discretion, refer the dispute to a third 76 . 25K-80 party hearing process for the purpose of seeking an advisory determination prior to making its final decision regarding the resolution of the dispute. Section 14: Submission of Current Information by Recognized Emplo eY a Organizations All changes in the information filed with the City by a Recognized Employee Organization under Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Payroll Deductions on Behalf of Employee Organizations Upon formal acknowledgment by the City of a Recognized Employee Organization under this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of. Understanding and/or applicable administrative procedures. Section 16: Employee Organization Activities — Use of City Resources Access to City work locations and the use of City paid time, facilities, equipment and other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and/or administrative procedures; shall be limited to activities pertaining directly to the employer-employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18: Initiation of Impasse Procedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues_ 77 25K-81 An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be: To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19: Impasse Procedures Impasse procedures are as follows: If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven (7) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediator shall make no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one party to the other each time impasse procedures are invoked by the same parties. The employee organization or the City shall commence this process in an order determined by lot striking the first name from such list of names in any initial mediation. 1 The cost of the mediator, if any, shall be shared equally by both parties. If the parties have failed to resolve all their disputes through mediation within fifteen (15) days after the mediator commenced meetings with the parties, the parties may agree to submit the issues in dispute directly to the City Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. . W. 25K-82 If the parties have exhausted the mediation process, the matter shall be submitted to the City Council for resolution. Section 20: Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions. Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sickout, other total or partial. stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on the effective date of this Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to the City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization at its last address furnished to the City. Section 21: Severability In any section, subsection, sentence, clause or phrase of this Resolution, or the application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that any. or more sections, subsections, sentences, clauses or phrases be declared invalid. 79 25K-83 NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 18th day of May, 1981, by the following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat 25K-84 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVAL OF AGREEMENT WITH LIEBERT, CASSIDY WHITMORE FOR SPECIAL LEGAL COUNSEL {STRATEGIC PLAN NO.7; 4,6 & 71 CIT ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I" 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 Professional Services Agreement with Liebert Cassidy Whitmore for negotiation services with the City labor unions for the period of January 1, 2018 through December 31, 2018 in the amount of $75,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City has entered into legal services agreements with Liebert, Cassidy Whitmore for labor negotiation assistance. The labor agreements with the Part Time-SEIU employee association has expired and the contracts for both POA, SAPMA will expire in June and it is anticipated that the City will be starting negotiations with all groups shortly after the start of the calendar year. Staff conducted a RFP process and received three responses. The firms were evaluated by staff. Based on expertise and a competitive pricing structure staff is recommending the firm of Liebert Cassidy Whitmore. Liebert Cassidy and Whitmore is a California law firm, specializing in labor and employment law. The City of Santa Ana has contracted with the firm in the past to assist and advise on various personnel and labor law matters. Based on the ongoing working relationship between the City and firm, staff is recommending continued utilization of Liebert Cassidy Whitmore's services. The firm has extensive experience working with public sector clientele throughout the state and has a staff of over 40 partners and associates in the Los Angeles office. The proposed Agreement is for a term of one year and for an amount not to exceed $75,000. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #7 — Team Santa Ana, Objective #4, Establish employee compensation that attracts and retains a highly qualified workforce, objective 25L-1 Liebert Cassidy Whitmore Agreement December 19, 2017 Page 2 #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success, and objective #7 Develop a culture of motivated and innovative leaders in the organization. FISCAL IMPACT Funds are available in the Personnel Department account no. 01109050 62300, $37,500 for the 2017/18 fiscal year and $37,500 for the 2018/19 fiscal year. Edward Raya Executive Director Personnel Services Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director IM Finance & Management Services Agency 25L-2 LEGAL SERVICES AGREEMENT WITH LIEBERT CASSIDY WHITMORE THIS AGREEMENT is made and entered into this 19 day of December,.2017, by and between Liebert Cassidy Whitmore, a Professional Law Corporation ("Attorneys") 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 employ Attorneys to assist the City in its labor negotiations. Legal services will include but are not limited to providing legal advice, drafting of Memorandums of Understanding, researching legal issues, attending labor negotiation meetings, and providing negotiation services to the City. B. Attorneys represent that they are licensed to practice law in the State of California; have special experience and knowledge in the fields of employment and labor law matters, in particular public agency labor negotiations and desire to undertake said services. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Attorneys will assist and advise the Executive Director of the Personnel Services Department in transactional and negotiation services related to the City's negotiation with the part- time bargaining" unit Service Employees International Union (SEIU) and the full-time bargaining units Police Officers Association.(POA) and.Service Employees International Union (SEN), and other labor negotiation legal issues when and as requested by the Executive Director of Personnel. This Agreement will also cover any additional collective bargaining labor negotiations that may arise during the term of this Agreement for which the parties mutually agree to utilize attorney's services. Attorneys accept said retention and agree to perform, in timely and efficient manner all such services as may be requested by the City. Attorneys shall confirm their acceptance of work requested by the City in writing by e-mail or letter. 2. COMPENSATION a. City shall compensate Attorneys based on actual amount. of time spent 'in performing the services including for reasonable travel time. Partners will be billed at the rate of $350 an hour. Time will be billed in 1/10`x' of an hour increments. Attorneys will submit a monthly statement, specifying the services performed, dates and number of hours and itemization of expenses related thereto. b. The total sum to be expended under this Agreement shall not exceed $75,000 during the term of this Agreement. 25L-3 C. City agrees to reimburse Attorneys for out-of-pocket expenses, including but not limited to, copying costs, service of process, and mail services authorized by the Executive Director of the Personnel Services Department in connection with the performance of duties under this Agreement. In-house printing, copying, and reproduction charges will be reimbursed at the rate of 20 cents per page. Any costs in excess of $5,000 requires the approval of the Executive Director of the Personnel Services Department prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. d. 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 the City. 3. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City, as, aforesaid, shall be and remain under, and subject to the control and direction of said City at all stages, and that they shall at all times keep the Executive Director of the Personnel Services Department and the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters related to any representation undertaken by Attorneys. Attorneys further agree; if and when their employment hereunder is terminated by City, as hereinafter specified, they shall return to the Executive Director of the Personnel Services Department and/or the City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 4. TERM This Agreement shall commence on January 1; 2018 and terminate on December 31, 2018, unless terminated earlier pursuant to Section 13, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney for up to one (1) year. 5. INDEPENDENT CONTRACTOR Attorneys shall, during the entire term of this Agreement, be construed to be independent contractors and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a jointventure relationship, or to allow the City to exercise discretion or control over the professional manner in which Attorneys perform the services which are the subject matter of this Agreement; however, the services to be provided by Attorneys shall be provided in a manner consistent with all applicable standards and regulations governing such services. Attorneys shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to its employees and shall be responsible for all applicable withholding taxes. 25L-4 6. INSURANCE Prior to undertaking performance of work under this Agreement, Attorneys shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Attorneys shall maintain commercial general liability insurance which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Attorneys' operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence and $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); and (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City. b. Worker's Compensation Insurance. In accordance with California State law, Attorneys, if Attorneys have any employees, are 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, Attorneys agree to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. C. Professional Liability, Attorneys shall provide to the City Attorney proof of Professional Liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and maintain such insurance throughout the term of this Agreement. If Attorneys fail or refuse to produce and maintain the insurance required by this section, or fail or refuse to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Attorneys' right to be paid for its time and materials expended prior to notification of termination. d. The following requirements apply to the insurance to be provided by Attorneys pursuant to this section: (i) Attorneys shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City. (ii) 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. 25L-5 e. If Attorneys fail or refuse to produce or maintain the insurance required by this section or fail or refuse to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to terminate this Agreement. Such termination shall not affect Attorneys' rights to be paid for its time and materials expended prior to notification of termination. Attorneys waive the right to receive compensation and agree to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, malpractice, damages, restitution, judicial or equitable relief to the extent caused by Attorneys' negligent or wrongful performance or conduct related to this Agreement. 8. CONFIDENTIALITY All information and documents "shared with Attorneys, as well as all work performed by Attorneys in connection with this Agreement, should be treated as strictly confidential. Moreover, all communications between Attorneys and City shall be treated as protected by the attomey-client privilege and the attorney work product doctrine. Accordingly, information received by Attorneys from City should be kept in a secure place, and no information about this work maybe disclosed to any third party without City's prior written approval. Attorneys shall provide materials directly to the Executive Director of the Personnel Services Department and the City Attorney, or selected members of his/her offices, as directed by the City Attorney and the Executive Director of the Personnel Services Department. All such information and any written product in connection with Attorneys' retention under . this Agreement, shall be marked as "PRIVILEGED AND CONFIDENTIAL / ATTORNEY -WORK PRODUCT" and shall be the property of the City, and shall be returned/provided to the City with all copies upon the request of the City Attorney or Executive Director of the Personnel Services Agency. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement or which would constitute a violation of the Rules of Professional Conduct. 25L-6 10. 'NOTICE Any notice, tender, demand, delivery, or other -communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or. sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6956 Copies to: Executive Director, Personnel Services City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6930 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702-1988 Facsimile (714) 647-6515 To Consultant: Liebert.Cassidy Whitmore 6033 W. Century Blvd., 5°i Floor Los Angeles, CA 90045 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys 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 25L-7 and any attachments hereto, the terms of this Agreement shall prevail and will serve to fully supersede existing Agreement. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Attorneys. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, that terms or conditions hereof, shall not bind or obligate Attorneys 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. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized "services of Attorneys, Attorneys may not assign, transfer, delegate, or subcontract any interest herein "without the prior written consent of the City and any such assignment, transfer, delegation 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. 13. TERMINATION This Agreement maybe terminated by the City with thirty (30) days written notice of termination to the Consultant. a. As a condition of such payment, the City may require Attorneys to deliver to the City all the work product completed as oP such date, and in such case such work product shall be the property of the City unless prohibited by law, and Attorneys consent to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. IGI WIA-11MOVRIatiffAl11)e Attorneys 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 any activities under this Agreement. Attorneys affirm'that it is an equal opportunity employer and shall comply with all applicable federal, state and local.laws and regulations. 15. JURISDICITON -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 25L-8 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. 16. PROFESSIONAL LICENSES Attorneys 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. Attorneys shall notify the City immediately and in writing of the inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. MISCELLANEOUS PROVISIONS Each undersigned represents andwarrants 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. 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: U.mu� k Laura A. Rossini Senior Assistant City Attorney CITY OF SANTA ANA PAUL GODINEZ II City Manager [Signatures continue on next page] 25L-9 RECOMMENDED FOR APPROVAL: Ed Raya, Executive Director Personnel Services LIEBERT CASSIDY WHITMORE, PLC By: Title: 25L-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: APPROVE MEMORANDUM OF UNDERSTANDING WITH SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS (SCAG) AND AGREEMENTS WITH PLANNING CONSULTANTS FOR GENERAL PLAN UPDATE (STRATEGIC PLAN NOS. 3,2A; 5,6) CIT`Y^ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' 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 Memorandum of Understanding with the Southern California Association of Governments (SCAG) utilizing the Sustainability Planning Grant in the amount of $325,000 for consulting services for a two year term to update the City of Santa Ana General Plan to promote sustainable development and practices, 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 contracts for a two year term with the option for the City to grant up to a one year renewal for a team of three consulting firms (MIG in the amount of $238,500, AECOM in the amount of $69,070, and Placeworks in the amount of $48,000) to provide planning and technical services for the preparation of comprehensive General Plan Update for the City of Santa Ana, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In February 2017, the City of Santa Ana was awarded a Sustainability Planning Grant for $325,000 by the Southern California Association of Governments (SCAG) through a regionally competitive process. The project, Santa Ana Envisioning Sustainability Together, will help to prepare a General Plan Update that is economically, socially and environmentally sustainable. In July 2017, the City of Santa Ana formally accepted the SCAG grant by approval of a resolution, as well as authorized the distribution of a revised Request of Proposals (RFP) for planning and technical services to assist City staff with the preparation of the General Plan Update, with an emphasis on sustainability. The SCAG grant will augment the City Council's prior commitment of $2 million allocated to the comprehensive update of the General Plan. 25M-1 SCAG MOU and Consultant Agreements December 19, 2017 Page 2 The Planning & Building Agency is continuing work on the comprehensive update of the Santa Ana General Plan. After 14 meetings, the General Plan Advisory Group (GPAG) recently concluded its review of draft goals and policies. In addition, staff is in the process of hiring technical consultants to begin the environmental analysis for the General Plan in December 2017. Similar to the initial Community Outreach effort, the draft document will offer multiple opportunities for the public to participate. Staff anticipates release of a draft document in 2018 and completion of the comprehensive update by mid -2019. A City staff Interagency Proposal Review Team (Planning Division, Public Works Agency and Economic Development Division) was created to evaluate six to nine individual proposals for each of the planning services listed below. Interviews were conducted for the top three scoring consulting firms for the respective planning service. Based on the evaluation criteria, the following team of consulting firms are recommended to provide technical support to assist to prepare a sustainable Draft Santa Ana General Plan Update: Contract Planning Service Consulting Firm Contract Amount 1 Existing Land Use and Buildout MIG $110,990 $ 69,430 Complete Public Realm MIG $68,370 01116510 Graphics Design and Web Support MIG $59,140 2 Market Analysis AECOM $69,070 3 Community Outreach Materials Placeworks $48,000 TOTAL $355,570 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort 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 A (Complete a comprehensive update of the City's General Plan including the development of policies and implementation measures that directly relate to equitable economic development); and Goal #5 - Community Health, Livability, Engagement & Sustainability, and Objective #6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT Funds are budgeted and available in the following Planning and Building expenditure accounts: AM ACCOUNT FY2017/18 FY2018/19 FY2019/20 TOTAL 40316570 62300 $ 69,430 $ 200,000 $ 55,570 $ 325,000 01116510 62300 $ 30,570 $ - $ - $ 30,570 $ 100,000 $ 200,000 $ 55,570 $ 355,570 25M-2 SCAG MOU and Consultant Agreements December 19, 2017 Page 3 -- Candida Neal Acting Executive Director Planning & Building Agency MM:rb S:RFCA112-19-171PBA SCAG Integrated 12.19.17 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez eg Executive Director Finance & Management Services Agency Exhibits: 1. Memorandum of Understanding 2. Agreement with MIG 3. Agreement with AECOM 4. Agreement with Placeworks 25M-3 25M-4 MEMORANDUM OF UNDERSTANDING No. TBD BETWEEN THE SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS AND THE CITY OF SANTA ANA FOR SANTA ANA ENVISIONING SUSTAINABILITY TOGETHER (SCAG Project/OWP No, TBD) This Memorandum of Understanding ("MOU" or "Agreement') is by and between the Southern California Association of Governments ("SCAG") and City of Santa Ana ("CITY"), for Santa Ana Envisioning Sustainability Together, subsequently herein referred to as "Project" SCAG and CITY are individually referred to herein as "Party" and may be collectively_ referred to herein as "Parties." RECITALS WHEREAS, SCAG is a Joint Powers Agency and a federally designated Metropolitan Planning Organization (MPO) for Southern California. As an MPO, SCAG is primarily responsible for the development of a Regional Transportation Plan/Sustainable Communities Strategy (RTP/SCS) for the counties of Imperial, Los Angeles, Orange, San Bernardino, Riverside, and Ventura; WHEREAS, SCAG has also initiated its 'Sustainability Planning Grant Program ("Sustainability Program") to assist Southern California jurisdictions in evaluating planning options and stimulating development consistent with SCAG's RTP/SCS and the region's overall planning goals. SCAG's Sustainability Program support visioning efforts, infill analyses,economic and policy analyses, and marketing and communication programs; WHEREAS, pursuant to its annual Overall Work Program (OWP), SCAG will be engaged in activities and projects that will require certain technical, professional, or support services from time to time related to. its work.regarding the RTP/SCS,and the Sustainability Program; WHEREAS, the CITY is, preparing a comprehensive General Plan Update. The Santa Ana Envision Sustainability Together project ("Project") will provide planning and technical services related to land use buildout scenarios and visualization tools, marketing analysis, public realm plans, document graphic support and .community engagement materials. The Project will assist in identifying general plan Policies and practices to promote economically, socially and environmentally sustainability; WHEREAS, through its Sustainability Program, SCAG has awarded the CITY grant funds to pursue the Project which supports the goals and policies of SCAG's 2016 RTP/SCS; WHEREAS, the purpose of this MOU is to describe the responsibilities of the Parties, which includes SCAG to provide funding for the Project; WHEREAS, on December 19, 2017, CITY awarded Contract No (s). to MIG, AECOM and Placeworks ("Consultant"), respectfully, to perform the services required for the Project as identified in the Scope of Work, attached hereto and incorporated, herein by this reference in Exhibit "A.". Specifically, the Tasks within the Scope .of Work details the services to be performed by Consultant(s) 25M-5 MOU No.:TBD SCAG ProjecdOWP No. :TBD City Contract No. :TBD to complete the Project. A copy of the Consultant's contract with CITY is attached hereto as Exhibit «B,,. WHEREAS, SCAG shall contribute a maximum, not, to exceed amount of $325,000 towards the total value of the Consultant contract to be used solely for the Project, using Federal and Local Transportation Funds for the Project; WHEREAS, CITY's designated project manager, in coordination with SCAG's designated project manager, will ensure the Scope of Work described in Exhibit A is performed by the selected Consultant; WHEREAS, performance by selected Consultant will begin on the dates indicated herein and shall be completed by December 16, 2019; WHEREAS, this MOU shall supersede and replace any previous agreements or negotiations between SCAG and CITY related to the Project described herein; and WHEREAS, SCAG's Fiscal Year is from July 1 through June 30. NOW THEREFORE, IT IS MUTUALLY -AGREED THAT: 1..MOU Contents This MOU is comprised of these terms and conditions and any attached Exhibits, and .may be amended only by written agreement between SCAG and CITY. Such terms and conditions may be subject to change. The Recitals to this Agreement are also incorporated herein bythis,reference. 2: Scope of Work A. The Consultant, procured by the "CITY in accordance with applicable procurement requirements and policies, shall perform the Scope of. Work described in Exhibit A, in accordance with applicable Federal and State requirements, including but not limited to the requirements set forth in Sections 7, 12, 13, 14 and 15 of this MOU. b. SCAG shall only ;be obligated to make payment to the CITY for work performed as part of Exhibit A regarding the Project, up to the maximum amount of three hundred twenty five thousand dollars ($325,000.00). SCAG intends to use Federal and Local Transportation Funds to meet its funding obligations described herein. C.. The CITY hereby `verifies that it procured or shall procure the Consultant to perform the Scope of Work. through a competitive process involving preparation and issuance of a Request for Proposal (RFP). The CITY shall, provide SCAG with a copy of its Notice to Proceed issued to the Consultant and other related documentation of compliance with applicable procurement requirements and terms and conditions of this MOU. d. Subject to the execution of a valid, enforceable contract between CITY and Consultant, CITY shall be responsible for managing the Consultant in performing the Scope of Work described in December, 11. 2017 Page 2 25M-6 MOU No.:TBD SCAG Project10 W P No. TBD City Contract No. :TBD Exhibit A, with written Quarterly Reports provided to SCAG's Project Manager. CITY's and SLAG'S Project,Mauager shall review, approve and pay Consultant's invoices. 'e. CITY's Project Manager shall have final approval of Consultant's 'deliverables; provided, however, that prior to approving a deliverable from the Consultant, CITY's Project Manager will consult with SCAG's Project Manager. In the event that CITY or its Consultant proposes an amendment to the Consultant's contract which changes the terms of Consultant's contract, with CITY, including but not limited to, increases the value of the contract amount and/or modifies the Scope of Work, CITY shall notify SCAG's Project Manager in writing prior to execution of such amendment and provide SCAG with copy of amendment. SCAG' may propose an amendment to this Agreement, if necessary, consistent with any executed amendments to the Consultant .contract. f. SCAG's, Project. Manager shall be notified and 'invited to: the kick-off meeting with the Consultant, all steering or technical advisory committee meetings,, all 'public engagement outreach events, and all City Council or Commission meetings where the Project in whole or in part is being presented or discussed. 3. Term The Term of this Agreement shall begin on the Effective Date of the Agreement -and continue until December 19 2019, hereinafter referred to as the "Completion -Date," unless terminated earlier:as provided herein. Time is of the essence in the performance of services under this MOU. 4. Program Management a.. All work under this MOU shall be coordinated with SCAG and CITY through the Project Managers. b♦, For purposes of this MOU, SLAG designates the following individual as its Project Manager: Marco Anderson Senior Regional Planner (213) 236 7879 anderston &sca%ca..,zov SCAG reserves the right to change this designation upon written notice to CITY. c. For purposes of this MOU, CITY designates the following individual as its Project Manager:, Melanie McCann Senior Planner (714) 667-2746 mmecannCet Santa=ana.ore CITY reserves the right to change this designation upon written notice to SCAG. December 11, 2017 Page 3 25M-7 MOU No.:TBD SCAG Project/OW{' No.:TBD City Contract No. TBD 5. Funding SCAG's contribution to the Project is funded wholly with Federal and Local TransportationFunds (non-federal), up to three hundred twenty five thousand dollars ($325,000). SCAG shall not be obligated to make payments for any Project costs that exceed [three hundred twenty five thousand dollars ($325,000). SCAG shall not. be obligated to pay for any increase in Project costs which exceeds SCAG's obligated funding amount. 6. Invoices, Progress Reports and Match Reports a. CITY shall. submit. an invoice to SCAG using the Invoice Report, attached hereto and, incorporated" herein by this reference and, subsequently herein referred to as "Exhibit C" Invoice Report shall be submitted monthly. SCAG shall reimburse .the CITY for paid Consultant invoices. The Invoice Report shall include copies of paid Consultant invoices. b. All Consultant costs charged pursuant to this MOU shalLbe supported by properly executed. payrolls showing labor (wage);rates per.hour, copies of time records, including complete timesheets or time cards signed by the employee and approved by the supervisor, invoices. and vouchers, evidencing in proper detail the nature of the charges, and other documentation requested by SCAG. No CITY or SCAG staff costs are authorized under this-MOU. c. By the tenth day following the start, of a new quarter (i.e., January `10, April 10, July 10, October 10), CITY shall submit a Quarterly Report in a format reasonably acceptable to SCAG' Project"Manager. The Quarterly Report shall include, in narrative form, a description of services performed by Consultant as well as progress toward completion of tasks related to the Project for the prior quarter and a reporting of all costs'incurred regarding the Project; and include copies of paid Consultant invoices attached for SCAG's records. d. On all documents submitted to SCAG for the Project, including Invoices and Quarterly Reports, the Project Number (OWP No. xxx-xxxx.xx) shall be referenced from the Effective Date through December 21, 2019. e. The Parties acknowledge that SCAG's fiscal year is from "July I to June 30. CITY agrees to review and approve Consultant invoices and submit any pending invoices to SCAG on or before July 31 during the contract's term (e.g., 7/31/18 & 7/31/19). f. The CITY will require that its Consultant pay any subconsultants for satisfactorily completed work no later than ten (10) days of receipt of each payment from the. CITY; The ten (10) calendar days period is applicable unless a longer period is agreed to in writing. 7. Cost Principles a. CITY agrees to comply with the following: December 11, 2017 Page J 25M-8 MOU No.:TBD SCAG Project/0W No.:TBD City Contract No. :TBD 1) The Contract Cost Principles and Procedures, 48Code of Federal Regulations, Federal Acquisition .Regulations System, Chapter 1, Subchapter E, Part '31, et seq. (Office of Management and Budget Circular A-87 Revised, "Cost Principles for State, Local, and Indian Tribal Governments)," shall be used to determine the acceptability of individual project cost items; and 2) The CITY agrees, and will require that its contractors be obligated to agree, that (a) the Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31 , et seq., shall be used to determine the allowability' of individual project cost items (CITY shall refer to, 2 CFR, ;Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards); and (b) all parties shall comply with Federal administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. The CITY and every contractor receiving Project funds under: this Agreement shall comply with Federal administrative procedures in accordance with 49 CFR, Part' 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. b. Any costs for which the CITY receives reimbursement or credit that is determined by a. subsequent audit or other review by either SCAG, Caltrans. or other State or Federal authorities to be unallowable under, but not limited to; Title 2, CFR, part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal -Awards, and 49 CFR,'Part. 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, are to be repaid by the CITY within `thirty (30) calendar days of the CITY receiving notice of audit findings and a written demand for reimbursement from SCAG. Should the CITY fail to reimburse unallowable costs due SCAG within thirty (30) calendar days of demand, or within such other period as may be agreed between both parties hereto, SCAG is 'authorized to withhold future payments due to the CITY. 8. Electronic Version of Work Products a. CITY shall submit one (1) electronic copy of all completed deliverables associated with the Project to the assigned SCAG Project Manager. b. SCAG' shall 'reserve a royalty -free, non-exclusive and irrevocable license to reproduce, publish or otherwise use, and authorize others to use deliverables and other work products related to the Project and developed as part of this MOU; provided, however, that any reproduction, publishing, reuse or authorization of reuse by others of deliverables and other work products without written verification by CITY will be at SCAG's sole risk and without liability or legal exposure to CITY. Such written verification by CITY shall not be unreasonably denied and shall be provided by CITY within ten calendar days of SCAG's request therefor. c. Subject to the California Public Records Act, all deliverables and related materials related to the Project shall be held confidential by Consultant. Nothing furnished to, CITY or SCAG which is otherwise known or is generally known, or has become known, to the related industry shall be deemed confidential. CITY shall also safeguard such confidential materials December 11, 2017 Page 5 25M-9 MOU No.:TBD SCAG Project/0WP No.:TBD City Contract No. :TBD from unauthorized disclosure, using the same standard of care to avoid disclosure, as CITY treats its confidential information, but in no case less than reasonable care. 9. MOU Changes a. No alteration or deviation of the terms of this MOU shall be valid unless made in writing and properly executed by both parties. b. Either Party may 'request, at any time, amendments to this MOU and will 'notify the other party regarding such changes. Within ten (10) calendar days from the date of the written notice, the requesting Party shall notify the other Party of the.impact of such changes on the Scope of Work, schedule, and budget: Upon agreement between the Parties as to the required changes, an amendment to this MOU shall be prepared regarding the same. If the Parties are unable to 'reach an agreement regarding the changes requested by SCAG, the Parties may terminate this MOU in accordance with the provisions set forth in Section 19(a) of this MOU. 10. Notices Any notice or notices "required or permitted to be given pursuant, to this MOU may be personally served on the other party by party giving such notice, or may be served by certified mail, return receipt requested, to the following addresses: To SCAG: Basil Panas Chief Financial Officer Southem. Califomia Association of Go_ vemments 818 W. 7th Street, 12th Floor 'Los Angeles, CA 90017 Phone: (213) 236-1832 panasC'.scae.ca. aov To CITY: Sona Mooradian Admin Services Manager Planning & Building Agency 20 Civic Center Drive, Santa Ana, CA 92702 (714)667-2714 smooradiatiRsanta-ana.or, 11. Indernnification a. Except for the negligence or willful misconduct of SCAG and any of its directors, officers, agents; employees, assigns, and successors in interest, CITY undertakes and agrees to defend, indemnify, and hold harmless SCAG and any of .its directors, officers, agents,. employees, assigns, and successors in interest from and against all suits and causes of action, claims, losses, demands and expenses, including, but not limited to, attorney's fees and cost of litigation, damage or liability of any nature whatsoever,. for death or injury to any person, December 11, 2017 Page 6 25M-10 MOU No.::TBD SLAG t'rojmt/6&T No.:TBD. City Contract No. :TBD including the CIT.Y's Consultant(s), employees and agents, or damage or destruction of any property of either party hereto or of third parties, arising in any manner by reason of the negligent acts; 'errors or omissions or violations of law by CITY, employees and agents in connection with its activities in pursuing the Project or under this MOU: CITY further agrees to require its Consultant to provide indemnification for SCAG to the same extent as CITY; in the contract(s) between CITY and its Consultant for work related to this Agreement. b. Except for the negligence or willful misconduct of CITY and any of its directors; officers; agents, employees, assigns, and successors in interest, SCAG undertakes and agrees to defend, indemnify, and hold harmless CITY and any of its directors, officers, agents, employees, assigns, and successors in interest from and against all suits and causes of action, claims, losses, demands and expenses, including, but "not limited to, attorney's fees and cost of litigation, damage or liability of any nature whatsoever, for death or injury to any person, including SCAG's employees and agents, or damage or destruction, of any property of either party hereto or of third parties, arising in any manner by reason of the negligent acts, errors or omissions or violations of law by SCAG or its employees and agents in connection with its activities in pursuing the Project or under this MOU. 12. Records Retention and 'Audits a. CITY shall maintain all source documents, books and records connected with the Project and. procurement of the Consultant and all, work performed under this N40U fora minimum of four (4) years. from the Completion Date or the date an audit resolution is achieved for each annual SCAG Overall Work Program (OWP), whichever is later, and shall make all supporting information available upon request for inspection and audit by representatives of SCAG, the California State Auditor, or other authorized government agency. Copies shall be made and furnished by SCAG upon request at no cost to SCAG.,. b. SCAG shall maintain all source documents, books and records connected with the Project under this MOU for a minimum of four (4) years from the Completion Date or the date an audit resolution is achieved for each annual SCAG OWP, and shall make all supporting 'information available upon request for inspection and audit by representatives of CITY, the California State. Auditor, or other authorized government agency. Copies shall be made and furnished by CITY upon request at no cost to the CITY. c. CITY shall establish and maintain an accounting system conforming to Generally Accepted Accounting Principles (GAAP) to support Invoices which segregate and accumulate the costs of work elements by line item and produce Progress Reports which. clearly .identify reimbursable costs and other expenditures by OWP work elements. d. If applicable, CITY agrees to include all costs associated with this MOU and any amendments thereto to be examined in the annual audit and in the schedule of activities to be. examined under a, single audit -prepared by CITY in compliance with Subpart "F of the Offce of Management; and Budget's Uniform Grant Guidance, formerly referred to as Circular A- 133. The CITY is responsible for assuring that the Single Auditor has reviewed the requirements of this MOU. Copies of said audits shall besubmitted to SCAG. December 11, 2017 Page 7 25M-11 MOU No.::TBD SLAG Preimt/OWP No.:TBD City Contract .No. :TBD e. Neither the pendency of a dispute nor its consideration by a Party or the State shall excuse the other Party from full and timely performance in accordance with the terms of this MOU. 13. Federal Certifications and Assurances a. CITY shall adhere to the requirements contained in SCAG's annual Certification and Assurances (FHWA and FTA "Metropolitan Transportation Planning Process Certification") submitted as part of SCAG's OWP, pursuant to 23 CFR 450.334 and the 23 U.S.C. 1234. This Certification shall be published annually in SCAG's OWP. Such requirements shall apply'to CITY to the same extent as SCAG and may include, but are not limited to: 1) Title VI of the Civil Rights Act of 1964 and Title VI Assurance executed by California under 23 U.S.C. 324 and 29 U.S.C. 794; 2) Pub. Law 105-178, 112 Stat. 107 and any successor thereto, regarding the involvement of disadvantaged business enterprises in FHWA and.FTA.funded projects (Sec. 105(f), Pub. L. 970424, 96 Stat. 2100, 49 CFR part 26); and 3) The Americans with Disabilities Act of 19.90 (Pub. L. 101-336, 104 Stat. 327, as amended) and the United States Department of Transportation (US DOT) implementing regulations (49 CFR 27, 37, and 38). b. CITY shall additionally comply with the requirements contained in the annual FTA_ "Certifications and .Assurances for FTA Assistance, including "Certifications and Assurances Required of Each Applicant" and the "Lobbying Certification" in compliance with 49 U.S.C. Chapter 53; published annually in SCAG's OWP. Such .assurances shall apply to CITY to the same extent as SCAG, and include but are not limited, the following areas: I) Standard Assurances 2) Debarment, Suspension, and .Other Responsibility Matters for Primary Covered Transactions 3) Drug Free Work Place Agreement, 4) Intergovernmental Review Assurance 5) Nondiscrimination Assurance 6) DBE Assurance 7) Nondiscrimination on the Basis of Disability 8) Certification and Assurances Required by the U.S. Office of Management and Budget c. Federal Lobbying Activities Certification. 1) By "signing this MOU, CITY certifies, to the best of its knowledge and belief, that ,no State or Federal funds have been paid or will be paid, by or on behalf of CITY, respectively; to any person for influencing or attempting to influence an officer or employee of any State or Federal agency,, a Member, of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee December 11; 2017 Page 8 25M-12 MOU No..:TBD SCAG Project/OWP No.:TBD City Contract No. :TBD of a Member of the" Legislature or Congress in connection with the awarding of any State or Federal contract, the making of any State or Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, or the extension, continuation, renewal, amendment, or modification of any State or Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than State or Federal funds have been paid or will be paid 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 •o.f Congress in connection with this Federal grant, CITY, as applicable, shall, complete and submit Federal Standard Form -LL, "Disclosure Form to Report Lobbying," in accordance with those form instructions." 3) This certification is a material representation of fact, upon whichxeliance was placed when this MOU was, entered into. Submission of this certification, is a prerequisite for making or entering into this transaction imposed by'Section 1352, Title 31, U.S.C. and by the Master Fund Transfer Agreement between SCAG and the State.. 14. Equal Employment Oaaortunity/Nondiscriminatidn a, In the performance of, work undertaken pursuant to thisMOU, the Parties and their assignees and successors in interest, shall affirmatively require that their employees and contractors shall not, unlawfully discriminate, harass or allow harassment, against any employeeor applicant for 'employment because of sex, :race, color, ancestry, religious creed, national origin, physical disability (including HIV and AIDS), medical condition (cancer), age, marital status, denial of family and medical care leave, and denial of pregnancy disability leave. b. The Parties shall ensure that the evaluation and treatment, of their employees and applicants for employment are free from such discrimination and harassment. The:Parties shall comply with the provisions of the Fair Employment and Housing Act (Government Code, Section 12900 et seq.) and the applicable regulations promulgated there under (California Code of Regulations, Title 2, Section 7285.0 et seq.). The applicable regiilations of the Fair Employment and Housing Commission implementing, the Govemment Code sections referenced above, are incorporated into this MOU by reference and made a part hereof as if set forth in full c. Noncompliance: In the event of noncompliance by either Party with the nondiscrimination, provisions of this MOU, the other Party may cancel, terminate or suspend the MOU, in. whole or in part. d. If required by DOT, additional or alternate sanctions for noncompliance maybe imposed. 15. Conflict of Interest The Parties shall comply with Federal and State conflict of interest laws, regulations and Policies. December. 1 1.2017 Page9... ... 25M-13 MOUNo.:TBD SCAG Projmt/OWP No.:TBD City Contract No.:TBD 16. Independent Contractor CITY and its Consultant(s), officers, employees and agents shall, be independent contractors in the performance of this MOU, and not officers, employees, contractors or agents of SCAG. 17. Disputes Except as otherwise provided in this MOU, :if a dispute arises between the Parties, to this MOU, the Parties hereto agree to use the following procedure to resolve such dispute, prior to pursuing other legal remedies: a) A meeting shall be held promptly between the Parties that will be attended by the CITY's Project Manager and SCAG's Project Manager as well as individuals with decision-making authority (to the extent reasonably possible), who will attempt in good faith_ to negotiate a resolution of the dispute. b) If the Parties are unsuccessful in resolving the dispute under (a) above, they may: (1,) agree to submit the matter to mediation, binding judicial reference, or a private adjudicator (if all Parties so agree);, or (2) initiate litigation following advance written .notice to the other Party of not less than thirty (30) days. c) If any party should bring,a legal action against the other to enforce the terms of this MOU, the prevailing party shall be entitled to recover reasonable attorneys' fees and costs, as determined by a court of competent jurisdiction insaid proceeding. 18. Noncompliance In addition to such other remedies as provided by law, in the event of noncompliance with any grant condition or specific requirement of this MOU, this MOU may be terminated. 19. Termination of MOU a. Termination for Convenience. Either Party may terminate this MOU at any time by giving written notice to the other party of such termination at least thirty (30) calendar days before the effective date of such termination. In such event_, all finished or unfinished documents and other materials as described in the MOU shall be provided to SCAG, and CITY shall be paid for all services performed by Consultant and accepted by CITY provided the required consultation between CITY and SCAG has been undertaken in accordance with Section 2(e) of this MOU. Further, the Party terminating this MOU before the effective date of termination shall be responsible for any actual, incurred termination costs incurred by the Consultant as a result of such termination notice. December 11, 2017 Page 10 25M-14 MOU No.:TBD SLAG ProjealOWl? No.:TBD City Contract No.:TBD b. Termination for Cause. If through, any cause, CITY shall fail to timely and adequately fulfill its obligations under this MOU, or if CITY violates any of the covenants, agreements, or stipulations` of this MOU, SCAG shall thereupon have the right. to terminate the MOU by giving not less than ten (10) calendar days written notice to CITY of the intent to terminate and specifying the effective date thereof. SCAG "shall provide a reasonable opportunity for CITY to cure prior to termination. In no event shall such opportunity to cure extend beyond the term of the MOU. In the event that SCAG invokes this termination clause, all finished or unfinished documents and other materials as described in the MOU shall be returned to SCAG at its option. c. If through any cause, SCAG shall fail to timely and adequately fulfill its obligations under this MOU, or if SCAG violates any of the covenants, agreements, or stipulations of this MOU, CITY shall thereupon have the right to terminate the MOU by giving not less than ten (10) calendar days written notice to SCAG of the intent to terminate and specifying the effective date thereof. CITY shall provide a reasonable opportunity for SCAG to cure prior 'to termination. In. no event shall such opportunity to cure extend beyond the term of the MOU In the event that CITY invokes (his termination clause, all finished or unfinished. documents and other materials as described in the MOU shall besetumed to CITY at its option. 20. Non -Assignment a. Neither Party shall assign this MOU, or any part thereof, without the. written consent of each Party to this MOU. Any assignment without ,such written consent shall be void and unenforceable. b. The covenants and agreement of this MQU shall inure to the benefit of and shall he binding' upon each -of the Parties and their respective successors and assignees: 21. Release of Information CITY shall. not release any information to a third party or otherwise publish or utilize any information obtained,or produced by it as a result of or in connection with the performance, of services under this Agreement, withoutthe prior written authorization ;of SCAG, except as, required by law and with prior written. notice to SCAG. 22. Severability If any provision of this MOU is held to be illegal, invalid, or unenforceable, in whole or in part, such provision shall be modified to the minimum extent necessary to make it, legal, valid, and enforceable, and the legality, validity, and enforceability of the remaining provisions shall not be affected thereby. 21 Survival The following sections. survive expiration or termination of this MOU: Section 8 (Electronic Version of Work Products) Section 11 (Indemnification) Dmember 11. 2017 Page I I 25M-15 MOU No.:TBD SCAG Prcject/OWI NO.:TBD City Contract No. -:TBD Section 17 (Disputes) Section 21 (Release of Information) 24. Jurisdiction and Venue This MOU shall be deemed an agreement under the laws of the State of California and for all purposes shall be interpreted in accordance with such=laws. Both Parties.hereby agree and consent to the exclusive jurisdiction of the courts of the State of California and that the venue of any action brought thereunder shall be Los Angeles County, California. 25. Waiver No delay or failure by either Party to exercise or enforce at'any time any right or provision of this:Agreement shall be considered a_waiver thereof of such Party's right thereafter:to exercise or enforce each and everyright and provision. of this Agreement. A Waiver to be valid shall be in writing 'but need not be supported by consideration. No single waiver shall constitute a ,continuing'or subsequent waiver. 26.:Standard of Care The Parties and Consultant shall perform the work required for the production of the Project under this MOU in accordance with generally accepted industry standards, practices, .and principles applicable to. such work, 27. Force'Maieure Neither CITY, SCAG or Consultant nor CITY shall be liable or deemed to be in default for any delay or failure in. performance under this. MOU or interruption of services resulting, directly or indirectly, from acts of God, civil or military authority, acts of public enemy, war, strikes, labor disputes, or any other similar cause beyond the reasonable control of CITY, SCAG or Consultant. 28. Execution of MOU or Amendment This MOU, or any amendment related thereto (Amendment), may be executed in multiple counterparts; each of which shall be deemed to be an original, but all of which shall constitute one and the same agreement. The signature page of this MOU or any Amendment may be executed by way of a manual or authorized signature. 29. Effective Date This MOU shall be effective as of the last date in which the document is executed by both Parties. 30. Entire MOU December 11, 2017 Page 12 25M-16 MOU, No. ;TBD SCAG Project/OWP No. -TBD City Contract -No. JBD This MOU, including the attached Exhibits A, B and C, represents and contains the entire agreement of the Parties with respect to the matters set forth herein. This MOU supersedes any and all prior negotiations, discussions and, if any, previous agreements between the Parties. December 11, 2017 Page 13 25M-17 MOUNo.:TBD SCAG Project/0W NO.:TBD City Contract No..:TBD SIGNATURE PAGE TO MEMORANDUM OF UNDERSTANDING NO. M -XXX -XX IN WITNESS WHEREOF? the Parties have caused this MOU to be executed by their duly authorized representatives as of the dates indicated below: SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS C SLAG") 0 Basil Panas Date Chief Financial Officer APPROVED AS TO FORM: Joann Africa Date Chief Counsel/Director of Legal Services CITY OF SANTA ANA C CITY") to Raul Godinez II Date City Manager APPROVED AS TO FORM: By: Z,O (�' Lisa Stork Date Assistant City Attorney Deccanber 11, 2017 Page 14 25M-18 MOU. No.:TBD SCAG Projut/OWP No. `TBD City Contract No. :TB D Exhibit A SCOPE OF WORK (Insert CITY Contract Scope of Work, which'includes details of Project) The CITY is preparing a comprehensive General Plan Update. The Santa Ana Envision Sustainability Together project ("Project") will provide planning and technical services related,to land use buildout, scenarios and visualization tools, marketing analysis, public realm plans, document graphic support:and community engagement materials. The Project will assist in identifying general plan policies and practices to promote economically, socially and environmentally sustainability Dmember 11, 2017 Page 15 25M-19 December 11; _2017 Page 16 MOU No. :TBD SCAG Project/OW No. ;TBD City Contma lVo.:TBD Exhibit B COPY OF CONSULTANT CONTRACT 25M-20 Dedembet H, 2017 Page 17 M0t1 No.:TB D $CAG ProjectlOWP'No.:TBD City Contract No. :TBD Exhibit C Invoice Report Format INVOICE 'Basil.Panas TBD, 2017 Chief Financial Officer Southern California Association of Governments 818 W. 7th Street, 12th Floor Los Angeles,'CA 90017 ;Invoice NSCAGOI MO.0 No. TBD City of Santa Ana- Santa Ana Envisioning Sustainability Together (Sustainability, Mobility and Healthy Community Policies) Please send check.to: CITY OF SANTA ANA 20 Civic Center Plaza (M-20) Santa Ana, CA, 92702 25M-21 $ 25M-22 AGREEMENT WITH MIG, INC. TO PROVIDE PLANNING AND TECHNICAL SERVICES FOR PREPARATION OF THE COMPREHENSIVE GENERAL PLAN UPDATE THIS AGREEMENT is made and entered into this 19TH day of December, 2017 by and between MIG; Inc.; a California 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. On July 6, 2017, the City issued Request for Proposal ("RFP") No. 17-082 seeking consultants to provide planning and technical services for the preparation of the City's comprehensive General Plan Update. B. Consultant was one of three consulting firms which submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide such services to the City including: RFP Item PS 1— Existing Land Use and Build -Out Analysis; RFP Item PS3 - Green and Complete Public Realm Approach and Methodologies; and RFP Item PS8 — Graphic Design and Web support services in furtherance of the General Plan Update. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete RFP Items PS1, PS3 and PS8 services described and set forth in Exhibit A, attached hereto and incorporated by reference. Consultant's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B — Budget for RFP Items PSI, PS3 and PS8. The total amount to be expended under this Agreement shall not exceed $238,500. Consultant has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total budget amount does not increase. EXHIBIT 2 Page 1 of 11 25M-23 `1 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. 3. TERM This Agreement shall commence on December 19, 2017 and continue for a two (2) year term with the option for the City to grant up to a one (1) year renewal, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 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. Page 2 of 11 25M-24 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 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. Page 3 of 11 25M-25 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. S. 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 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. 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. Page 4 of 11 25M-26 10. 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. 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. 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. Page 5 of 11 25M-27 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, 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. 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. 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 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. Page 6 of 11 25M-28 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 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. 20. 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. 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 25M-29 Page 7 of 11 With courtesy copies to: Executive Director, Planning and Building Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-647-5897 To Consultant: MIG, Inc. Attn: Rick Barrett, Principal 1111 6a Ave., Ste. 404 San Diego, CA 92101 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 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. [signature page to follow] Page 8 of 11 25M-30 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 Lisa Storck Assistant City Attorney FOR APPROVAL: CANDIDA NEAL Interim Executive Director Planning and Building Agency CITY OF SANTA ANA Raul Godinez R City Manager MIG, Inc.: By: Title: 25M-31 Page 9 of 11 EXHIBIT A SCOPE OF SERVICES — RFP Items PSI, PS3 and PS8 25M-32 Exhibit A Santa Ana General Plan Update Planning Studies Existing Land Use and Build -Out Analysis (PS1) Scope of Work The MIG Team's work program includes a series of major tasks and subtasks, with information from each step creating the foundation for the next task. We will perform the following tasks: TASK 1- PROJECT KICK-OFF AND COORDINATION Task 1.1 Project Initiation and City Tour The MIG Project Management Team will meet with Santa Ana's Project Team to kick off the project, identify communication protocols and review procedures, confirm the schedule and work plan tasks, and discuss communication strategies for the project, including coordination with other consultants assigned General Plan -related tasks. This meeting will be used to help define the initial planning area for base mapping and early visualization efforts. MIG will also provide an information request to City staff outlining the GIS and other data needs for the project. Following the meeting, we will tour Santa Ana with City staff to experience conditions in the field and understand your vision for implementing land use policy. City staff will be responsible for arranging a van for the tour and developing the tour route. Because MIG will be providing services related to corridor planning, graphic support, and document formatting support, our scope assumes that a single kick-off meeting will be held for our entire scope of services. Task 1.2 Project Management and City Coordination MIG will meet and teleconference with City staff at key points during the project to discuss progress, confirm upcoming milestones, and anticipate upcoming challenges. This task covers day-to-day project management tasks, including invoice review and preparation and contract administration for all services provided. Assuming a six-month work for the existing land use and build -out analysis tasks, the budget includes an allowance for this task. Any additional time required for project coordination of other program components beyond the allowance will be billed as provided in the master contract. Task 1 Deliverables and Meetings Kick -Off Meeting • Project Management Teleconferences and Team Meetings • Request for information letter(PDF) TASK 2 -BASE ANALYSIS AND EXISTING LAND USE INVENTORY Task 2.1 GIS Base Map MIG, in coordination with the City, will define and format base maps for use throughout the process. MIG will collect and review existing GIS data from the City, including citywide existing land use, General Plan land use designations, zoning, existing dwelling units per parcel, existing jobs or non-residential square footage per parcel, street centerlines, and, if available, building footprint and height attributes. We will provide recommendations for map layout in letter (8.5" x 11") and tabloid (11" x 17") sizes for use in the General Plan document. We understand the City has many GIS layers and various data available at the start of the project that will be provided to us. Task 2.2 Visualization Base Model MIG's visualization specialists will begin the groundwork for developing the initial stages of the existing physical environment for the study area. This preliminary work will be done at a high level for planning study purposes, with more details to be added during subsequent tasks. Using GIS data from Task 2.1, MIG will re-create the existing streetscapes, building forms and massing (including number of building stories), urban open spaces, public right -a -way, and other physical features of the built environment. MIG will provide City staff up to 10 view images showing the draft visualization base model work. Santa Ana General Plan Update Planning Studies Existing Land Use and Build -Out Analysis (PS1): Scope of Work.... 25M-33 Page 1 Task 2.3 Existing Land Use Inventory and Baseline Land Use Analysis In coordination with City staff, MIG will update the existing land use data within areas defined in the Santa Ana Envisioning Map. Prior to updating the GIS data, MIG will confirm with the City which existing land uses to refine as part of this task. Using existing land use databases provided by the City, including the Santa Ana Property Information Network (SAPIN), MIG will begin to refine the existing land uses on a parcel -by -parcel basis. MIG will work with staff on using the SAPIN building permit database. Refinement will include identifying and researching outdated assessor parcel numbers, verifying building square footage and residential units, and recategorizing datasets to allow for consistency between General Plan land use categories. If necessary, MIG will conduct limited land use survey using aerial imagery and Google Street View (Google Maps). One citywide draft existing land use map featuring up to eight subareas will be provided to City staff for review in PDF and ArcGIS Map Package format, with two rounds of edits. The existing land use data will also be provided in Excel format that can be used with the SAPIN database. If GIS data requires updating beyond the detailed land use survey, as discussed in the following tasks, it will be performed on a time -and -materials basis with prior written authorization from the City. Once the existing land use data have been confirmed by City staff, MIG will build the Baseline Land Use Analysis spreadsheet in Excel that establishes the existing conditions for housing units, population, non-residential square feet, and number of employees for each existing land use category to establish baseline land use conditions for planning and CEQA analysis purposes. We will coordinate with the City to establish appropriate factors for population and employment estimates. This will create the baseline spreadsheet that will be integrated into Task 3.4 (Draft Land Use Alternatives Build -Out Model). Task 2 Deliverables and Meetings GIS Base Map • Draft Base Model Images (10 images and PDF) • GIS Existing Land Use Map and associated tabular data (PDF and ArcGIS Map Package) • Baseline Land Use Analysis Estimates (Excel) TASK 3 -LAND USE BUILD -OUT ANALYSIS Task 3.1 Client Working Session N3 (Confirm Build -Out Assumptions/Methodology) To begin measuring the quantitative assessment of socioeconomic and environment factors, MIG will meet with City staff, and if necessary the Inter -Team (City staff, MIG, and other General Plan program consultants), to brainstorm land use alternatives for one -day charrette (Task 3.2) and confirm preliminary assumptions, formulas, and indicators for the land use alternatives. This work will inform Task 3.2. MIG will also outline the methodology that will form the framework for the Draft Land Use Alternatives Build -Out Model. Examples of assumptions include, but are not limited to, average residential densities, non-residential floor -area ratio (FAR), vacancy rates, household size, and employees per square foot of building area. MIG will prepare an agenda and other materials in advance of the meeting to support this discussion. The list of assumptions, formulas, and methodology will be summarized in a memorandum and revised based on one round of City comments. Task 3.2 City Staff One -Day Digital Land Use/Design Charrette (Land Use Alternatives and 3D Visualization) MIG proposes to conduct a one -day charrette with City staff. The first half of the day will involve a working session meeting with City staff on land use alternatives from Task 3.1. During the second half of the day, our 3-D specialist, Chase Mullen, will help visualize the land use alternatives. In the first charrette session, MIG will use ESRI ArcGIS to identify land use alternatives with the software running and displayed on a large screen. At key study areas, staff can adjust land uses applied to certain corridors. During the afternoon, and based on the information produced during the land use alternatives session, we will focus on creating a 3D visual environment for the study areas based on a refined set of alternatives. Prior to the charrette, MIG will build the existing conditions for potential change areas by drawing existing buildings and street layouts as defined in Task 2.2. MIG can illustrate and present various alternatives scenario in a 3D format. The 3D focus of the charrette provides staff a preview of what the physical environment can look like based on architectural design, massing, height, building style, setbacks, and open space features. Task 3.3 Land Use Envisioning Map — Draft Preferred Land Use Plan Alternative Based on City staff guidance from the alternatives analysis identified in Task 3.1 and Task 3.2, MIG will develop a Draft Preferred Land Use Plan Alternative. The maps will include one Land Use Envisioning Map and individual focus/corridor maps for further refinement with staff and the General Plan Advisory Group (GPAG). MIG will produce the maps and revise them based on two rounds of City and GPAG comments. Santa Ana General Plan Update Planning Studies Existing Land Use and Build -Out Analysis (PS1): Scope of Work ................. 25M-34 Page 2 Task 3.4 Land Use Alternatives Build -Out Model MIG will build a Land Use Alternatives Build -Out Model using Microsoft Excel that will integrate the existing baseline land use information, assumptions, and formulas for indicators and the quantitative results from the land use alternatives developed in the previous tasks. The custom Build -Out Model will identify all the assumptions for each land use category and for each alternative. The Build -Out Model will analyze two land use alternatives for the Land Use Visioningfocus and corridor areas. The Model will also summarize the results in a simple, easy -to -read summary page that can be exported into Microsoft Word or PowerPoint or PDF. Task 3.5 Client Working Session #2 (Review Alternatives and Draft Model) MIG will meet with City staff, and if necessary the Inter -Team, to review findings from the one -day land use and design charrette. The meeting will also be used to present the Draft Land Use Alternatives Build -Out Model. MIG will bring a laptop with a working version of the model and review the results project on a screen. MIG will prepare an agenda and materials in advance of the meeting to support this discussion. Task 3 Deliverables Client Working Session #1 (Assumptions/Methodology) Land Use Assumptions and Methodology Memorandum (PDF) • Land Use Alternatives Envision Maps) (PDF and ArcGIS Map Package) • Draft Land Use Alternatives Build -Out Model (Excel) • Client Working Session #2 (Review Draft Model) TASK 4— LAND USE SCENARIO VISUALIZATION Task 4.1 Draft Visualization Concepts After capturing the essence of each land use alternatives area through the charrette process and City staff working sessions, MIG will create a collection of graphics that illustrate the visual conditions proposed within each of the areas and alternatives. MIG will work with City staff to identify how best to illustrate the visual conditions and what combination of visualization tools and methods will best tell the story about the potential changes for each area and alternative, and how the changes will fit into the surrounding context. MIG has an array of visualization tools ranging from photo -realistic animations, photo simulations, interactive real-time virtual models, and conceptual artist renderings. We will stay flexible throughout the visual analysis process until as late as possible to help the team identify the right style(s) and process to communicate effectively. MIG has budgeted visualization for up to eight areas and up to two land use scenarios for each area. MIG will prepare up to 16 draft images of the selected visualization tools and revise them based on one round of City comments. Visualization will include building type and massing, street and public realm improvements, and transportation improvements. Draft virtual models will be provided to City staff using Sketch Up Viewer software. Task 4.2 Client Working Session #3 (Draft Visualization Results) MIG will present the draft visualization concepts from Task 4.1 (Draft Visualization Concepts) to City staff during a working session. The purpose of the meeting is to get feedback from City staff to move to the final visualization phase. MIG will prepare an agenda and materials in advance of the meeting to support this discussion. Task 4.3 Final Rendering and Photoshop Compositions With direction from City staff in Task 4.2, MIG will finalize the photo -realistic animations, photo simulations, interactive real-time virtual models, and conceptual artist renderings. MIG will prepare up to 16 final images of the selected visualization tools and revise them based on one round of City comments. Task 4.4 Integration with Urban Footprint (SCAG Scenario Planning Model) MIG will work with City staff to integrate the land use alternatives into the SCAG's Scenario Planning Model. MIG will develop a matrix that aligns the City proposed land use designations with SCAG's library of 35 Place Types. MIG will also assist with the assumptions transfer from the build out model to SCAG's model, as well as analyzing scenario results. We have budgeted a specific number of hours for this task, not knowing the extent to which City staff will want our assistance. If additional work is needed beyond the budgeted amount for this task, it will be performed on a time -and -materials basis with prior written authorization from the City. Santa Ana General Plan Update Planning Studies Existing Land Use and Build -Out Analysis (PSI): Scope of Work ................. 25M-35 Page 3 Task 4 Deliverables • Draft Visualization Concepts (16 images and PDF) Client/Inter-Team Working Session H3 (Draft Visualization Results) • Final Rendering and Photoshop Compositions (16 images and PDF) • Final Land Use Alternatives Build Out Model (Excel) Scenario Planning Model Matrix (Excel) Santa Ana General Plan Update Planning Studies Existing Land Use and Build -Out Analysis (PS1): Scope of Work 25M-36 Page 4 Santa Ana Green and Complete Public Realm (PS3) November 28, 2017 Scopes Following the scope of work as described in the Request for Proposals, MIG will perform the following tasks: Task 1 — MIG will identify two example documents of best practices for "green", sustainable, complete corridors, and amenitized public realm plans, for review by City staff. Based on City staff feedback MIG will summarize results and key components of the example public realm plans in brief 5 to 8 -page memorandum. The memorandum will also include 1-2 pages of best practices recommendations for funding of capital construction and operation/maintenance of a model public realm plan. Example documents will be selected for their specific applicability to Santa Ana. MIG anticipates one month for this phase including identification, review, and summary of resource documents, and preparation of best management practices for funding of capital construction and maintenance/maintenance of model public realm plan. Task 2 — Based on direction from City staff, MIG will utilize the example public realm document(s) to update the existing Metro East Public Realm Plan including the expansion of Metro East on 151 Street to Grand Avenue (per email Melanie McCann email November 16, 2017) or create a new Public Realm Plan for one selected Land Use Corridor. The other potential Land Use Corridors are as follows: • Seventeenth Street • Bristol Street • Main Street • Grand Avenue • Tustin Avenue • Santa Ana Boulevard • First Street • Redhill/Alto/Warner Avenue Harbor Boulevard MIG anticipates two months for completion of this task including one Draft Final version (approximately 30-35 pages) and a Final document (approximately 30 - 35 pages). The City of Santa Ana will provide one set of consolidated comments to the Draft Final document within two weeks of submittal to the City of Santa Ana. MIG will return the Final document within two weeks of return of consolidated comments from the City of Santa Ana. MIG Santa Ana Green and Complete Public Realm (PS -3) 1 25M-37 MIG will provide five hard copies of the Draft Final (Administrative Draft) and one copy of the Final document, plus a digital PDF version per the RFP. Task 3 — This task includes two options, based on direction from City staff. Option One — Utilized the example public realm plan to create a second Public Realm Plan for one of the Land Use Corridors identified in Task 2. Where efficient and feasible, portions of the second Public Realm Plan may be coordinated and prepared at the same as the First Public Realm Plan. The draft and final products shall be the same for the First Public Realm Plan and Second Public Realm plan per below: MIG anticipates two months for completion of this task including one Draft Final version (approximately 30-35 pages) and a Final document (approximately 30 - 35 pages). The City of Santa Ana will provide one set of consolidated comments to the Draft Final document within two weeks of submittal to the City of Santa Ana. MIG will return the Final document within two weeks of return of consolidated comments from the City of Santa Ana. MIG will provide five hard copies of the Draft Final (Administrative Draft) and one copy of the Final document, plus a digital PDF version per the RFP. Option Two - Building on literature search, MIG will create a Public Realm Plan Resource Guide and template to facilitate the creation of future public realm plans used by Santa Ana City staff. This will include but not limited to eco -friendly swales in parkways, a menu of corridor design features supporting walkability, biking, transit and non -motorized travel, as well as landscape and design solutions that promote active streets, a scenic corridor, and a sense of place. Specifically, the Resource Guide will include a menu of images and descriptions for hardscape design and materials, sidewalk pavement, streetscape furnishings applicable for various land use intensities, landscaping (California -friendly plant palette), lighting, LID best practices, wayfinding, bike parking, rest stops/benches, transit stop designs, the integration of art, and other amenities that encourage pedestrian safety and enhance the streetscape. MIG will primarily utilize the reference documents that have been recently authored by MIG for other municipalities, by creating new standards and guidelines that are specific to the City of Santa Ana. The Public Realm Plan Resource Guide and template will be primarily graphic with easy to read bullets and notations. It will include custom graphics created specifically for this MIG Santa Ana Green and Complete Public Realm (PS -3) 2 25M-38 Resource Guide, as well as select precedent imagery that is specific to Santa Ana streets. MIG anticipates two months for completion of this task including one Draft Final (20 to 25 pages) version and a Final document (20 to 25 pages). The City of Santa Ana will provide one set of consolidated comments to the Draft Final document within one week of submittal to the City of Santa Ana. MIG will provide five hard copies of the Draft Final (Administrative Draft) and one copy of the Final document, plus a digital PDF version per the RFP. The In Design native file will also be provided to the City for future edits and use. Approach and Methodologies MIG has reviewed the Metro East Public Realm Plan as well as other documents referenced in the RFP. The Metro East Public Realm Plan is an excellent document published in 2007. Although that may not seem too dated compared to other city and community plans, many changes have occurred in the planning and design of stormwater control, green streets, complete streets, and pedestrian amenities that necessitates a thorough update. MIG has authored many of public realm plan documents that will assist in Task 1. In addition, MIG landscape architects and civil engineers included in this proposal, particularly in our Seattle office, have led numerous green street projects for the City of Seattle, Pacific Northwest communities, and California communities. Many of these projects began as design guidelines and policy documents but more importantly, resulted in constructed projects. This full -circle approach has provided MIG landscape architects and civil engineers a complete and thorough understanding of what works and what doesn't, resulting in a robust understanding of lessons learned, which will be applied to the Santa Ana Green and Complete Public Realm project. In addition, MIG landscape architects and civil engineers are sought-after public speakers at a variety of conferences focused on green streets and complete streets around the country. It is important for Santa Ana to have industry leaders that stay ahead of the rapidly changing fields of green streets and complete streets. MIG practitioners are industry leaders. In addition, MIG has conducted a driving, walking, and photographic survey of the Metro East and other corridors being considered. There are significant opportunities for transformation of the corridors and streets being considered. Opportunities for modifications to the Metro East Public Realm Plan and other corridors include the following: STORMWATER CONTROL MIG Santa Ana Green and Complete Public Realm (PS -3) 3 25M-39 Management and control of stormwater in urban areas has seen significant change in a decade. Requirements for storm water control have become more restrictive and regulated, which thankfully has led to an overall improvement in the water quality of our water bodies. While requirements are imposed by the State of California, Santa Ana also has requirements. However, despite more regulations, there are also more opportunities for funding of stormwater improvements from Federal, State and Local sources. As an example of this, many cities are reducing excess hardscape including asphalt, for increased direct stormwater infiltration into soils. This not only improvements stormwater quality before it enters water bodies and aquifers, it also becomes opportunities for added landscaping and green streets. GREEN STREETS Like stormwater, the greening of urban streets is a rapidly changing field that can result in more attractive public realm and pedestrian environments, but can also strain city maintence and operations budgets if not done properly. The science and best practices of growing healthy trees in urban areas is a field that MIG practitioners are experts in. In addition, knowing which trees grow best in each type of urban environment is essential, as well undertesting the design objectives of each street, especially in Santa Ana. MIG landscape architects and civil engineers understand the real importance of subsurface growing conditioner and bring a thorough understanding of the nexus between tree health, soil, aeration and irrigation. MIG landscape architects and civil engineers also are experts in preparation of cost estimates and maintenance manuals for municipalities. This full -circle approach will be key to creating sustainable and cost- effective green streets in Santa Ana. MIG will work closely with the City of Santa Ana staff to identify opportunities and cost- effective recommendations for the greening of Santa Ana's streets. This includes but is not limited to expanding tree planting areas in sidewalks with additional parkway planting, creating bioswales within sidewalks and parkway areas, and removal of excessive areas of street asphalt and replacement with rain garden and infiltration basins. An understanding of subsurface soils and soil composition as evidenced through existing geotechnical reports will be also be an important factor. In addition, the creation of green streets within Santa Ana will be a great opportunity for education and will incorporate interpretive displays that can demonstrate the benefit of "going green". Parkway planting and bioswales can also feature design elements such as pollinator plants that are both beneficial to the environment but also become teachable moments for residents and school children. MOBILITY AND COMPLETE STREETS MIG Santa Ana Green and Complete Public Realm (PS -3) 4 25M-40 MIG has been leading the revolution in rethinking the design of American streets for over a decade. As demonstrated in the MIG created and curated website www.restreets.org, MIG has gone well beyond Complete Streets and has been designing and building streets that focus on sustainability, livability, and economics in addition to accommodating the traditional Complete Streets mobility modes. Like stormwater engineering and green streets design, MIG planners are national authorities in creating complete streets that accommodate all forms of mobility. MIG understands the trade-offs associated with design challenges such as reduction in lane widths to create buffered bike lanes, or increasing sidewalk widths and creation of bioswales. MIG's observation of the street designs within the Metro East Public Realm Amenity Plan and our driving and walking tours of this area, and other street corridors being considered, and initial review of other Santa Ana documents including the Complete Streets Plan and Bicycle Master Plan, suggests that there are ample opportunities for better accommodation of all modes of traffic. DESIGN AMENITIES As requested in the RFP, a public realm plan that identifies design solutions related to hardscape designs, art, landscape and trees, benches, street and pedestrian lighting, bike racks, and activating the street are a key. MIG will provide expertise and recommendation for a variety of design amenities for the public realm plans to be developed. Special Suggestions/Concerns MIG does not anticipate or have any special suggestions or concerns other than those outlined in the above approach, which are typical for any complete streets and urban greening project. MIG Santa Ana Green and Complete Public Realm (PS -3) 5 25M-41 2. APPROACH (PS8) Approach and Methodology MIG's approach leverages our staffs extensive experience providing graphic design, document editing and web technology services to planning agencies for community engagement, public education and document and website production. As planners, designers, communication specialists and web engineers, the MIG Team possesses the breadth of professional skills required to support your planning team's graphic design and document production needs throughout the General Plan Update process. Our approach anticipates the completion of three major deliverables: 1. Ongoing graphic and web design support providing visually interesting content to promote community engagement and understanding of the General Plan Update; 2. An elegant and technically robust printed General Plan document; and, 3. An interactive, searchable and mobile -optimized web -based General Plan website. Cupertino General Plan The MIG Team fully understands the third deliverable is not a requirement of this RFP. However, we are including this deliverable in our proposal because it is a valuable and extremely cost-effective result of our innovative document production methodology and tools. Specifically, our approach includes the use of ingenious new software, called TangerineTm, that enables planning agencies to easily, automatically and cost-effectively convert complex and long print documents to searchable interactive websites. The use of the TangerineT software solves a problem that cities, counties and planning agencies have faced for years— how to convert print documents into interactive web documents simply and affordably. TangerineT does this by using the same Adobe InDesign or Microsoft Word document template created to produce an elegant complex print document and automatically converts it into a mobile -optimized, searchable and interactive website in just minutes. Tangerine T"' is new open source software that was just awarded the American Planning Association (APA) j Technology Division's 2017 Smart Cities Award. (For jI more information on the TangerineT software, please go to www.tangerinedocuments.com) 0 CITY OF SANTA ANA I Comprehensive General Plan Update and Envisioning Sustainability Together 25M-42 o— c -r-- 0 CITY OF SANTA ANA I Comprehensive General Plan Update and Envisioning Sustainability Together 25M-42 Activity Centers: Central Business District (Downtown) r - - wmsnkxnam�wrem.a mama CENTRAL BUSINESS oisrem momrovutcuioeu. ormceuamr dva,el,mrmma.,b,e�.a1x a.0 ktlem@ aSnHlab4baGvelmvny. I Filabg6 RWlnfLealSmo SEe•ea:Canamniktlem��'Xleab Past. ativNgd.mmeamexaia•� i® �d>•%l�tiev"Imtrinlmali�u,mt�nad afC3�Ynedt mlore wlmB. Re amnmre taau�amnm a,vsryapnadrsanwm�pampvu.¢. er..a+sacman�euea�o..m vmmm. ¢ols ee®ctsao mw�+hvn•oaraoo.�m.�-ma�imi x—mlklIDls_t2� lleUT' ak MiBNn.daaY.m4ve � »aiwoan sm.+.drb •�aab Momks ua+w�era ds.a,a�aa�cn.�aa nmgom uaum�r.Kmo ma¢mmmearempm �.d �� I.smmma mTamamasas am.aa:m�aoa Me4m 1'mm4e P9mm ad fm]`m`R HeaElmemdfVlcNMStm A"2960 Tffi•ea1:MVMt�akdasbne�ytle ® p—y�/aex N.O s'V�MI'mK MCm re'4bm4m yr —k Dl ad�`Ytl a>lrl4lUvgbPblb[m,dnON*aaaN areke.aw IWR I ��i• ) • I I�asx I Naw�a.nam.mumrm I+Ir i'— {�—,^�]7Jy f/ rmo® Moreover, the use of Tangerine'"' in our approach enables the MIG Team to offer the City of Santa Ana an elegant and technically robust printed General Plan document and a personalized, ADA compliant, fully searchable and mobile -optimized website at an exceptionally cost-effective cost. Detailed Work Plan This detailed work plan includes the following assumptions: The General Plan Draft text will be written by the City of Santa Ana staff and provided to MIG for editing as a Microsoft Word document. All General Plan photos and graphics will be provided by the City in the highest resolution available and in native format. The MIG Team will provide diagram enhancements (e.g. enhancements to process diagrams, charts and graphs) and photo correct or enhance photos as needed to ensure they are consistent with the General Plan style guide created by the MIG Team. • The City will prepare all maps and MIG will stylize the maps following the guidelines established in the General Plan style guide. • MIG will either host and support the City's new web -based General Plan on its enterprise -class Amazon Web Services (AWS) cloud infrastructure or help the City contract with another hosting provider. SA Tomorrow Comprehensive Plan TASK 1: CREATE THE GENERAL PLAN STYLE GUIDE The MIG Team will create a City of Santa Ana General Plan style guide that illustrates the typography, colors and graphic styles for maps, charts, diagrams, photos and text that will appear in the General Plan. The style guide will apply to both print and web versions of the General Plan, calling out differences whenever appropriate. This task includes the creation of two distinct style guides for the City to review. The City will select one of the style guides and MIG will perform one round of edits to the selected style guide based on City comments. Completion of a City -approved style guide provides the final design direction for all graphic elements contained in the General Plan document. TASK 2: DEVELOP THE GENERAL PLAN DOCUMENT LAYOUT AND CONTENT ARCHITECTURE The MIG Team will review relevant General Plan documents with City of Santa Ana staff. Based on City feedback and comments on these documents, the MIG Team will produce a draft layout for review that contains City of Santa Ana sample content and accurately depicts the content architecture for the General Plan. The MIG Team will perform one round of refinements to the draft layout and content architecture based on City comments and direction. 25M-43 PS8 Graphic Design and Support �- Ir -- i T�- SA Tomorrow Comprehensive Plan TASK 1: CREATE THE GENERAL PLAN STYLE GUIDE The MIG Team will create a City of Santa Ana General Plan style guide that illustrates the typography, colors and graphic styles for maps, charts, diagrams, photos and text that will appear in the General Plan. The style guide will apply to both print and web versions of the General Plan, calling out differences whenever appropriate. This task includes the creation of two distinct style guides for the City to review. The City will select one of the style guides and MIG will perform one round of edits to the selected style guide based on City comments. Completion of a City -approved style guide provides the final design direction for all graphic elements contained in the General Plan document. TASK 2: DEVELOP THE GENERAL PLAN DOCUMENT LAYOUT AND CONTENT ARCHITECTURE The MIG Team will review relevant General Plan documents with City of Santa Ana staff. Based on City feedback and comments on these documents, the MIG Team will produce a draft layout for review that contains City of Santa Ana sample content and accurately depicts the content architecture for the General Plan. The MIG Team will perform one round of refinements to the draft layout and content architecture based on City comments and direction. 25M-43 PS8 Graphic Design and Support Completion of a City -approved document layout and content architecture establishes the foundation from which the MIG Team can create the Microsoft Word or Adobe InDesign document framework required for staff to use for writing and editing of the Administrative Draft General Plan. TASK 3: CREATE INDESIGN OR MICROSOFT WORD DOCUMENT FRAMEWORK Depending on City staff expertise and software availability, MIG will build the document framework for the General Plan using the City's choice of either Adobe InDesign or Microsoft Word. Using the MIG -created document framework when you start writing the General Plan ensures that draft versions of the General Plan adhere to the approved style guide and document layout from the beginning. TASK 4: GRAPHIC SUPPORT AND PRODUCTION MIG will support City staff as needed to ensure that all graphics (diagrams, photos, charts and maps, etc.) adhere to the approved style guide. This support will include providing City staff with design samples and specifications as well as direct graphic manipulation and graphic production work. As part of this task, MIG will recommend compelling graphics for the web -based General Plan and create web -ready versions of these graphics. In addition, MIG will provide graphic support to illustrate unique urban design considerations. TASK 5: DOCUMENT SUPPORT AND PRODUCTION MIG will support the City during the development of the draft document by providing professional and experienced General Plan planning staff to review and edit the draft document. In the budget we provide an allowance for this task. MIG will provide five printed Administrative Drafts and a printed Final Draft. MIG will provide the City with an editable file of all final public drafts and final public planning reports in either Microsoft Word or Adobe InDesign formats and editable PDF format. North Tryon Vision and Implementation Plan 0 CITY OF SANTA ANA 1 Comprehensive General Plan Update and Envisioning Sustainability Together 25M-44 North Tryon Vision and Implementation Plan TASK b: CONFIGURE AND CUSTOMIZE TANGERINETra MIG will setup and customize the TangerineTM software for single click website creation using the InDesign or MS Word template. This task includes an Alpha release of the website upon 25% completion of the content loading and a Beta release upon 50% completion of the content loading. This task also includes development of any auxiliary website pages such as the home page or other landing pages not part of the InDesign template. Once the General Plan is approved for public review, MIG will make the web -based General Plan version publicly accessible. TASK 7: ANNUAL WEBSITE SUPPORT AND HOSTING (1 YEAR) MIG will provide the City of Santa Ana with support and hosting of its new web -based General Plan for one year. If after the initial year, the City chooses to continue using the TangeriWm SaaS platform for the ePlan, MIG offers competitive, high-quality annual and multi-year support options tailored for public agencies. %QurtA2040 iWELCWT-16 1 � Creating a Shared Vision for the Future of Our City -"piY�.etlna46aertlNC.bra —'Ilr 'rl H 2070 H Geal a Xutoric Districts and Rawurces Website Examples: OurI A2040 General Plan Outreach Portal, Hayward 2040 ePlan and SA Tomorrow 25M-45 PS8 Graphic Design and Support r' Website Examples: OurI A2040 General Plan Outreach Portal, Hayward 2040 ePlan and SA Tomorrow 25M-45 PS8 Graphic Design and Support W u O aye ....:........................................................................................................................._... I U I W� o� 02 25M-46 n L� 19 dll� IiI , 1 IVa ............................. ® Jam€ .........:_., I gni i I J I iI I I O 1 � all i M `z �rvl I� i� 1 , n L� EXHIBIT B BUDGET - RFP Items PSI, PS3 and PS8 Page 11 of 11 25M-47 2 \ \ \ 25M-48 - -- . .I :__a •-••:• ••:�\-�- !,§,\} . - °__ !-}| •;!E!! ";`-%1 1 4:� ! •:K E_ - '{§ 52 E 25M-48 2 25M- § }Z4 : l,,•! !!!§! I _} � st all- ..._ ,.:.;g ..'R ; {( _ 49;- \//- .;| /)\ 25M- § 3, FEE SCHEDULE (PS8) Fee Proposal The MIG Team has provided our estimated cost by task and a total project cost to complete the Detailed Work Plan proposed on the following page. OPTIONAL TASKS With regard to Optional Tasks described in the Detailed Work Plan, the associated costs would vary depending upon the level of effort requested by City Staff. In the Fee Proposal we provide estimated costs for each optional task. We would discuss the costs with you prior to scope refinement. HOURLY RATES Professional time is billed according to the hourly rates as presented in the Fee Proposal table. The proposed hours and associated professional time costs for MIG team members are provided in the table. DIRECT COSTS Direct costs or project expenses such as photocopying (large -quantity), plotting and printing (Aw, color) are charged at cost, plus 10%. The cost of communications including postage, courier and other delivery costs are charged at cost, plus 10%. The mileage charge for personal autos will be the currently applicable mileage rate established by the Internal Revenue Service. All other travel expenses such as accommodations, parking, tolls, etc. are charged at cost plus 10%. Should we be selected, MIG will review each assignment's objectives carefully with City staff and tailor our scope and cost to best meet the needs and resources of the City of Santa Ana. 25M-50 PS8 Graphic Design and Support 25M-51 ry $ $1';' y H ti N O y re ro T M T a n Y b v p e n n N N O b CT O O O N $ 00 1 O ry i O 1 O N C N m m d 3 m i 5 A I u 6 i v cm o 5.. d v nl `m m o n 9 m E� p c U p U l7 O U Qc � s 25M-51 25M-52 AGREEMENT WITH AECOM TO PROVIDE PLANNING AND TECHNICAL SERVICES FOR PREPARATION OF THE COMPREHENSIVE GENERAL PLAN UPDATE THIS AGREEMENT is made and entered into this 19TH day of December, 2017 by and between AECOM, a Delaware 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. On July 6, 2017, the City issued Request for Proposal ("RFP") No. 17-082 seeking consultants to provide planning and technical services for the preparation of the City's comprehensive General Plan Update. B. Consultant was one of three consulting firms which submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide such services to the City and provide market and fiscal analysis services in furtherance of the General Plan Update. 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. Consultant's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B — Budget. The total amount to be expended under this Agreement shall not exceed $69,069.30. Consultant has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total budget amount does not increase. 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. EXHIBIT 3 Page 1 of 10 25M-53 Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on December 19, 2017 and continue for a two (2) year term with the option for the City to grant up to a one (1) year renewal, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 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 Page 2 of 10 25M-54 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 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certifrcates.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. Page 3 of 10 25M-55 iv. Consultant shall supply City with a fully executed additional insured endorsement. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 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 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. 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. 10. 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 Page 4 of 10 25M-56 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. 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. 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. 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 Page 5 of 10 25M-57 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. 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. TERNIINATION 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 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. Page 6 of 10 25M-58 19. 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. 20. 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. 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: Executive Director, Planning Sonia R. Carvalho and Building Agency City Attorney City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-21) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax: 714-647-5897 Fax: 714-647-6515 Page 7 of 10 25M-59 To Consultant: AECOM Attn: Ryan Wiggins, Principal Agent 410 West A. Street, Ste. 1200 San Diego, CA 92101 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. 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: �� I- Lisa Storck V Assistant City Attorney RECOMMENDED FOR APPROVAL: CANDIDA NEAL Interim Executive Director Planning and Building Agency CITY OF SANTA ANA Raul Godinez II City Manager AECOM: By: Title: 25M-60 Page 8 of 10 EXHIBIT A SCOPE OF SERVICES 25M-61 AECOM Exhibit A: Santa Ana Market and Fiscal Analysis Scope of Services, Methodologies, and Work Products Task 1.0: Kick -Off Meeting and Project Initiation We have included an initial meeting between City and AECOM staff to refine the work plan and outline and discuss and clarify key issues, variables, and project objectives and goals. The AECOM team will then provide a detailed work plan and schedule to the City. This initial meeting along with the deliverables will serve to enhance cooperation and expectations throughout the project to achieve efficiency, cost- effectiveness, and high-quality deliverables. Due to a number of recently completed City documents such as the Santa Ana Economic Development Strategy in 2016 and the Consolidated Plan, a significant amount of the basic market information and economic development programs have been documented in just the last few years. As such, the initial phases of this work will include a review and validation of the background data for these documents as well as identify any gaps or additional research that must be done. The scope and budget assumes that much of this background data will be readily available, in a usable format, and that would only need to be updated with more recent data. We anticipate the bulk of the work will involve estimating future land use demand based off of forward looking demographic and market trends and then applying these tests to the viability of the Land Use Visioning Map, the identification of innovative land use mixes, and fiscal analysis of selected Preferred Land Use Alternatives. Deliverables: • Refined Project Workplan • Refined Project Schedule • One (1) Project Kick -Off Meeting Attended by Two (2) AECOM Team Members Task 2 — Existing Conditions Analysis Task 2.1 Demographic Profile The market analysis will include documentation of various socioeconomic and demographic trends based primarily on data from the most current Census, American Community Survey, SCAG, and other 25M-62 AECOM similar sources as necessary. Where data from multiple sources is necessary AECOM will evaluate data methodology to ensure consistency between sources. Population and demographic trends will include growth and characteristics such as age distribution, gender, languages spoken, ethnicity, and education levels. Household trends will include growth and characteristics such as income distribution and sources of income, renter vs. owner tenure, household size and occupied unit distribution, and households by age of householder. A thorough documentation of Santa Ana's existing demographics and potential long-term trends is especially important forthe overall market analysis given its unique characteristics. The demographic profile will be compared to Orange County as a whole, and neighboring cities. This analysis is expected to demonstrate a continuation of long-term trends in Santa Ana that include high population density, a large average household size, and per capita and household incomes that are on average lower than the county and neighboring cities An important consideration is the distribution of household income by income category. It's not unusual to see a market that has low average incomes overall, but not realize that average incomes are low because the market analyzed has a high percentage of lower income households and low percentage of high income households, not recognizing that the market may have a comparable and growing share of moderate income households. Many credit retailers only look at the averages, not the distributions when looking at markets. It's been our experience that some markets with low averages actually have a healthy middle income population that in aggregate provides significant buying power, but is under- served. This creates opportunities for commercial economic development. Task 2.2 Employment Profile Employment profiles related to the workforce will be documented in the population profile above, with the addition of wage distribution, unemployment, and sources of income for the workforce living in Santa Ana and surrounding communities. Destination/Origin data will be reviewed to evaluate the geographic distribution of the workforce working within Santa Ana, and the workforce living within Santa Ana and their commuting patterns. Documentation of employment within Santa Ana using U.S. Census Bureau data augmented with SCAG data will be completed and compared to Orange County as a whole, and neighboring cities: • Employment in place • Employment by firm size categories • Growth in firms by size categories • Trend data to the extent it is available • Major employers 25M-63 AECOM The Santa Ana employment and industry profile will be compared to the region and the nation as a whole. A location quotient and shift -share analysis of industry will be prepared. The export orientation of selected industries will be described using data sources as the Orange County Community Investments Division industry cluster analyses. Average wage of clusters by category will be documented. Existing jobs/housing balance will be compared to the county as a whole and nearby cities. Task 2.3 Market Trends Retail, Office, and Industrial AECOM will document and analyze retail, office, and industrial trends overtime including the rental/lease rates (NNN), vacancy rates, and absorption and the competitive environment, augmented by identified planned and proposed projects using the best available data from sources such as Costar, brokerage houses, and others. Characteristics of the market will be evaluated including different categories, size and sales. Again, we will validate recent market research which will likely reveal the continuation of recent trends rates in Santa Ana as compared to Orange County and neighboring cities. For the retail sector we will estimate existing and future Santa Ana income levels and average amount spent per household to estimate the total resident buying power and the amount of retail leakage that is occurring in Santa Ana as well as potential for additional retail attraction to the market. Factors such as the growth in Internet sales will be taken into account based on national trends and accounted for in the assessment of leakage and potential retail attraction. Comparisons to neighboring cities will be made. We will add factors for worker purchases and visitor -related purchases to estimate aggregate buying power potential. Based on market share assumptions given the existing and anticipated competitive environment, we will estimate captured sales in Santa Ana by major retail category and translate these sales into supportable space and land area given sales/square foot factors, stabilized occupancy rates, and FAR assumptions. We will conduct sensitivity analysis of key variables to estimate supportable space under up to three scenarios. Again utilizing data from sources such as Costar and others, industrial and office trends of the Santa Ana area will be documented and analyzed. This will include a more detailed evaluation of the key industrial and office employers by sector. As necessary additional data will be drawn from the Census, Bureau of Labor Statistics, and similar sources if it is necessaryto augment existing city background data from previous documents such as the aforementioned Santa Ana Economic Development Strategic Plan. Vacancy rates and asking rent per square foot for industrial and office space will be documented by location and by type based on secondary data sources for the Santa Ana market as a whole and the opportunity areas. Net absorption will also be documented for Santa Ana and the same opportunity areas. Potential market demand will be based on historical absorption trends and projected employment in those sectors that generate demand for industrial and office space for Santa Ana, compared to the 25M-64 AECOM county as a whole, and neighboring cities and also for the opportunity areas as compared to similar areas in the region. Potential industrial and office employment will be translated into demand for occupied space and land area at employment density and FAR factors. Major anticipated changes in the market that could result in significant changes in historical trends, positively or negatively, will be identified. One of the key questions to address for each of these three sectors is the extent to which market rents support new construction costs, and, if not, how much would they have to increase in real terms to support new construction. Housing Market Trends The existing housing stock will be documented to include age, type, and current market costs for ownership and rental housing based on the most recent data available from secondary data sources. Costs will include an evaluation of long-term trends in terms of housing value and absorption utilizing information from secondary data sources. Estimates of future housing costs will be projected using long- term residential property appreciation assumptions. AECOM will estimate the minimum income required to afford current and potential future housing based on current standards for rental and ownership costs as a percentage of income. This will then be compared to estimated household income growth and distribution. AECOM will estimate future demand and absorption for housing units based on projected regional population and employment growth, household formation assumptions by age of householder, and size categories, and the portion that could reasonably be expected to accrue to the Santa Ana market. SCAG projections for the county and Santa Ana will augment Census and American Community Survey data where necessary. Various market share assumptions for the Santa Ana market will be applied to test different scenarios for residential, retail, office and industrial growth in the overall market. Residential absorption rates will also be applied to the Land Use Envisioning Map potential residential transition areas to estimate how much of future residential multifamily demand absorbed in those areas at different price points overtime and at the currently identified densities. We also propose two stakeholder group meetings to supplement the analysis. These meetings would include a range of stakeholders from the different sectors as well as neighborhood and community stakeholders that can share challenges of the current housing market. Deliverables: • Two (2) stakeholder group meetings • Draft Existing Conditions Report • Final Existing Conditions Report • 1 Presentation of Existing Conditions Report attended by two AECOM members 25M-65 AECOM • Ongoing Coordination with City (email, phone, etc.) Task 3.0 Feasibility Analysis AECOM will conduct an analysis of the economic feasibility of the baseline opportunity areas by land uses as identified in the Envisioning Land Use Map at buildout. While these are not approved land uses it will be important to provide an estimated rough sale and rental cost per unit of residential, office, and retail development to gauge whether the market can support expected rental prices per absorption projections and whether residual land values can support development. High, medium, and low development buildout densities will be evaluated to gauge reasonability. AECOM will confer with City staff to identify these densities. Once this baseline has been established our team will evaluate up to three alternative configurations that include appropriate land use mixes to gauge whether they are consistent with reasonable market absorption estimates and are economically feasible. While not called out specifically in the scope we anticipate that coordination between this task and Ps 1 will be necessary in terms of outlining what types of land use configurations are economically feasible according to this market analysis. Deliverables: • Draft Market Feasibility Analysis • Final Market Feasibility Analysis • 1 Presentation of Market Feasibility Analysis • Ongoing Coordination with City (email, phone, etc.) Task 4.0 Fiscal Analysis AECOM will prepare a fiscal model for up to three (3) scenarios based on the analysis of current and projected fiscal conditions. The focus of the analysis will be on the General Fund revenues and costs, but may include other funds based on discussion with City staff. Working closely with the project team, the land uses for the scenarios will be assembled into a data base for fiscal analysis, including: acres, square feet and valuation of non-residential development; housing units by value and type, persons per household and household income; and infrastructure assumptions about public works, public buildings, parks, recreation facilities, open space, fire stations and other public facilities. Public revenue and cost fiscal factors will be developed through a current budget analysis and interviews with key departmental staff based on the City's current levels of service standards. Cost factors will be established at the departmental level. 25M-66 AECOM The demographic and market study will inform the development of the fiscal impact model. The net fiscal impacts of the opportunity corridors will be reported as a part of the overall scenario fiscal impacts and as separate line items to illustrate the fiscal impact of different development intensities and configurations. In consultation with City staff and drawing from the proposed development plan, AECOM will create fiscal assumptions that will be integrated into the fiscal model for evaluating the preferred General Plan and up to two of the proposed alternatives. AECOM will estimate these existing and potential revenue sources for General Plan land use alternatives and will compare them to projected costs to estimate net fiscal impacts associated with General Plan alternatives. In this Subtask we will also identify potential sources of capital financing to implement the General Plan's infrastructure and public facilities, including potential development impact fees, assessments, and special taxes; EIFD tax increment; grants and loans; new financing legislation being considered in the state legislature; and existing and potential federal, state, regional, and county funding sources. As an optional task, we can project potential capital financing revenue compared to costs for additional budget. These projections would be for planning purposes only, and not for public financing instruments without additional due diligence. It is important to note that AECOM has also submitted a proposal for PS1. AECOM's land use modeling tools can be tailored to provide fiscal analysis as well. If AECOM is selected for both issue areas we can prepare a scope that would include integration of this task into that model. Deliverables: • Draft Fiscal Models for up to Three (3) Selected Scenarios • Final Fiscal Models for up to Three (3) Selected Scenarios • One (1) Presentation of Fiscal Models Attended by Two (2) AECOM Team Members • Ongoing Coordination with City (email, phone, etc.) 25M-67 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable Page 10 of 10 25M-68 AECOM Exhibit B: Budget & Fee Schedule: 25M-69 1%tl S1c5 4fa fn Su Sw n Li,YLXIeYaq mwan u,q he eFM1htlen Yn E Lee6imSn iuYibl,p [entlkbn.Rnt h LldivO,Ihe PeO. 3 ]< V SCNo Hv 5 5. 1e 5¢m Sa Ss. SV 5¢.m Ah9 Fw1611 Mtl h MaNrh i 515}ID 51V 51139 10 Sva Ls.1m TnYA flwl6n NM.I h fYall:ryatPnryW W $21;BIj SW $Z1}81 $II,16 fW $]LxeS [entln n fv 4 SV,aw 514ow fuuo pos Svua SV SWrs NLns susuo w.m 25M-69 25M-70 AGREEMENT WITH PLACEWORKS, INC. TO PROVIDE PLANNING AND TECHNICAL SERVICES FOR PREPARATION OF THE COMPREHENSIVE GENERAL PLAN UPDATE THIS AGREEMENT is made and entered into this 191 day of December, 2017 by and between PlaceWorks; Inc:, a California 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. On July 6, 2017, the City issued Request for Proposal ("RFP") No. 17-082 seeking consultants to provide planning and technical services for the preparation of the City's comprehensive General Plan Update. B. Consultant was one of three consulting firms which submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide such services to the City and provide community outreach materials in furtherance of the General Plan Update. 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 during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. Consultant's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B - Budget. The total amount to be expended under this Agreement shall not exceed $48,000. Consultant has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. 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. EXHIBIT 4 Page 1 of 10 25M-71 Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on December 19, 2017 and continue for a two (2) year term with the option for the City to grant up to a one (1) year renewal, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 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 Page 2 of 10 25M-72 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 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be famished 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. Page 3 of 10 25M-73 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 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 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. S. 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 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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. 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. 10. 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 Page 4 of 10 25M-74 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. 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. 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. 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 Page 5 of 10 25M-75 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. 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. TERNIINATION 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 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. Page 6 of 10 25M-76 19. 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. 20. NUSCELLANEOUS 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. 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: Executive Director, Planning Sonia R. Carvalho and Building Agency City Attorney City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-21) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax: 714-647-5897 Fax: 714- 647-6515 Page 7 of 10 25M-77 To Consultant: PlaceWorks, Inc. Attn: Wendy Nowak, Assoc. Principal 3 MacArthur Place, Ste. 1100 Santa Ana, CA 92707 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. 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:� /O Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: CANDIDA NEAL Interim Executive Director Planning and Building Agency CITY OF SANTA ANA Raul Godinez II City Manager PLACEWORKS, INC.: By. Title: 25M-78 Page 8 of 10 SCOPE OF SERVICES 25M-79 Exhibit A - Placeworks PS5. Community Engagement Name, Title, Office, Contact Info Role(s)/Level of Commitment Experience/Responsibilities Summary JEN CHUNG Graphic Design Designs at multiple scales—from smaller, site -scale residential designs Associate Designer 60% to regional -scale design guidelines and vision plans. Projects reflect Santa Ana I x2383 various degrees of complexity. Expert at making strong visual impact jchung@placeworks.com that conveys information clearly while being aesthetically pleasing. 3.Scope of Services, Methodologies, Work Products, Schedule, and Fees SCOPE, METHODOLOGY, AND WORK PRODUCTS METHODOLOGY Public outreach efforts conducted for general plan updates can range from minimal to extravagant. The key is to strike the right balance for Santa Ana so that outreach is effective but not excessive. The following program is recommended based on our experience with outreach in other jurisdictions. Although the nature and tools of public outreach may vary, the broad objectives and measures of success for conducting outreach for a general plan update remain largely the same: • Set and manage expectations for process • Create sense of trust; transparent, open process • Maximize participation through multiple engagement means (in person and online) • Avoid/minimize bullying; make everyone feel that their input is welcome • Demonstrate that the City is listening • Educate the public on the City's history, socioeconomic and market trends, and fiscal health • Obtain input on the areas of desired change • Generate consensus while reducing concerns • Build capacity for future public outreach and education • Engage key stakeholders to perpetuate strategic involvement • Engage those who are typically silent by allowing for a variety of in-person or online input opportunities • Identify and clarify the rationale for decisions • Raise the profile of the General Plan Update and establish a greater connection to current planning issues Creation of a public engagement program that is inclusive, educational, and results oriented will be instrumental to the success of the General Plan Update effort. Based on our experience, the traditional approach to civic engagement is changing, and the roles of the public and government are reversing. Residents increasingly expect their governments to reach out to them, provide information, and solicit their input on important issues. By pairing in-person outreach workshops and meetings with online engagement tools, local governments can distribute information and gather input more effectively and across a broader spectrum of participants. PlaceWorks will bring its knowledge of the City (existing General Plan and community issues) and public participation to this effort to provide overall direction on outreach and to advise the City on engagement strategies and tactics. There are several different outreach tools the City can use to engage the public, including print material, surveys, online engagement, stakeholder interviews, and a General Plan Advisory Group (GPAG). Each one has its own advantages and disadvantages, and we are open to refining the outreach program to best suit your needs. Our scope proposes creation of a Community Outreach and Engagement Plan coupled with the crafting of meaningful content and messaging throughout various stages of the process to help guide the project through the public process and ensure that the public feels they have been RFP 17-082: GENERAL PLAN UPDATE AND SUSTAINABILITY– PS5: COMMUNITY ENGAGEMENT I PLACEWORKS 5 25M-80 PS5. Community Engagement adequately consulted and considered in decisions that will ultimately shape land use changes in their neighborhoods and corridors. SCOPE OF SERVICES TASK 1. PEER REVIEW OF COMMUNITY ENGAGEMENT PLAN We understand that the City will be facilitating all community outreach meetings and that our role will be to provide materials to support that effort. We will collaborate with staff to make suggestions about the outreach materials that could garner the largest response or solicit feedback; they will likely be very different between groups such as the Neighborhood Wards, GPAC, and City Council. It is also a priority of the City to identify ways to engage underserved or underrepresented groups in the City so that the proposed General Plan changes are truly reflective of community sentiment and the materials produced will respond to that approach. PlaceWorks will provide a high-level peer review of the City's Community Engagement Plan that serves as an outreach manual to communicate with the public during key milestones of the General Plan process. Peer review of the Community Engagement Plan will enable the City and consultant team to make decisions about and fine-tune the public involvement process and materials to be generated at various milestones in the process. Review of the Community Engagement Plan and subsequent discussions with staff will: • Identify relationship between the public engagement efforts requiring support materials and the General Plan Update planning tasks. • Provide feedback on the stakeholders that should be included when gathering input for the effort, including advisory groups (GPAG, Com -Link), special interest groups (Neighborhood Wards), and other community organizations and ambassadors that could be consulted during the process for input or to help get the word out about meetings/workshops. • Identify what the City needs assistance preparing (e.g., meeting notices, flyers, fact sheets, agendas, announcements/notices, memorandums, FAQs, maps and posters, project website information) and who will be responsible for generating content, printing, and distribution • Establish protocols for who is responsible for preparing specific products (e.g., final review and approval of deliverables, meeting materials, digital communications, social media posts, website content, printing, press release preparation and distribution, etc.). • Confirm communication and meeting format techniques (open house, pop -ups, town halls, etc.) associated with key milestones and branding or messaging requirements to ensure products produced are consistent with established City protocols. Since community engagement is an ongoing effort throughout all stages of the General Plan process, it will be important to integrate key deliverables and milestones with the other PS tasks the City is undertaking concurrently. Review of the Community Engagement Plan will clearly identify timeframes and key decision points where it will be essential for PlaceWorks to develop the materials that will be needed for various outreach efforts to maximize participation and transparency and to gain the feedback of the community. Deliverables: — Peer review of Community Engagement Plan (digital memorandum) — In-person meeting (or conference call) to review Plan and clarify refinements TASK 2. CREATING CONTENT: OUTREACH MEETING MATERIALS There are numerous types of meeting materials requiring review and approval by the City prior to sharing at an outreach event— e.g., posters, maps, PowerPoint presentations, surveys, social media posts, email notifications, and handouts. Per the RFP, the consultant, in coordination with the City, will create community outreach materials that will be distributed to local business groups, religious organizations, residents, local schools, etc. PlaceWorks will prepare draft text that can be used for digital notifications, and the City will post information about workshops and applicable information on the City website and social media. 6 CITY OF SANTA ANA I RFP 17-082: GENERAL PLAN UPDATE AND SUSTAINABILITY— FSS: COMMUNITY ENGAGEMENT 25M-81 PSS. Community Engagement In this task, PlaceWorks will support the City in preparing materials for workshops and community events and getting the word out about the General Plan Update effort. Materials generated as part of this task can include a General Plan 101 brochure, meeting notices, General Plan summary sheets, and other materials that can be used to communicate key ideas related to the plan. This task can integrate graphics produced through other PS tasks, including simulations; illustratives; and/or massing scale, infrastructure, public realm, and transportation improvement diagrams of existing and future uses in the eight Land Use Scenario Corridors, as appropriate to convey an idea or message. The specific number and type of materials and products to be prepared (other than those specifically noted below) will be determined during the preparation of the Review of the Community Engagement Plan in Task 1. It is anticipated that the supporting materials will be prepared for events such as Neighborhood Ward workshops, pop -ups at community events, city boards and commissions, and Santa Ana ComLink. The hope is that the materials prepared over the duration of the update process can be used during discussions with the various groups and events. It is assumed that the preparation of land use maps or alternatives will be produced and budgeted separately. (This task does not include preparation of or printing casts for large scale maps.) PlaceWorks will work with the City to identify materials that require translation into multiple languages. PlaceWorks has the in- house capability to translate materials into Spanish and would look to the City to assist with materials prepared in Vietnamese. (We used this same approach with the City of Westminster and the materials that were prepared for their recent General Plan Update.) If outside translation services are needed, they would be extra to this contract. Deliverables: - Digital versions (draft and final) of: Advertising and Meeting Support Materials, including flyers/notices (Design) - Up to 6 General Plan Summary Sheets or FAQs (English, Spanish, Vietnamese) - Banners (English, Spanish) - Process Infographic (English, Spanish) lYM&NZ fluehLL`L11ZU01"it#�[4IXd_lt[: This task assumes that in-person meetings and conference calls will be needed periodically during the update effort to gain clarification or input on the materials drafted and to receive input on the effectiveness of meetings and the outreach collateral that was prepared to support the City's outreach efforts. This effort assumes approximately 30 total hours of time over an 8 - month timeframe to participate in these discussions with City staff. If it is determined that more hours are necessary to touch base regarding product edits or other items over the estimated 8 -month timeframe, a scope and budget refinement would be needed. Deliverables: - Meetings and Conference Calls (30 hours) Reimbursables To keep costs at a minimum, the majority of deliverables proposed for this task will be produced and provided to the City in a digital format for printing and reproduction. Deliverables and products produced as part of this effort should be closely connected to the deliverables and products produced in conjunction with PSB, Graphic Design and Document Support, to avoid duplication and identify cost savings. Reimbursables include things such as map production, photocopies, graphics, materials, mileage, and supplies. The project budget assumes that reimbursables will not exceed 5 percent of the labor total (and we will work within that budget as we are defining the hard -copy deliverables for the Community Engagement Plan and Creating Content tasks). If the City requests more copies of documents or printouts of maps than the estimated budget can accommodate, an augment to the budget would be required. SCHEDULE Community outreach and engagement tasks are expected to occur at key milestones throughout the process and are estimated to be complete within an 8 -month timeframe. Task 1, Peer Review of Outreach and Engagement Plan, will be completed at the outset of the effort (within approximately the first month) because it sets the stage for communications with the community and will help to tie together the engagement efforts needed for the other tasks associated with the General Plan Update. Task 2, RFP 17-082: GENERAL PLAN UPDATE AND SUSTAINABILITY- PS5: COMMUNITY ENGAGEMENT 1 PLACEWORKS 7 25M-82 PSS. Community Engagemeni Creating Content, will occur periodically (as needed for meetings and milestones defined in Task 1) over the duration of the project and at the rollout of the changes that are anticipated to be complete in March 2018. 8 CITY OF SANTA ANA I RFP 17-082: GENERAL PLAN UPDATE AND SUSTAINABILITY— PS5: COMMUNITY ENGAGEMENT 25M-83 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable Page 10 of 10 25M-84 Exhibit B - Fee Schedule PlaceWorks LINE ITEM BUDGET 3 MacArthur Pl., Suitc 1100 Task GRAND TOTAL Meeting AnendanedConrma (All Tasks) Calls Hours Amount Hours Amount Santa Ana, Ca 92707 Title of P(OJCCE Comprehemisx Qneml Plan Update end EmisixNng $usluiva6iliiy Togel6er 714 966 9220 kkoselftlaceworks.wm RFPNumber i7.m (at (b) (d (d) (e) (0 (g) (h) (w) (x) Cost Categories Maximum Ilourl Rate y Task Task community omreaoh& crafting content Engagement Plan Hours Amount Hours Amount Task GRAND TOTAL Meeting AnendanedConrma (All Tasks) Calls Hours Amount Hours Amount Direct Labor Cfassl tcadon s Brian Judd, Principal $86.54 0.00 $0.00 4.00 $346.16 0.00 $0.00 4.00 $346.16 Wendy Nowak, Associate Principal $6731 8.00 $538.48 40.00 $2,692.40 20.00 $1,346.20 68.00 $4,577.08 Associate 536.00 4.00 $144.00 160.00 $5,760.00 12.00 $432.00 176.00 $6,336.00 Pra'ed Planner $32.00 0.00 $0.00 88.00 $2,81600 0.00 $0.00 88.00 $2,816.00 Subtotal- Direct Labor ` 12.00 $682.48 292.00 $11,614.56 32.00 $1,778.20 � 336.00 514,075.24 Overhead& Frinae pne G&Air %, Overhead 124.00% 4-4.i. $84628R..: $14,402.05 04144 $220497'Wj+f $17,453.30 Fringe 58.83% 't"'rV S401.50 52222:e. $6,832.85 ""fi;$; $1,046.12 s"a""M $8,280.46 Subtotal - Overhead&Frio a line G&A: $1,247.78 .$21,234.90 $3,251.08 $25,733.76 Fixed Fee 8.00% Subtotal -Fixeffee: $154.42 $2,627.96 $402.34 $3;184:72 Other Direet Costs ODCs Materials skid '1rX:R $1,000.00'"M*'"a`%xt3 $3,00628"'47CM $100000 :a'.n-^"s. 5.006.28 Subiomf-ODCs:' SI,000.00 $3,006.28 $1,000.00 $5,006:28 Subconsultant(sL Subtotal- Subconsultan[s: $0.00 $0.001 $0.00 $0.00 GRAND TOTAL 1 1 12.00 1 $3,084.68 292.00 1 $38,483.70 32.00 1 $6,431.63 0.00 $18,000.00 •Urea ropy oflhtslemplmetoidentify anysubeonsuhamron, by task Inputfnuffiguresforeachsubconsultantin Columns oc"tdru'Y". 25M-85 25M-86 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE AN AGREEMENT WITH ADLERHORST INTERNATIONAL, LLC. FOR PURCHASE OF POLICE SERVICE DOGS AND TRAINING SERVICES (STRATEGIC PLAN GOAL NO. 1, 5) CITY M2AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached three-year agreement with Adlerhorst International, LLC. for the period of December 19, 2017 through December 18, 2020, for the purchase of police service dogs and training services in the amount of $89,800, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Adlerhorst International, LLC is a nationally recognized company known for its experience and expertise in the selection, testing, and training of police service dogs. Under this agreement, Adlerhorst will provide monthly training for police K -9's and their handlers, up to three new German Shepherd or Belgian Malinois K -9's, various training for K -9's and their handlers, and miscellaneous equipment. The agreement will cover the period from December 19, 2017 through December 18, 2020. The three- year agreement includes $37,800 for training, $45,000 for up to three new K -9's, and $7,000 for equipment, not•to exceed agreement amount of $89,800. Adlerhorst has been the contract vendor for Santa Ana Police canines since 1982 and has continually performed well. During a competitive RFP process in 2013, Adlerhorst was the only vendor to submit a bid. Additionally, there are no other vendors in Southern California that provide both the trained and certified canines and the continual associated training. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Objective #5, (provide high quality Police and Fire/Emergency Medical Services response within the City of Santa Ana). 25N-1 Adlerhorst International Agreement December 19, 2017 Page 2 FISCAL IMPACT Funds are available in the Police Department's Field Operations Contract Services account (no. 01114420 62300) for the following fiscal years: DavIdAlaienttrf- Acting Chief of Police Santa Ana Police Department FY 2017-18 14,967 FY 2018-19 29,933 FY 2019-20 29,933 FY 2020-21 14,967 Total 89,800 APPROVED AS TO FUNDS AND ACCOUNTS: �Fne��eo�r1� 1�e Francisco Gutierrez U.lL Executive Director Finance & Mgmt. Services Exhibit: Agreement with Adlerhorst International 25N-2 AGREEMENT TO PROVIDE K-9 TRAINING SERVICES BETWEEN ADLERHORST INTERNATIONAL, LLC. AND THE CITY OF SANTA ANA THIS AGREEMENT, made and entered into this 19th day of December, 2017 by and between Adlerhorst International, Inc., a California Limited Liability Company, (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of Califomia (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field .of providing police K-9 training for both police dogs and police K-9 handlers; and selecting appropriate dogs for use as a K-9 police dog. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services to provide monthly training for police K -9s and their handlers, basic handler training as required for new K-9 handlers, new K-9 selection (Belgian Malinois or German Shepherd), training of new K -9s, Narcotic detection training for K -9s and handlers as needed, and miscellaneous equipment. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges set forth below. The total sum to be expended under this Agreement shall not exceed -$89,800 during the three-year term of this Agreement as follows: Description of Services Costs Monthly Training per Year $12,600 per year * 3=$37,800 25N-3 New K-9 and Training Academy x 3 $15,000 each year * 3 years = $45,000 (Approximate Replacement dates: January 2018, July 2019, and December 2020) Equipment $7000 TOTAL: $89,800 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. 3. TERM This Agreement shall commence on the date first written above and terminate on December 18, 2020, unless terminated earlier in accordance with Section 13, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. 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, and representatives as additional insured(s); (b) be primary and not contributory 25N-4 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. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Consultant shall supply City with a fully executed additional insured endorsement. £ If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 6. 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 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 25N-5 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. 7. 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. 8. 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. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct 25N-6 or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. 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. 11. 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 terns or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terns 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. 12. 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. 13. 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 appropriate. b. Payment need not be made for work which fails to meet the standard of 25N-7 performance specified in the Recitals of this Agreement. 14. 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. 15. 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. 16. 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. 17. 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. 18. 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 25N-8 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 of Police City of Santa Ana 60 Civic Center Plaza (M-97) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-245-8007 To Consultant: David Reaver Adlerhorst International, LLC. 3951 Vernon Avenue Jurupa Valley, California 92509 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 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. [signature page to follow] 25N-9 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 -4 By:" 11VUUWV1V11V Tamara Bogosian Assistant City Attorney RECOMMENDED FOR APPROVAL: DAVID VALENTIN Acting Chief of Police CITY OF SANTA ANA Cynthia J. Kurtz Interim City Manager CONSULTANT: David Reaver Tax ID# 25N-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: AGREEMENT WITH ADVANCED TECHNOLOGY INFORMATION MANAGEMENT SYSTEMS FOR JAIL MANAGEMENT SYSTEM MAINTENANCE (STRATEGIC 'nPLAN IRO. 1, 4A) '"_ _ — CIV MANAGER 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 Authorize the City Manager and Clerk of the Council to execute the attached one-year agreement with Advanced Technology Information Systems (ATIMS), for the period of December 19, 2017 through December 18, 2018, for software maintenance and customer support in an amount not to exceed $131,780 (including a $66,780 base agreement, $55,000 of interface enhancements to tie into the Police Department's new TriTech Integrated Software, and a $10,000 contingency), subject to non -substantive changes approved by the City Manager and City Attorney. On February 21, 2012, the City Council approved an agreement with ATIMS for a Jail Management System (A-2012-029). This system's primary purpose is to manage Jail operations including inmate intake and release, inmate record management, visitation schedules, jail incidents, and inmate transfer and movement activities. It allows Jail staff to generate regulatory and fiscal reports required by the State as well as its contract agencies. Beyond the system's use within the Jail, this software is used by other members of the Police Department for processing registrants, sending documents to court, and managing mug shot photos. The Police Department wishes to execute a new one-year agreement with ATIMS for the licensing, support, and maintenance of its Jail Management System for $66,780. In addition, the Department seeks to have ATIMS develop computer interfaces between the Jail Management System and the Integrated Software system from TriTech that is currently being implemented in order to increase accuracy and efficiency for a cost of $55,000. An additional $10,000 is being requested for unanticipated expenditures related to this system, for a total not to exceed amount of $131,780. 250-1 Agreement with Advanced Technology Information Systems (ATIMS) December 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #4, Ensure a sound fiscal model for jail operations through coordinated efforts with personnel from the City Manager's Office, Police Department, City Attorney's Office, Finance, and Personnel. 4a, 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 in the amount of $66,780 are available in Police Department's Jail Operations contract services account no. 01114475 62300 along with $65,000 from the Police Department's Information Services contract services account no. 01114425 62300. All funds will be spent in FY 2017-18. c avid Vale Acting Chief of Police Santa Ana Police Department FY 2017-18 Total $ 131,780 $ 131,780 APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez mac. Executive Director Finance and Mgmt. Services Agency Exhibit: Agreement with Advanced Technology Information Systems 250-2 CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 19th day of December, 2017 by and between Act 1 Group, Inc., a California corporation doing business as ATIMS ("ATIMS 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 the field of maintenance and services for the Jail Management Software and enhancement to interface with the Tri -Tech systems for the Santa Ana Detention Facility. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. City and Consultant agree, that if this agreement is approved by the City Council, that services provided by the Consultant from November 1, 2017 through December 19, 2017, will be recognized as work performed in furtherance of this Agreement and will be compensated per the terms set forth below. D. 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 terns and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in the attached Scopes of Service, identified as Exhibits A and B, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified as Exhibits A and B. The total amount for this Agreement shall not exceed $131,780 during the tern of this Agreement, including any extensions per Section 3. The sum of this amount shall include a contingency amount of $-10,000 for work assigned at the sole discretion of the City. 250.3 Page 1 of 10 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. �MWM1, This Agreement shall commence on December 19, 2017, and continue for a one (1) year term with the option for the City to grant up to a one (1) year extension, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 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. 250-4 Page 2 of 10 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 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. elfinsurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty 250-5 Page 3 of 10 (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 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 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 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, but only to the extent that any such claim is not caused by the negligent operations of the City. 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. 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, except for any liability caused by the modification of the work product or documents not done at the direction of ATIMS. 250-6 Page 4 of 10 10. 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: 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. 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. 250-7 Page 5 of 10 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, 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. 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. 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 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. 250-8 Page 6of10 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 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. 20. 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. 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 250.9 Page 7 of 10 With courtesy copies to: Chief of Police City of Santa Ana 20 Civic Center Plaza (M-97) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-714-245-8007 To Consultant: The ACT 1 Group, Inc. dba ATIMS Attn: Director, Professional Services 9638 Topanga Canyon Place, #B Chatsworth, CA 91311 E-mail: Flo Ferrera (flof@atims.com) 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 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. [signatures on following page] 250-10 Page 8 of 10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO Assistant City RECOMMENDED FOR APPROVAL: DAVID VALENTIN Acting Chief of Police CITY OF SANTA ANA Raul Godinez City Manager ACT I GROUP, INC.: Felix Rabinovich Vice President Tax ID# 250-11 Page 9 of 10 Professional Services - Work Order Quote Exhibit A f71 n s NJc SfaMOahinC Your QanVic!/ani! Attn: Santa Ana Police Dept. Date: October 9, 2017 Boris Duran -Police Systems Mgr. 60 Civic Center Plaza Santa Ana, CA 92702 #1 Interface - Inbound Pre -Book: This interface will be based on a folder 1 $20,000 watch of an xml file. Tritech will supply an XML schema for their data. Tritech is not making any changes to their format and ATIMS will map all corresponding fields that apply. Assumptions: Person Master — ATIMS will not do any master name reconciliation, instead a temporary name will be used within ATIMS — last, first, middle, DOB will carry. As an option, additional person related fields can be parsed into a pre -book forth. Unless stated otherwise, TdTech is not supplying a key of their master name. If that changes then ATIMS will need to make a change order to the scope of work. Arresting Officer — ATIMS will map personnel based on number (badge), if no match ATIMS will use ADMIN personnel. Charge table — Santa Ana responsible for making sure charge. tables are in sync and matching criteria will be based on type and section. No match data will be ignored. *** SAPD is responsible for any turning OFF (flagging deleted) historical codes and importing news ones. No time will be allocated by ATIMS for this process unless stated otherwise. SAPD will setup bail schedule and all other meta data associated with charges. SAPD will be responsible for maintaining this table point forward unless stated otherwise i.e. amendments/changes/re-imports/etc. Case number will be mapped. *' All other data can be mapped to an xml file that will be shown in the arrest page (including address and person demographics) 91A (additional option) - Pre -Book Form: ATIMS will create an arrest sheet (or use existing) and during the creation of the pre -book, create a new instance of the sheet and any relevant data to the sheet. ATIMS will stamp an external origination flag, to be used with #2 Interface to prevent exporting of ATIMS initiated pre -books. PAGE 1 OF 3 250-12 $12,500 Professional Services — Work Order Quote l MS We slandeenmd Your Coae donsr #2 Interface - Outbound Pre -Book. ATIMS will export a file to a folder 1 $10,000 based on Tritech XML schema. ATIMS will map to TnTech's format and match any relevant fields. SAPD must analyze and decide which fields will be used in Pre - Book to send Trigger will be done at INTAKE or TEMP HOLD create, this will ensure that receiving had a chance to reconcile the person. ATIMS will need to create "Create Temp Hold" trigger as well to export from (additional scope) $12,500 #3 Interface - Outbound Person Master. Export to Folder an xml file. Tritech to supply example XML. ATIMS will use TriTech's format and map fields that match. Export to trigger at any point after Booking Complete any save within screen involving person data i.e. AKA, address, char, SMT, photo. Mapping of fields will determine scope of work, ATIMS will not change any predefined NCIC lists. The XML payload will be the same for all triggers i.e. the person data will repeat on every save. TrTech to map into their master name. Photo will not be pushed as a file. ATIMS will provide relative path pointer to the image. TriTech will pull the image from a share. SAPD to provide share with view access rights. Installation and Configuration Included TOTAL COST $55,000 -Quote is valid for 30 days -Payment Terms: 50% upon approval and the remaining 50% upon installation Important — Customer Please Read SolNrare -The Customer is financially responsible for the purchase of all ren-ATIMS soflwme. This includes all Microsoft and other 3rd party software. The following list includes examples of software that am NOT included in the contract price, unless othermse stated: Microsoft operating systems (Widows 718110 Workstation, Windows 2008/2012 Server), Microsoft Office, Microsoft SOL Server, Internal firewall software and camera application software. In addition. a0 3rd party software packages not listed above are the financial responsibility of Ole Customer unless ollrerwise staled. r r -The Cmiamerls financially responsible(orlhe purchase ofall lardvane.TNs includes PC Servers, PC Workstations: uninterruptible powersupplies (UPS). camems, camera station control boards and video cards, cables, wiring and other miscellaneous installation materials. An hardware purchases are the financial responsibTty, of the Customer and are NOT included In the contract price unless omenvise slated. 250-13 Exhibit B ___ Annual Maintenance Quote ARMS n� We Sand&hlnd Yvu�Cunvinlaml Attn: Santa Ana Police Dept. Date: October 9, 2017 Boris Duran -Police Systems Mgr. 60 Civic Center Plaza Santa Ana, CA 92702 Maintenance for JMS 11-01-17 to 10-31-18 1 $66,780.00 Fr1M F n. vMC eN� u8vs.vl.s�(u grtlwl -Quote is valid for 30 days PAGE 10Ft 250-14 TOTAL COST $66.780.00 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE AGREEMENTS FOR ON-CALL WATER AND SEWER CLEANUP SERVICES (RFP 17-120) (STRATEGIC PLAN NO. 6, 1B) E%k� -:- CITY\thANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute agreements with Houston & Harris PCS, Inc., and Innerline Engineering, Inc., to provide on-call emergency water and sewer cleanup services, for a three-year period beginning December 20, 2017, and expiring December 19, 2020, with a provision for one two-year renewal option exercisable by the City Manager and City Attorney, in an aggregate amount not to exceed $75,000 annually, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Water Resources Division maintains the City's water and sewer systems comprised of approximately 444 miles of water mains and 390 miles of sewer mains. The proposed contracts will provide emergency cleanup services on an as -needed basis. The selected contractors will clean up debris, mud, dirt, and sludge associated with water main breaks and sewer system overflows. A Request for Proposals (RFP) for on-call emergency water and sewer cleanup services was advertised on October 19, 2017, on the City's online bid management and publication system. Three proposals were received and evaluated by a selection committee for content and responsiveness to the RFP. Two firms scored above the minimum acceptable score of 70. Listed below are the top firms and their respective scores: Company Name Location Total Score (%) Houston & Harris PCS, Inc. Grand Terrace 90.35 Innerline Engineering, Inc. Corona 81.60 Staff recommends Houston & Harris PCS, Inc., and Innerline Engineering, Inc., be retained for on-call emergency cleanup services. These two firms have demonstrated that they have the experience and resources needed to respond to a variety of the City's needs. 25P-1 Agreements for On -Call Water and Sewer Cleanup Services December 19, 2017 Page 2 DISCUSSION 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). ENVIRONMENTAL IMPACTS There is no environmental impact association with this action. FISCAL IMPACT Funds are available in the Water Systems Maintenance account (No. 06017641-62300) and the Sanitary Sewer Services account (No. 05617640-62300), and will be budgeted in subsequent fiscal years. The estimated fiscal year spending plan is as follows: Fiscal Year FY 2017/18 Contract Period December -June Maintenance Services 0601 7641-62300 056117640 $18,750 62300: $18,750 FY 2018/19 July -June $37,500 $37,500 FY 2019/20 July -June $37,500 $37,500 FY 2020/21 July -June $37,500 $37,500 FY 2021/22 July -June $37,500 $37,500 FY 2022/23 July -December $18,750 $18,750 Account Total $187,500 $187,500 CONTRACT TOTAL $375,000 '-Fted Mousavipour Executive Director Public Works Agency FM/NS/RR/kr APPROVED AS TO FUNDS & ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Agreement with Houston & Harris PCS, Inc. 2. Agreement with Innerline Engineering, Inc. 25P-2 Exhibit 1 AGREEMENT TO PROVIDE EMERGENCY WATER AND SEWER CLEAN-UP SERVICES ON AN ON-CALL BASIS THIS AGREEMENT is trade and entered into this 19th day of December, 2017 by and between Houston & Harris PCS, 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 October 19, 2017, the City issued Request for Proposal No, 17-120, by which it sought contractors to provide emergency water and sewer clean-up services on an on-call basis. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 17-120 and attached as Exhibit A. 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 contracting 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 On an as -needed basis, and at the sole discretion of City, Contractor shall perform the services that are described in Exhibit A. Contractor's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. Contractor is one of two contractors selected to provide services on an as -needed basis under RFP No. 17-120. The total annual compensation for services provided by all contractors selected under RFP No. 17-120 shall not exceed $75,000 during the term of the Agreement, 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 performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. This Agreement shall commence on December 20, 2017 and terminate on December 19, 2020, unless tenuinated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2 -year period upon a writing executed by the City Manager and 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. OWNERSI3IP 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. C. 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 cancelled or reduced in coverage or changed in any other material aspect, by Contractor, 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 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 or its 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 slid 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 infonnation 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 specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to tlus Agreement 26P4a 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 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: Houston & Harris PCS, Inc. 21831 Barton Road Grand Terrace, CA 92313 Attn: Pamela Houston, President Fax 909-422-0841 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, cornmunication 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 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. 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. 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 may be brought or arise out of, in connection with or by reason of this Agreement. 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: CITY OF SANTA ANA MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: ✓ JcbA M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director, Public Works Agency RAUL GODINEZ II City Manager CONTRACTOR Name: Title: EXHIBIT A Appendix ATTACHMENT 1: SCOPE OF WORK REQUEST SUMMARY The City of Santa Ana is soliciting proposals from qualified firms to provide on-call emergency water and sewer cleanup services on an as -needed basis. The City will select up to three firms to provide these services. II. INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California and encompasses 27.2 square miles and a population over 325,000 people. The City of Santa Ana's Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones, The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. III. DESCRIPTION OF WORK - GENERAL The successful contractor shall provide all labor, material, and supplies necessary to complete cleanup of debris, mud, dirt, and sludge associated with water main breaks and sewer system overflows (SSO's). Contractor shall provide and maintain in good repair all equipment necessary to perform the required services and related tasks. The Contractor shall be available on an on-call basis, 24 hours a day, seven days a week, with the ability to arrive on-site at the City location within two hours of notification. Regular business hours are considered from 7am to 5 pm (Monday through Friday). The Contractor shall haul and dispose of the vacuumed materials and debris to the Orange County Sanitation District's (OCSD) facilities or an approved waste handling facility. The Contractor shall be an independent Contractor capable of providing experienced, knowledgeable and professional staff. The Contractor shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Contractor shall provide adequate staffing levels at all times and adhere to established schedules. IV. DESCRIPTION OF WORK — SEWER EMERGENCY CLEANUP SERVICES 25P-11 Several actions must be taken to properly cleanup and mitigate potential effects, including, but are not limited to: • Use straw waddle and/or sandbags to protect storm drain from debris, install straw wattle on site; • Application of absorbent material; • Removal of contaminated soil and used absorbent; • Flushing the SSO site including gutters and affected area with clean water; • Vacuum all wash down water into the Contractor's vacuum truck. V. DESCRIPTION OF WORK— WATER EMERGENCY CLEANUP SERVICES Several actions must be taken to properly cleanup and mitigate potential effects, including, but are not limited to: • Use straw waddle and/or sandbags to protect storm drain from debris, install straw wattle on site; • Cleanup of debris on the roadways, mud/debris on the roadway; • Vacuum all wash down water into the Contractor's vacuum truck. VI. DISTRIBUTION OF WORK The Contractor(s) selected for this work shall provide written, "not to exceed" estimates as requested by the City for services. These estimates shall include: number of employees, job classifications, equipment, estimated material costs, and number of hours required for the waste cleanup job. All hours worked and paid under this contract shall be for productive hours at the job site. All commuting to and from the work site, and or mobilization of equipment shall not be charged directly. But, shall be considered overhead and include in the rate for labor. No additional compensation will be allowed. It shall be the Contractor's responsibility to ensure they have all information deemed necessary to prepare accurate estimates. The contractor shall respond to City requests for estimates by end of business day. If multiple Contractors have been awarded a contract, the lowest responsive bid amongst the selected Contractors shall be awarded the corresponding job order. No work shall be allowed to proceed until authorized by the City. VII. PREVAILING WAGE The Director of the Department of Industrial Relations of the State of California has ascertained the prevailing rate of per diem wages in dollars, based on a working day of eight hours, for each craft or type of worker or mechanic needed to execute any construction or maintenance contract, which may be awarded by Public Works. The current prevailing wage rates as adopted by the Director of the Department of Industrial 25P-12 Relations are incorporated herein by reference and may be accessed at hftp://www.dir.ca.go . The Contractor is required to pay the prevailing wage rate referred to above and is responsible for selecting the classification of workers which will be required to perform this service in accordance with the Contractor's method of performing the work. Pursuant to Section 1775 of the Labor Code (State of California) Contractor shall forfeit $50 for each calendar day, or portion thereof, for each worker paid less than the stipulated prevailing wage rates for any public work done under this Contract or by any subcontractor. VIII. SAFETY & HEALTH REQUIREMENT The Contractor shall comply with the applicable health and safety regulations and requirements from CAL/OSHA, State of California Construction Safety Orders and the City of Santa Ana. IX. TRAFFIC CONTROL Traffic control shall be the responsibility of the Contractor and shall conform to the Work Area Traffic Control Handbook (WATCH). Flashing arrow boards shall be used on arterial streets. 2. All vehicles and or towed equipment shall carry "City of Santa Ana Authorized Contractor" magnet sign affixed and visible. 3. The Contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes, including but not limited to these contract documents. X. PROTECTION OF PROPERTY The Contractor shall perform all work and prevent damage to public and/or private property. In the event damage occurs, the contractor shall replace and/or repair the damaged property at no cost to the City. Any cost incurred by the City to repair damage caused by the contractor or their subcontractors and repaired by City staff shall be the responsibility of the Contractor and will be deducted from any outstanding balances. XI. UNSATISFACTORY WORK In the event that work performed by the Contractor is not satisfactory, the Contractor will be notified by the City and allowed (1) calendar day to correct the deficient work at no charge to the City. 25P-13 EXHIBIT B APPENDIX ATTACHMENT 4: ADDITIONAL PROVISIONS CERTIFICATION AND PROPOSAL FEE SCHEDULE Certification - I certify that I have read, understand and agree to the terms and condition of this Request for Proposals. I have examined the Scope of Services (Appendix A) and am familiar with the scope of work. I am familiar with all the existing conditions and limitations that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price — Pricing shall be based on an (hourly cost, time and materials basis — see narrative) for services described In Appendix A. Fee must be inclusive of all costs, including, but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. schedule. ON-CALL EMERGENCY WATER AND SEWER CLEANUP SERVICES FEE SCHEDULE TO: CITY COUNCIL OF THE CITY OF SANTA ANA Houston & Harris PCS, Inc. FROM: REQUIREMENT: The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Item Bid Item UnitQuantit Unit Price Total 1 Vacuum Truck - regular business hours Staffed HR 8 s 325.00 $ 2,600.00Full 2 Vacuum Truck - after hours/weekends/holidays Fully Staffed HR 8 $ 508.00 $ a,oea.00 25P-14 Item Bid Item Unit Quantity Unit Price Total 3 Pressure Washer Truck — regular business hours Full Staffed HR 8 $ 325.00 $ 2,600.00 4 Pressure Washer Truck - after hours/weekends/holidays Fully Staffed HR 8 508.00 $ $ 4,064.90 Houston 8 Harris PCs, Inc. P 909-422-8990 F 909-422-0841 Legal Name of Company Phone and Fax Numbers 21831 Barton Road, Grand Terrace, CA 92313 Business Address Pamela Houston President Name of authorized agent Title (Printed) 11-14-2017 of authorized agent Date 46-0495452 Federal ID number (if applicable) phouslon@houstonandharris.com Address 884167 Contractor license number (if applicable) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 25P-15 HOURLY RATE SCHEDULE PER JOB CLASSIFICATION AND EQUIPMENT Vacuum Truck: Regular Business Hours $ 325.00/hour Includes two man crew and Vactor truck Vacuum truck: After hours, weekends and holidays $ 508.00/hour Includes two man crew and Vactor truck Pressure Washer Truck: Regular Business Hours $ 325.00/hour Includes two man crew and Pressure washer truck Pressure Washer Truck: After hours, weekends and holidays $ 508.00/hour Includes two man crew and Pressure washer truck Houston & Harris has a four (4) hour minimum per vehicle per call -out. 1 Pamela Houston President Houston & Harris PCS, Inc. City of Santa Ana On -Call Emergency Nater and Setter Cleanup Scnices RFP NO.: 17-120 -- - - - - — - 21831 Barton Road 61 Grand Grand Terrace CA 92313 A 909d1j.V� 9019 -0841 F CA N V Exhibit 2 AGREEMENT TO PROVIDE EMERGENCY WATER AND SEWER CLEAN-UP SERVICES ON AN ON-CALL BASIS THIS AGREEMENT is made and entered into this 19th day of December, 2017 by and between Innerline Engineering, 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 October 19, 2017, the City issued Request for Proposal No. 17-120, by which it sought contractors to provide emergency water and sewer clean-up services on an on-call basis. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 17-120 and attached as Exhibit A. 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 contracting 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 On an as -needed basis, and at the sole discretion of City, Contractor shall perform the services that are described in Exhibit A. Contractor's proposal is incorporated by reference as though fully set forth herein. 2. COMPENSATION a. City neither warrants nor guarantees any rninimum or maximum compensation to Contractor under this Agreement. Contractor shall be paid only for actual services' perfonned under this Agreement at the rates and charges identified in Exhibit B. Contractor is one of two contractors selected to provide services on an as -needed basis under RFP No. 17-120. The total annual compensation for services provided by all contractors selected under RFP No. 17-120 shall not exceed $75,000 during the tenn of the Agreement, including any extension periods. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work perfonned, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the December 20, 2017 and terminate on December 19, 2020, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2 -year period upon a writing executed by the City Manager and 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 Doctunents 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 fall force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City, (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by Contractor, 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 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 froin 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 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 tWs 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. l 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 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 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 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: Innerline Engineering, Inc. 535 Princeland Court Corona, CA 92879 Attn: Rafael Padilla, President/CEO Fax 951-380-8680 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 terns 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. 25PQ122 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 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. 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. 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 may be brought or arise out of, in connection with or by reason of this Agreement. 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: CITY OF SANTA ANA MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney VA �m Il uFO Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR Executive Director, Public Works Agency RAUL GODINEZ II City Manager CONTRACTOR Name: Title: 2PSPQ24 EXHIBIT A Appendix ATTACHMENT 1: SCOPE OF WORK REQUEST SUMMARY The City of Santa Ana is soliciting proposals from qualified firms to provide on-call emergency water and sewer cleanup services on an as -needed basis. The City will select up to three firms to provide these services. 11. INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California and encompasses 27.2 square miles and a population over 325,000 people. The City of Santa Ana's Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System, The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. III. DESCRIPTION OF WORK - GENERAL The successful contractor shall provide all labor, material, and supplies necessary to complete cleanup of debris, mud, dirt, and sludge associated with water main breaks and sewer system overflows (SSO's). Contractor shall provide and maintain in good repair all equipment necessary to perform the required services and related tasks. The Contractor shall be available on an on-call basis, 24 hours a day, seven days a week, with the ability to arrive on-site at the City location within two hours of notification. Regular business hours are considered from lam to 5 pm (Monday through Friday). The Contractor shall haul and dispose of the vacuumed materials and debris to the Orange County Sanitation District's (OCSD) facilities or an approved waste handling facility. The Contractor shall be an independent Contractor capable of providing experienced, knowledgeable and professional staff. The Contractor shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Contractor shall provide adequate staffing levels at all times and adhere to established schedules. IV. DESCRIPTION OF WORK — SEWER EMERGENCY CLEANUP SERVICES 25P-25 Several actions must be taken to properly cleanup and mitigate potential effects, including, but are not limited to: • Use straw waddle and/or sandbags to protect storm drain from debris, install straw wattle on site; • Application of absorbent material; • Removal of contaminated soil and used absorbent; • Flushing the SSO site including gutters and affected area with clean water; • Vacuum all wash down water into the Contractor's vacuum truck. V. DESCRIPTION OF WORK — WATER EMERGENCY CLEANUP SERVICES Several actions must be taken to properly cleanup and mitigate potential effects, including, but are not limited to: • Use straw waddle and/or sandbags to protect storm drain from debris, install straw wattle on site; • Cleanup of debris on the roadways, mud/debris on the roadway; • Vacuum all wash down .water into the Contractor's vacuum truck. VI. DISTRIBUTION OF WORK The Contractor(s) selected for this work shall provide written, "not to exceed" estimates as requested by the City for services. These estimates shall include: number of employees, job classifications, equipment, estimated material costs, and number of hours required for the waste cleanup job. All hours worked and paid under this contract shall be for productive hours at the job site. All commuting to and from the work site, and or mobilization of equipment shall not be charged directly. But, shall be considered overhead and include in the rate for labor. No additional compensation will be allowed. It shall be the Contractor's responsibility to ensure they have all information deemed necessary to prepare accurate estimates. The contractor shall respond to City requests for estimates by end of business day. If multiple Contractors have been awarded a contract, the lowest responsive bid amongst the selected Contractors shall be awarded the corresponding job order. No work shall be allowed to proceed until authorized by the City. V11. PREVAILING WAGE The Director of the Department of Industrial Relations of the State of California has ascertained the prevailing rate of per diem wages in dollars, based on a working day of eight hours, for each craft or type of worker or mechanic needed to execute any construction or maintenance contract, which may be awarded by Public Works. The current prevailing wage rates as adopted by the Director of the Department of Industrial 25P-26 Relations are incorporated herein by reference and may be accessed at http://www.dir.ca..qov/. The Contractor is required to pay the prevailing wage rate referred to above and is responsible for selecting the classification of workers which will be required to perform this service in accordance with the Contractor's method of performing the work. Pursuant to Section 1775 of the Labor Code (State of California) Contractor shall forfeit $50 for each calendar day, or portion thereof, for each worker paid less than the stipulated prevailing wage rates for any public work done under this Contract or by any subcontractor. VIII. SAFETY & HEALTH REQUIREMENT The Contractor shall comply with the applicable health and safety regulations and requirements from CAL/OSHA, State of California Construction Safety Orders and the City of Santa Ana. IX. TRAFFIC CONTROL Traffic control shall be the responsibility of the Contractor and shall conform to the Work Area Traffic Control Handbook (WATCH). Flashing arrow boards shall be used on arterial streets. 2. All vehicles and or towed equipment shall carry "City of Santa Ana Authorized Contractor' magnet sign affixed and visible. 3. The Contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes, including but not limited to these contract documents. X. PROTECTION OF PROPERTY The Contractor shall perform all work and prevent damage to public and/or private property. In the event damage occurs, the contractor shall replace and/or repair the damaged property at no cost to the City. Any cost incurred by the City to repair damage caused by the contractor or their subcontractors and repaired by City staff shall be the responsibility of the Contractor and will be deducted from any outstanding balances. XI. UNSATISFACTORY WORK In the event that work performed by the Contractor is not satisfactory, the Contractor will be notified by the City and allowed (1) calendar day to correct the deficient work at no charge to the City. Appendix 25P-27 EXHIBIT B ATTACHMENT 4: ADDITIONAL PROVISIONS CERTIFICATION AND PROPOSAL FEE SCHEDULE Certification -1 certify that I have read, understand and agree to the terms and condition of this Request for Proposals. i have examined the Scope of Services (Appendix A) and am familiar with the scope of work. I am familiar with all the existing conditions and limitations that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price — Pricing shall be based on an (hourly cost, time and materials basis —.see narrative) for services described in Appendix A. Fee must be inclusive of all costs, Including, but not limited to, direct and Indirect costs for labor, overhead, Incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing, ON-CALL EMERGENCY WATER AND SEWER CLEANUP SERVICES FEE SCHEDULE TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM:Y�Y�ed�iYti2 �Y��iYll^^i'lq REQUIREMENT: The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Item 1 Bid Item Vacuum Truck - regular business hours Fuli Sfaffod Unit HR Quanti 8 Unit Price $580 Total � � 1p p 2 Vacuum Truck after hours/weekends/holidays HR 8 $ air $ rJ41LOD ,Fully Staffed 25P-28 Item 8 Bid Item Pressure Washer Truck— regular business Unit HR Quantity Unit Price Total hours 8 $ las Full Staffed 4 Pressure Washer Truck - after HR 8 hours/weekends/holidays Fully $�C� $ IN Staffed Name 53(5 q Business P Name of (Printed) 2)—aog— lr;'ol$ R51-380-&020 and Fax Numbers ature of authorized agent Date E-mail Address cJ 3- bgo�'Za� -19041E deral ID number (if applicable) Contrantnr liranaa ni imhcr Iif or nrn IJ THIS, FORM MUST BE COMPLETED AND INCLUDED WITH THE. PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE 25P-29 � I (800)209-0000 PIPELINE VIDEO INSPECTION, CLLANING AND CONSULT11 Fee Schedule — Prevailing Wage Video Inspection Services (Include Deliverables) Video Inspection vehicle with operator and necessary equipment, on site 8 hours. 4 hour minimum applies to site time. $373.00 per hour Video Inspection vehicle with operator and necessary equipment, overtime rate after 8 hours up to 12 hours onsite time $395.50 per hour Video Inspection vehicle with operator and necessary equipment, overtime rate over 12 hours onsite. $418.00 per hour Daily Inspection vehicle and fuel surcharges. $291.25 High Pressure cleaning and vacrrnn: services Combination hi pressure cleaning/vacuum truck with operator and necessary tooling, onsite 8 (tours. 4 hour minimum onsite time $373.00 per hour Combination Iii pressure cleaning/vacuun truck with operator and necessary tooling, overtime rate after 8 hours up to 12 hours onsite. $395.50 Combination hi pressure cleaning/vacuum truck with operator and necessary tooling, overtime rate over 12 hours onsite. $418.00 per hour Daily combination hi pressure cleaning truck portal and fuel surcharges. $428.75 Pipeline Locating services additional to video inspection services. Locating services with video inspection, 8 Hours onsite. 4 hour minimum onsite Additional $188.00 per hour Locating services with video inspection overtime rate after 8 hours up to 12 hours. Additional $291.65 per hour Locating services with video inspection overtime rate after 12 hours. Additional $291.25 per Hour Moblization charge to be negotiated on a project by project bases at a rate of $285.00 per hour Confine Space Gear and Trailer at $1,200 per day Pick-up Gear Truck at $750 per day ER Truck B Supply at $750 per day 25P-30 Supervisor/Confined Space Rescue $185 per hour (regular) $205 per hour (overtime) $215 per hour (double time) Confine Space Technicians $180 per hour (regular) $195 per hour (overtime) $210 per hour (double time) 25P-31 25P-32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE A TWO-YEAR EXTENSION OF THE CONSTRUCTION AND DEMOLITION DEBRIS SERVICES AGREEMENTS {STRATEGIC PLAN NO. 4, 1} r 1 CIT ANAGER 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 1. Authorize the City Manager and the Clerk of the Council to execute the proposed Extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Waste Management Collection and Recycling, Inc. (dba Waste Management of Orange County, extending the expiration date to June 30, 2020, at the current terms, with provision for a one- year renewal exercisable by the City Manager and the City Attorney, subject to nonsubstantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and the Clerk of the Council to execute the proposed Extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Ware Disposal, extending the expiration date to June 30, 2020, at the current terms, with provision for a one-year renewal exercisable by the City Manager and the City Attorney, subject to nonsubstantive changes approved by the City Manager and City Attorney. 3. Authorize the City Manager and the Clerk of the Council to execute the proposed Extension of the Madison Materials and City of Santa Ana Host Fee Agreement, extending the expiration date to June 30, 2020, at the current terms, with provision for a one-year renewal exercisable by the City Manager and the City Attorney, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION In Santa Ana, construction and demolition (C&D) debris hauling services are contracted separately from solid waste services. The two authorized haulers are Waste Management of Orange County and Ware Disposal. In addition, for maximum recycling diversion, all processing of C&D debris is contracted to be directed to Madison Materials through a Host Fee agreement. These agreements, established October 3, 2005, and extended to June 30, 2018, are co - terminus with the Solid Waste Services agreement. 25Q-1 Approve Two-year Construction and Demolition, and Host Fee Agreement Extensions December 19, 2017 Page 2 On December 5, 2017, City Council approved an extension of the Solid Waste Services Agreement with Waste Management of Orange County. The agreement extension will achieve the objective of continued service until a new solid waste services Request for Proposals process can be completed which will determine ongoing C&D services contractors. As such, staff recommends continuing the co -terminus status by extending the C&D and Host Fee agreements through June 30, 2020, effective upon the full execution of the Solid Waste Services extension agreement. STRATEGIC PLAN ALIGNMENT Approval of these items support 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. However, increased recycling activity will divert materials from the landfill, thus extending the life of the landfill system and recovering valuable recyclable resources. FISCAL IMPACT The C&D Collection and Handling and the Host Fee extension agreements maintain customer service rates without increases, other than the standard, annual rate adjustment as detailed in the current agreements. Revenues from the C&D Collection and Handling agreements are deposited into the Refuse Collection Enterprise Maintenance Revenue Account No. 06917002- 53718. Host Fee agreement revenues are deposited into the Residential Street Improvement Revenue Account No. 05817002-53730. Based on revenues to date for Fiscal Year 2017-18, annual revenues to be received during the two-year extension period are projected as follows: AGREEMENT FY 2018-19 FY 2019-20 C&D Collection and Handling $104,000 $104,000 Waste Management C&D Collection and Handling $27,000 $27,000 Ware Disposal Host Fee $19,000 $19,000 Madison Materials TOTAL PROJECTED REVENUE: $150,000 $150,000 25Q-2 Approve Two-year Construction and Demolition, and Host Fee Agreement Extensions December 19, 2017 Page 3 L Irfeou av pour Executive Director Public Works Agency FM/MLM/CK APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez f Executive Director Finance & Management Services Agency j ( ( 6 q ) Exhibits: 1. Extension of C&D Agreement — Waste Management of Orange County 2. Extension of C&D Agreement — Ware Disposal 3. Extension of Host Fee Agreement — Madison Materials 25Q-3 25Q-4 EXTENSION OF AGREEMENT FOR COLLECTION AND HANDLING OF CONSTRUCTION AND DEMOLITION DEBRIS GENERATED, PRODUCED, AND/OR ACCUMULATED AT TEMPORARY CONSTRUCTION SITES IN THE CITY OF SANTA ANA This EXTENSION OF AGREEMENT FOR COLLECTION AND HANDLING OF CONSTRUCTION AND DEMOLITION DEBRIS GENERATED, PRODUCED, AND/OR ACCUMULATED AT TEMPORARY CONSTRUCTION SITES IN THE CITY OF SANTA ANA ("Extension") is made and entered into this 19th day of December, 2017 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City") and Waste Mariagemeiit"Collection and Recycling, Inc., a California corporation dba Waste Management of Orange County ("Contractor"). RECITALS A. City and Contractor, under the legal name "USA Waste of California, Inc.", entered into Agreement No. A-2005-259, dated October 3, 2005, by which City granted to Contractor a non-exclusive right to collect, recycle, divert, and transport to appropriate facilities any construction and demolition debris generated, produced, and/or accumulated at temporary construction sites in the City ("Agreement"). B. The original term of the Agreement continued through June 30, 2008, subject to extension. C. On April 3, 2006, the Agreement was amended to extend the term through June 30, 2018 by the document entitled "First Amended and Restated Agreement for Collection and Handling of'Construction and Demolition Debris Generated, Produced, and/or Accumulated at Temporary Construction Sites in the City of Santa Ana", Agreement No. A-2006-076. The rate structure was amended as well. D. The parties now wish to further extend the Agreement through June 30, 2020, subject to a one-year extension, and clarify Contractor's legal name, which has changed since the time of the original Agreement. The Parties therefore agree: 1. The term of the Agreement shall be extended through Julie 30,20N. The term may be further extended for one year -upon mutual agreement by the parties. 2. All references to "Contractor" in the Agreement shall mean "Waste Management Collection and Recycling, Inc., a California corporation dba Waste Management of Orange County." 3. This Extension shall take effect only upon full execution, by the parties thereto, of the "Extension of Fourth Amended and Restated Agreement for Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Santa Ana", by and between City and Contractor and dated December 5, 2017. Exhibit 1 1 - 25Q-5 4. Except as extended and modified by this Extension, and Agreement No. 2006-076, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Extension 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: J N M. FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR, Executive Public Works Agency 25Q-6 CITY OF SANTA ANA RAUL GODINEZ II City Manager Name: Title: EXTENSION OF AGREEMENT FOR COLLECTION AND HANDLING OF CONSTRUCTION AND DEMOLITION DEBRIS GENERATED, PRODUCED, AND/OR ACCUMULATED AT TEMPORARY CONSTRUCTION SITES IN THE CITY OF SANTA ANA This EXTENSION OF AGREEMENT FOR COLLECTION AND HANDLING OF CONSTRUCTION AND DEMOLITION DEBRIS GENERATED, PRODUCED, AND/OR ACCUMULATED AT TEMPORARY CONSTRUCTION SITES IN THE CITY OF SANTA ANA ("Extension") is made and entered into this 19th day of December, 2017 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City") and Ware Disposal;_Inc. ("Contractor"). RECITALS A. City and Contractor entered into Agreement No. A-2005-242, dated October 3, 2005, by which City granted to Contractor a non-exclusive right to collect, recycle, divert, and transport to appropriate facilities any construction and demolition debris generated, produced, and/or accumulated at temporary construction sites in the City ("Agreement"). B. The original term of the Agreement continued through June 30, 2008, subject to extension. C. On April 3, 2006, the Agreement was amended to extend the term through June 30, 2018 by the document entitled "First Amended and Restated Agreement for Collection and Handling of Construction and Demolition Debris Generated, Produced, and/or Accumulated at Temporary Construction Sites in the City of Santa Ana", Agreement No. A-2006-077. The rate structure.was amended as well. D. The parties now wish to further extend the Agreement through June 30, 2020, subject to a one-year extension. The Parties therefore agree: 1. The term of the Agreement shall be extended through June 30, 2020. The term may be further extended for one year upon mutual agreement by the parties. 2. This Extension shall take effect only upon full execution, by the parties thereto, of the "Extension of Fourth Amended and Restated Agreement for Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Santa Ana", by and between City and Waste Management Collection and Recycling, Inc. and dated December 5, 2017. 3. Except as extended and modified by this Extension, and Agreement No. 2006-077, all terms and conditions of the Agreement shall remain in full force and effect. [signatures on following page] Exhibit 2 1 25Q-7 IN WITNESS WHEREOF, the parties hereto have executed this Extension 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: w 1i'— G JQYN M. FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL CITY OF SANTA ANA RAUL GODINEZ II City Manager CONTRACTOR Name: Title: FRED MOUSAVIPOUR, Executive Director Public Works Agency 2 25Q-8 OF HOST FEE AGREEMENT BETWEEN MADISON MATERIALS AND THE CITY OF SANTA ANA This EXTENSION OF HOST FEE AGREEMENT ("Extension") is made and entered into this 19th day of December, 2017 by and between-Madisoii.Materials-("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. City and Contractor entered into Agreement No. A-2005-243, dated October 3, 2005, by which City agreed to direct construction and demolition debris and incidental waste generated at temporary construction sites in the City to Contractor's facility in exchange for a ` host fee" as further described therein ("Agreement"). B. The original term of the Agreement continued through June 30, 2008, subject to extension. C. On April 3, 2006, the Agreement was amended to extend the term through June 30, 2018 by the document entitled "First Amended and Restated Agreement for Madison Materials and City of Santa Ana Host Fee Agreement", Agreement No. A-2006-078. The rate structure was amended as well. D. The parties now wish to further extend the Agreement through June 30, 2020, subject to a one-year extension. The Parties therefore agree: 1. The term of the Agreement shall be extended through June 30,202.0_ . The term may be further extended for one year upon mutual agreement by the parties: - - 2. This Extension shall take effect only upon full execution, by the parties thereto, of the "Extension of Fourth Amended and Restated Agreement for Collection and Handling of Solid Waste Generated and/or Accumulated in the City of Santa Ana", by and between City and Waste Management Collection and Recycling, Inc. and dated December 5, 2017. 3. Except as extended and modified by this Extension, and Agreement No. 2006-078, all terns and conditions of the Agreement shall remain in full force and effect. [signatures on following page] Exhibit 3 1 25Q-9 IN WITNESS WHEREOF, the parties hereto have executed this Extension 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: ✓ .-& L JCWN M. FUNK Assistant City Attorney CITY OF SANTA ANA RAUL GODINEZ II City Manager CONTRACTOR Name: Title: RECOMMENDED FOR APPROVAL FRED MOUSAVIPOUR, Executive Director Public Works Agency 25Q-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: DONATION AGREEMENT WITH VARIOUS ORGANIZATIONS TO SUPPORT COMMUNITY EVENTS AND PROGRAMS {STRATEGIC PLAN NO. 5,4) CITY ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: -:• k ❑ 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 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. Santa Ana Unidos Boxing Club in support of the Roses in the Concrete youth event in October 2017, in a one-time donation amount of $1,000 (Mayor Pulido); b. Community Partners in support of the Santa Ana Film Festival in October 2017, in a one-time donation amount of $500 (Mayor Pro Tem Martinez); c. Santa Ana Unidos Boxing Club in support of the Roses in the Concrete youth event in October 2017, in a one-time donation amount of $500 (Mayor Pro Tem Martinez); Southland Integrated Services, Inc. in support of the Citizenship Resource Fair event in December 2017, in a one-time donation amount of $1,000 (Mayor Pro Tem Martinez); e. Hispanic 100 Foundation in support of on-going services for the Youth & Government Program, in a one-time donation amount of $500 (Councilmember Sarmiento); California Independent Provider Training Center in support of the American Red Cross Adult & Infant First Aid/CPR/AED Training in December 2017, in a one-time donation amount of $500 (Councilmember Sarmiento); 29A-1 Donation Agreement with Organizations to Support Community Events and Programs December 19, 2017 Page 2 g. Hispanic 100 Foundation in support of on-going services for the Youth & Government Program, in a one-time donation amount of $1,500 (Councilmember Benavides); h. Saints Baseball Booster Club in support of their annual season banquet for athletes in January 2018, in a one-time donation amount of $2,000 (Councilmember Benavides); Charitable Ventures of Orange County in support of the Santa Anita Neighborhood Association free annual community holiday event in December 2017, in a one-time donation amount of $125 (Councilmember Villegas); j. Hispanic 100 Foundation in support of on-going services for the Youth & Government Program, in a one-time donation amount of $200 (Councilmember Villegas); k. Hispanic 100 Foundation in support of on-going services for the Youth & Government Program, in a one-time donation amount of $1,500 (Councilmember Tinajero); DISCUSSION 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. 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 1-11) 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 12-22) 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). 29A-2 Donation Agreement with Organizations to Support Community Events and Programs December 19, 2017 Page 3 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 Councilmembers appropriated amounts for Fiscal Year 2017-18: Mayor Pulido $ 1,000.00 Mayor Pro Tem Martinez $ 2,000.00 Councilmember Sarmiento $ 1,000.00 Councilmember Benavides $ 3,500.00 Councilmember Villegas $ 325.00 Councilmember Tinajero $ 1,500.00 APPROVED AS TO FUNDS AND ACCOUNTS: ' S� 3�1 A �, % . '11L� ,Q Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBITS: 1-11. Donation Request Forms 12-22. Donation Agreements 29A-3 29A-4 i , r �L,, Y City Manager's Office–M-31 .�,,,,�r .t Cit Of Santa Bina 20 Civic Center Plaza I: i 1988 Donation Request P.O. Box 2702 Santa Ana, CA 92702 (714) 647.5200 �11 _ Donation DR -Council Meeting Date: December 19, 2017 Eligibility Met: YES I NO Yes Approved Amount: City Services Credit mount Requested: I$ Date Needed: ASAP MayorlCouneilmemher: Pulido _i Dirget Payment Amount 1S 1,000 Event Date: 10/28/17 (Event Time: PM Re nested: _ __J16:30 _J Event Location: Delhi Center address ary, srare, L'p 505 E. Central Avenue, Santa Ana, CA 92707 —� me,mmae—n.00.mwsnoer..WrMN .o' ,(man Ronarc W o rnmww con In NTUOm,otrn,tma,n—on n F.bYOMIn tpy, muwFn.Yoto km Goo"'RIaea.,l.n mnlFIm.WNa. . can.WNameot.t /mw "Roo bol, xm RM1em.,. notROM4neeb m.wbCwv 9P,eaGF{NueIIMMIN Fytlntr-Mon Description of p too.. R—o—o..no'no oNMOn WORN,°noto b^n.M',Y.,,>.p»mkbvnn�... P�YMapmM.nw.Y..,F,b.nwF..,Ym<..<,.amaws°^uw.,.,�.<m.n„m,mwn,IMPmaYbwm.�lYmF,n.,.w,Yb,.,,w,al. WORN, nae maYa.Wm<maaktltywyoM M. Rn vnCepenbnepmb.pYl VN. Ya,tl BJIPY b B:Y1PY.rnbyea, w. M -Is Event/Purpose: .11. RM.n. NW' MpbmpnMbml MV..NvpswFSerNM,'. RmN, RMaNNnn PVN iwiMmmNMnn m�IM WEC ReMuegnlbwYweYprrof gOaze,oeYNga WM��PnmfaY W RIM Nmem.mn<a,n,ml.nnp,e.,FYn,e•. GnIYwuYmm,mprvrq.M ewm.sw.kY. upYwancMmpinn.M.b,�nvieWrewaneM�wYn Eeel. e,...nYmms.ro a..nbpwm. n.Ma,m,n. � .Nn rM.s vb m..wn Y •M xocl yopre,w.. •ssYwln. w. n romnn��.n rom a m. caw Gw. Fwtlaron Nx o, aaa a.s w nww rw I,«.n b m Fw pwm. wn.�. morn N W wb..�lu aF. oY of w m,,.,,xnnwemwNm.I,wrommwm�m.Yme.wm. a... Ga=aaa. bw...<nbwno.m..w=N.,p,wmm�sama.mu+k..w.m.Ycwnr.mww.iF=.+>vm+.nnYroa,F.a.e.M..nnm�.,<m Roses intheConcrete will promote the awareness of the need to invest in youth, help them to build resilient communities and provide alternatives to the prison pipeline through restorative justice. The pedagogy is based on the work of Dr. Jeff Duncan -Andrade who has Community Benefit: developed new educational approaches that proved to be successful in working with youth from very low-income communities with high poverty and crime. The event promotes alternatives to gangs. The event will be filmed by The California Endowment Foundation. Applicant Signature: ' Date: I O�ZZIZO 7 I i �11 _ Donation Request#: Reference R on all related DPVs DR -Council Meeting Date: December 19, 2017 Eligibility Met: YES I NO Yes Approved Amount: $1,000 City Manager Signature: Data. 29A-6 DocuSian Envelope ID: DB13B736-8FBD-4F2C-A123-96CC38440A03 w. City of Santa Ana s Donation Request Contact Information City Manager's Office - M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647.5200 Name: Janny Kum (alternate contact Victor Payan) _ itle.. ___JI Director of Finance J aareaa: 1000 N. Alameda Street, Suite 240 Ed - - — - -- - -- J --- --- - __m city, sta e, I Los Angeles, CA 90012 - - Pnone: 213-346=3200 - -- ---- - - --- Email: I Fax: 213-808-1009 Mail: City Manager's Office -M31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Email: donationrequest@santa-ana.org Fax: (714) 647.6954 .. City Services Credit i $ Date Needed: '111/15/17 Ma orlCouncdmember: Martinez ount Re nested: YES! NO YES Approved Amount: $500 Dlrect Payment Amount II Requested_ g500- Event Date: 10/6-10/15/17 Event Time: 111:45am-10pm ��IF Location° FAdd 2017 Film Fiesta locations in Santa Ana include: OC Musicians' Association, , City, State, Zip _.__—_ Heritaae Museum. Santa Ana Colleae_Main_P_lace_Mall_and_Mexican Consulate_ Description of The Film Fiesta will showcase Santa Ana to the region and to SA residents via Event/ Purpose: events throughout the city, and offer free and low-cost screenings to the Santa Ana_rnmml miff/ inrll lriinn. CA_rPclripntc- ch iAantc f_aar•harc_milita nh{ataranc Community Benefit:' The Film Fiesta will provide $5 admission and free events for the Santa Ana community, including award-winning films and artists such as SNL head writer Applicant Signature: DOGI${ V� Date 11/1/2017 - n45]➢Aa356aA4 - Mail: City Manager's Office -M31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Email: donationrequest@santa-ana.org Fax: (714) 647.6954 Revised 01/05/2017 Donation Request #: Reference # on aff rely led DPVs DR - Council Meeting Date: 12/19/17 Eligibility Met: YES! NO YES Approved Amount: $500 City Manager Signature: Date: Revised 01/05/2017 29A-8 .,�, City Manager's Office– M-31 ♦"_''; City of Santa Ana 20 Civic Center Plaza 'a.o-� t P.O. Box 1988 Donation Request Santa Ana, CA 92702 0'LC (714) 647.5200 Name: jj Santa Ana Unidos -------"-----...__ ...--------------- Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as lefined under Section 501(cX3) of the Internal Revenue Code? if No, you will only qualify for a credit for City -related costs for yourrequest (i.e. permit fees, daft time, rental rates for facilities or equipment, etc.).Costs for City services vary and if ipproved, credit may or may not cover full cost of requested City services. One: 11 I J I Yes [_j No ID #: 1147-5211563 Donation City Services Credit I $ Date Needed: ASAP Mayorico�unctlmembe"r:'� Martinez ount Requested: jI Direct Payment Amount Requested: $ SOO Event Date: � 0/2H/� 7 Event Time: 6.30 PM _—_-...___--��._.�-- --J Event Location: Delhi Center Address, City, State, Zip 505 E. Central Avenue, Santa Ana, CA 92707 —� Xw.Fw cmmreb l..mau¢ab.¢m¢xe s.•p.mer.rry•MMeI Rao:bpmeymbeam¢¢.s.mMebnmkweernmrenb.wbaam.a.iro.ewnb.w.oa�Me.w�tlbw.eae.mmwbe,.11o. ee beE, mXlmaCbpaRwmazee Ey Wcyy tla Y4ren , W mW,Ifyyaymbbbb, NYA eMEF lIa XelPWie.laY)salwiNFew Ffb Coxrebawrew NCwe4A¢¢Yn.1 Ya Mlal d—. Vtl�a F Een+bnn 9aN Ma.lka ye+. tl'. ¢kMlvt MUM a Pm¢Ntlm N M, eG V Y xAtlee. mvb. aN Pane wahC EY Sartla Pvt YpYs [rnn M1em wne If lle pmeer MpAoml W. Te pewvnbn er muffs, Description of rc,. nb+a •...ma....rc p¢,.wMww,�Am,I,y.m.ebmla,.rcrcwn.mkM.wrce.,A�m1XmrtlAw�–P•I..A1IfI e..w�..wnee�,Pum..v prc.,nl„ea, �l w e.bIr-ureapn1.WW new.Neei VV” soma Ma:Fmnb)b CJ llvbN¢TanarCvov areeMan F,u. W2G Featlmrx5ngb Wo.a.oPrctlM..... la Xey..tl yyB Rmubm WOAeaff. Xr.1 Event/ Purpose: uNeraeeea11.b,b..nAcl I4fl wrywn d--q.-'..yQba.we sec emew«aabwmpb..m.mArerwFouei..aarccw.Plm, Fema er..ob.rcll..s.roa,amrrm.,rea.amm. mpr,lu. f,b.f XOLlpgre„M.MONarzlry. xaero lerglq Ja4Teand""fa ge FeutlaWn Waba Bla4&iheMbazly, Ta e mbwlna¢¢Ntlrtnlle•ewM wn Ww 1 ImmmuNYaM It.. n.1—olour i I buPMlMrwaYeNaltlkwwemutlmneroceeRxxb Ram M,weKttnNPe wweAlerpudaWndam+quVrMn,W WappeRMaPl,enEU.vlYmwrUW.rie.^em+ihaN me nhe m I Roses in the Concrete will promote the awareness of the need to invest in youth, help them to build resilient communities and provide i Community Benefit: alternatives to the prison pipeline through restorative justice. The pedagogy is based an the work of Dr. Jeff Duncan -Andrade who has developed new educational approaches that proved to be successful in working with youth from very low-income communities with high poverty and crime. The event will be filmed by The California Endowment Foundation. Applicant signature: 4&y W. U)&& ' Date: ,1 0/22/?017` Mail: City Manager's Office– M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 Email: donationrequest@santa-ana.org Fax: (714) 647.6954 Ciirct( kid1ZS Donation Request#: Reference # on all related DPVs DR - Council Meeting Date: December 19, 2017 Eligibility Met: YES I NO YES Approved Amount: $500 City Manager Signature: Date: 29A-10 City Manager's Office ='M-31 R City of Santa Ana 20 Civic Center,Plaza P.O. Box 1988 " . Donation Request Santa Ana, CA 92702 (714) 847.5200 Name: Tricia Nguyen itle: CEO Address: (1618 West First Street Icily, st Santa Ana, ca 92703 Phone; 714-620-7007 [Email. Far x — 714-620-7097 Name: Southland Integrated Services, Inc: Tax-Exempt Status: Is your organization —anon-profit or public tax-exempt argarkatlon as Selec�-- t One: as ❑ No defined under Section 501(c)(3) of the Internal Revenue Code? If No, you will only qualify fora credit for City-related costs feryour request (i.e. permit fees, "f Y"' staff time, rental rates farfacililies or equipment,etc.). Costs for City seMces vary and If approved, credit may or may not cover full cost of requested City services. ' ax ID #: F95--8403526 ?.Tr M am -- City Servlce� s Credit Date NeededF —IMayorlCouncilmember. Madinoz PmountQequested: 'Direct Payment Amount tour $1 — OOO 1112211612017 Event Tima: 1 O aril to 4P (Requested; I IEvenl_Date; Event Location: 1618 West First Street, Santa Ana, :CA 92703 Address, City, State, Lp We are hosting a clinic day for anyone to come to our center for citizenship Description of application assistance. Event/Purpose: Community Benefit: To provide free application assistance to anyone that come to our location. (IA�pplicant Signature: ��--.�,�. jb ie. : 11/21/2017 Mail: City Manager's Office—M31 Email; donationrequest@santaana.org 20 Civic Center Plaza Fax: (714) 647.6954 P.O. Box 1988 Santa Ana, CA 92702 Ph Donation Request N: nafervnca R on an related bPVs DR Council Meeting Date: December 19 2017 Eligibility Met:YESINO YES Approved Amount: $1,000 _ City Manager Signature, Date: Revised 01/0512017 EXHIBIT 4 29A-11 29A-12 .' City Of Santa Ana City Manager's20Civic Center 20 Civic Center Plaza '••~• Donation Request - P.O. Box 1988 Santa Ana, CA 92702 (714) 647-5200 Nama: Roman Reyna/ Mario Rodriguez Fills: Lead Advisor ddrass: PO Box 194 mount Requested: Ree ity, state, zip: San Clemente, CA 92674 Phone: (714) 865-9118 man: mrod262@yahoo.com or roman _reyna@hotmail.com q Event Date: 500— Fort going Fax: — IName: I Hispanic 100 Foundation iptStatus: Is your organization a non-profit or public tax-exempt organization as der Section 501(c)(3) of the Internal Revenue Code? will only qualify for a credit for City -related costs for your request (i.e. permit fees,, rental rates for facilities or equipment, etc.). Costs for Cily services vary and if credit may or may not cover full cost of requested City services. One: I F7 Yes ❑ No Yes, rx ID #: 46-1962620 DonafiontRbquesY Credit Ity Sermount F Date Needed: ASAP ayorlCouncilmember. S � mount Requested: Ree YES! NO YES Approved Amount: $500 W1KXijV Direct Payment Amount q Event Date: 500— Fort going f -----� Event Time: — Requested: Event Location: will help cover on-going cost for the youth program, but will specifically cover Fthecost Address, City, State, Zip of conferences to prepyouth for legislation training in Nov., Jan., and Febr. Many Santa Ana youth will participate in the Youth & Government Program and Description of activities that include training on how to create a bill and help it pass. There are three Event I Purpose: upcoming conferences that will train youth and hlep them launch the bills. Santa Ana youth will become empowered by the education, leadership skills, that t ey community Benefit: will learn from the YOuth & Government Program. This will also provide insight on networking, self-esteem, and public speaking skills. FPca Signature, ,, tttle�gi��sl�atio ., � ate--..._ 11/6(17 /� I Mall: 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 01/05/2017 Donation Request M Reference 4 on all related DPYs DR. Council Meeting Date: December 19, 2017 Eligibility Met: YES! NO YES Approved Amount: $500 City Manager Signature: _ Dale: Revised 01/05/2017 29A-14 city Manager's Office–M-31 City of Sana Anja 20 Civic Center Plaza •9 P.O. Box 1988 s Donation. Request salla Ana, CA 92702 t - (714) 6474200 — Yvonne Olivares-itle (F�ceculive Director Maldonado! Name: adress: 3600 Lime Street, Suite #725 Fit,, state, np: Riverside, CA 92501 '877 10-0576 IF= Email:lyvonne@caiptc.org IFl ax; 951-782-0878 Nama: Califo nia Independent Provider Training Center (CAIPTC) -Tax-Exempt Status: Is your organiza8onanon-profit or public tawmcempt organization as elect Onac Yes ❑ No efined under Section 501(0)(3) of the Internal Revenue Code? if No, you wl/lon1, qualify(ore credft for City-r elated costs foryourraquest (i.e. permit fees, �f Yes, aNtime, reniafrates /orfacl7rties or equlpment,etc.).Casts for City services vary artdff 145-5147214 �ax lD# ppmved, credit may ormaynot wverfull cost of requested City services. : by Services Credit {� y runounl Requested: I ate Needed r_ � dlI IayorlCoundlmember. I I E $aIm12nto' ,blrect Payment ""t $rJ00 QD Event Date: j12/13/2017 �Evene 7l� a: �10am - 3pm equested: ( ; i (Event Local— 333 Civic Center W, Santa Ana, CA 92701 (Address, city, .State, Zip �— American Red cross Adult and Child First Ald/CPR/AED Training Description of Upon successful completion of the course, participants wi0 earn a certificate from the American Red Cross that is valid for 3 Event/Pu rpose: two years from the date that the class was taken. Participants learn life-saving skills on how to handle cardiac, breathing or first aid emergencies. Community Benefit !Many of the participants that attend our classes care for seniors and people with disabilities, !including disabled children in Santa Ana and the surrounding communities. Applicant Signature: Date: I 1 J (L 1 'den Mail: City Manager's Office–M-31 Email: , nrequest@santaa a.org 20 Civic Center Plaza Fax: (714) 6478954 P.O. Box 1988 1 Santa Ana CA 92702 Donation Request #: Dtt - Council Meeting Date: Refarerce Fon all mfarddOPYs I December 19, 2017 Eligibility Met: YES I NO 1'E$ Approved Amount: $500 1 City Manager Signature: Date: 1 _ I _ Revised 01/0512017 29W45 29A-16 City of Santa Ana Donation Request City Managers Office- M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647-5200 Clintacf fnf0rrtatiorrs Roman Reyna / Mario Rodriguez (CEO) ile: Lead Advisor dares,: PO Box 194 FIty, s� tate, zip San Clemente, CA 92674 none: (714) 865-9118 lEmall mrod262@yahoo.com or roman_reyna@hotmail.comiFax On -Going (' Name:. I Hispanic 100 Foundation , Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as elect One: 1:1efined under Section 501(c)(3) of the Intemai Revenue Code? Yes No If No, you will only qualify for a credit for City -related costs for your request (l e. permit fees, I staff time, rental rates for facilities or equipment,etc.).Costs for City services vary and ifIIf Yes, approved, credit may or may not cover full cost of requested City services. ax to #: 46-1962620 ity SarvlcrC es Credit — F_ Amount Requested: Date Needed: ASAP Mayor/Couneilmembar. IEvent'r,a: — Dl eet Paymant Amount —l�v�nt December 19,2017 Eligibility Met: YESI NO YES Date: equestea; � On -Going (' On -Going Event location: nds will help cover on-going cost for the youth program, but will specifically cover [the Address, City, State, Zip cost of conferences to prep youth for legislation training in Nov., Jan, and Febr. a Ana youth will participate in the Youth & Government program/activites Description of Fthane training on how to create a bill and help it pass. There are three Event/ Purpose: conferences that will train youth and help them launch the bills. Santa Ana youth will become empowered by the education, training, and leaderships i community senenb that they will learn from the Youth & Government Program. This will also provide insight o gislation, networking, self-esteem and public speaking skills. ate: 1/6/17Appa1 V Mall: City Managers Office -M-31 Email: donationrequest@santa-ana.org I 20 Civic Center Plaza Fax: (714) 647-6954 1 P.O. Box 19811 Santa Ana, CA 92702 v170P?1g4r 11a1N.`.. Donation Request 91: Retarenca H an ail relay=d OPV, DR- Council Meeting. Date: December 19,2017 Eligibility Met: YESI NO YES I Approved Amount: $1,500 City Manager Signature: Date: Revised 01/05/2017 29A-18 %l x City of Santa Ana Iti Ip Donation Request City Manager's Office -M-31 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702 (714) 647.5200 KARINA JIMENEZ 3 K ISECRETARY Name: Evene Location: ddress: 1529 CEDAR ST. Address, City, State, Zip city, state, zip: SANTA ANA, CA 92707 _ (Phone: 619-881-7520 Emau: KONABME@YAHOO.COM IFax:�� Name: ISAINTS BASEBALL BOOSTER Tax -Exempt Status: Is your organization a non-profit or public lax -exempt organization as Select One: defined under Section 501(c)(3) of the Internal Revenue Code? Yes ❑ No If No, you will only qualify fora credit for City -related costs for your request (i.e. permit fees, If Yes, staff time, rental rates for facilities or equipment.etc.).Costs for Oily services vary and if � 46-2869772 approved, credit may ormay not cover full cost of requested City services. ax ID M. a� a •� - -.� -.- City Services Credit Date Needed: I(� Ma or/Ceuncilmomber: I BCn3videS —�i IM mount Requested: Direct PaymentAmount Requested: _ '2,000 Event Date: 01/13/2018 Event Time: H.00) --.--.--- Evene Location: 520 W WALNUT ST SANTA ANA, CA 92701 Address, City, State, Zip KICK OFF BANQUET FOR STUDENT ATHLETES AND Description of Event/Purpose: FANNUALSEASON RENTS. Community Benefit: THE 2018 SEASON KICKOFF BANQUET IS SET TO TAKE PLACE IN JANUARY THIS COMING YEAR. THIS IS AN OPPORTUNITY FOR STUDENTATHLETE ANDTHEIR PARENTS TO COME TOGETHER, GET TO KNOW EACH OTHER BETTER AND STARTTHE SEASON OFF WI E HUSIASM AND UNITY. THE BANBANQUET ALSO ENSEMIFIED THE STUDENT ATHLETES TO PERFORM BOTH ON AND OF TH FIEL -- ApFildant 7 - City Manager's Office - M-31 20 Civic Center Plaza P.O. Box 1990 Santa Ana, CA 92702 Email: donationrequesta@santa-ana.org Fax: (714)647-6954 -------------- Donation Request if: v DR - Council Meeting Date: December 19, 2017 Hefcrenr:n i4 an all relaled OPV. - Eligibility Met: YES I NO YeS Approved Amount: $2,000 City Manager Signature: I Data: Y Revised 01106/2017 29A-20 City Manager's Office — M-31 City of Santa Ana 20 Civic Center Plaza P.{y - Box 1988 Donation Request Santa Ana, CA 92702 0��4,_w_r (714) 047.5200 IName: ;ISanta Anita Neighborhood c/o of Charitable Ventures of Orange County Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as defined under Section 501(c)(3) of the Internal Revenue Code? -Select One: Yes ❑ No If No, you will only qualify for a credit for City -related costs for your request (i.e. permit fees, tafftime, rental rates for facilities or equipment, etc.). Costs for City services vary and if approved, credit may or may not cover full cost of requested City services. ax lD#: ' '[20-8756660 'IClty Services Credit lc 'JDate Needed:I (Mayor/Councilmemher: IVlllegas ,I Amnnnf Rem,nsted: r' ... Irecl Payment Amount 12CJ Event Date: 1Z/16I�% I(Ev�ent Time: :4 pili equested: 'YES.1 NO YES Approved Amount: I. .. _. .., ...._...,. _ .. Senta Anita t7enter Event Location: .. ddress, City, stato 71p 300 S. Figueroa Street Free annual holiday / Christmas event for the benefit of the children of the Santa Anita Including Santa's Village, toy Descrlption of distribution, food, crafts with Child Creativity Lab, choral group and booths from the Santa Ana Police and Orange County Event / Purpose: . Fire Authority. Cosponsor 7 -Eleven Corp. Council donation requested to cover cost of a Face Painter at the event. of continued effort to re-establish Santa Anita Park as the community center Community BeneFlt: [Part local families to enjoy new traditions. Appllc*ant ¢ E r IJ Mail: City Manager's Office—M-31 Email: donationrequest@santa-ana.arg 20 Civic Center Plaza Fax: (714) 647-6954 P.O. Box 1988 Santa Ana, CA 92702 Revised 0 110 5/2 01 7 'k. ! DR. I S iy'\1 v�f. yiL f 1111 Council Mooting Date: +1''Y>t ; -' l { iJAI eG tTFe becerrib6r 19, 2017 Donation Request#: Reference # on all related DPVs Eligibility Met: 'YES.1 NO YES Approved Amount: .$125.00 City Manager Signature: Data: .. Revised 0 110 5/2 01 7 o 29A-22 City Manager's OtTce—M-31 City of Santa Ana 20 Civic Center Plaza Donation Request P.O. Box 1988 Santa Ana, CA 92762 (714) 547.5200 0 o e ama: Roman Reyna/ Mario Rodriguez (CEO) tie: Lead Advisor Fp0ess: Box 194 (City, State, San Clemente, CA 92674 none: (714) 865-9118 or Name: Hispanic 100 Foundation Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as oleo One: defined under Section 501(c)(3) of the Internal Revenue Code? Z Yes ❑ No If No, you will only qualify fora credit for City -related costs for yourrequest (i.e. permit fees, raylls etaNtime, rental rate's for facilities of -equipment, etc.).Costs for City services vary and i(pproved, credit may" or may not cover full cost ofmquesfed City services. s#: 46-1962620 .. Dortafion Reque"s't m r. `r«"; t to S m ':$.�e tJ ` , -a _-"A-'" : e a ax7z•a l Services ICmIty Services Credit }� Requested: Date Needed: I ayorlCouncilmember. ASAPi k �Q " Yt� 11aS Direct Payment Amount �F200 `.Event Date: OIl-going Event Time: on-going $ Requested: g Event Location: Funds will help cover on-going cost for the youth program, but will specifically cover Address, Ci(y, State, Zip the cost of conferencesto prep youth for legislation training in Nov., Jan., and Fehr. ny Santa Ana youth will participate in the Youth &Government Program and Description o1 ivities that including training on how to create a bill and help pass it. There are ra Event t Purpose: ee upcoming conferences that will train youth and help them launch bills. Santa Ana youth will become empowered by the education, training, and leadership Community Benefit: skills, that they will earn from the Youth & Government Program. This will also providel insight on legislation, networking, self-esteem, and publick speaking skills. ApplicantSignature: r-- I r7 Datl e: F1 1/6/17 ,-.,m. -•wee 4`"--„v r»w-r a vsx. `heturn;;cornpleteclforrn: yia, s:9�" �..�.�`t.°s"€3a �v. •. Mall: City Managers Office—M41 Email: donationrequest@santa-ans.org 20 Civic Center Plaza Fax: (714) 647-6964 P.O. Box 1988 Santa Ana, CA 92702 1 Revised 01/05/2017 Donation Request M Rarerenca eon a0 reh:eC DPVs DR. Council Poiastipg Data: December 19, 2017 Eligibility Met: YES! NO YES I Approved Amount: $200 City Manager Signature: 1 Revised 01/05/2017 29A-24 ,a 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 amut�e: Roman Reyna/ Mario Rodriguez ase: Lead Advisor �lddresr s. p0 Box 194 fcltystate, z—lp: San Clemente, CA 92674 phone: (714) 865-9118 IEmatl I: mrod262@yahoo.com or roman _reyna@hotmail.comF�; —�— o r. • r s . Name: Hispanic 100 Foundation Tax -Exempt Status: Is your organization a non-profit or public tax-exempt organization as etact One: defined under Section 501(c)(3) of the Internal Revenue Code? Yes ❑ No If No, you will only qualify fora credit for City -related costs for your request (le. permit fees, if Yes, ,staff time, rentalrates forfacilides orequipment,etc.).Costs for City services varyandif � 46-1962620 ('approved, credit may or may not cover full cost of requested City services. Fax to #: Donattoil a `uesh; a ICtty Services Credit ount Requested: Date Needed: ASAP ayor/counctlmember. i Tiiy� /un1h� Direct Payment Amount Requested: 1i Event Oate: Ori-gOing vent Time: On-going Event Location: Funds will help cover on-going cost for the youth program, but will specifically cover ddress, City, State, Zip the cost of conferences to prep youth for legislation training in Nov., Jan., and Febr. City Manager. Signature: a Ana youth will participate in the Youth & Government program/activities Description of Event/ Purpose: e training on how to create a bill and help it pass. There are three upcoming Fai s that will train youth and help them launch the bills. Santa Ana youth will become empowered by the education, training, and ea ers ip community Benefit: skills, that will learn from the Youth & Government Program. This will also provide insigh n legislation, networking, self-esteem and public speaking skills. AppllcantSignature: i ate: 11/6/17 (Mail: City Manager's Office -M-31 IEmail: donationrequest@santa-anamrg 20 Civic Center Plaza Fax: (714) 647.6954 P.O. Box 1988 Santa Ana, CA 92702 11 Revised 01/05/2017 Donation Request #: a,rer�m•, so,, .,n r�r3red oru: DR CCouncilMeeting Date: December 19, 20017 Ellgibliibj Met: YES i No YES Approved Amount: — $1,500 City Manager. Signature: _ _ 11 Revised 01/05/2017 29A-26 CITY OF SAN'T'A ANA DONATION AGREEMENT WITH SANTA ANA UNIDOS BOXING CLUB 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and SANTA ANA UNIDOS BOXING CLUB, 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 THE ROSES IN THE CONCRETE EVENT THAT OCCURRED OCTOBER 28, 2017, FREE TO THE COMMUNITY AND YOUTH ("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 MAYOR PULIDO, believes there is a public purpose in supporting the Community Benefit because it PROVIDES AN EVENT THAT PROMOTES COMMUNITY REFLECTION, PRIDE, RESPONSIBILITY, AND OFFERS EDUCATIONAL AND COMMUNITY SERVICES FOR AT -RISK YOUTH. 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 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 12 29A-27 3.3 Waivers. Insurance or Other Obligations For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided, Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Parry warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. E)=lT 12 29A-28 CITY OF SANTA ANA Lm Raul Godinez II City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: ohn M. Funk Assistant City Attorney SANTA ANA UNIDOS BOXING CLUB, a 501(c) 3 NON-PROFIT ORGANIZATION um Alan Woo Deputy Executive Director EXHIBIT 12 29A-29 29A-30 CITY OF SANTA ANA DONATION AGREEMENT WITH COMMUNITY PARTNERS 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and COMMUNITY PARTNERS (FISCAL SPONSOR FOR THE SANTA ANA FILM FESTIVAL), 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 THE FILM FESTIVAL AT VARIOUS LOCATIONS IN SANTA ANA THAT OCCURRED IN OCTOBER 6-15, 2017, FREE TO SANTA ANA RESIDENTS ("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 PWose. The City, by recommendation of MAYOR PRO TEM MARTINEZ, believes there is a public purpose in supporting the Community Benefit because it PROVIDES AN EVENT THAT SUPPORTS LOCAL ARTISTS/ACTORS, FILM PRODUCERS, AND SHOWCASES AWARD WINNING FILMS 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. TERMS AND CONDITIONS 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS ($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 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 13 29A-31 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or ternrination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 13 29A-32 CITY OF SANTA ANA By: Raul Godinez 11 City Manager Attest: 0 Maria D. Huizar Clerk of the Council Approved as to. Form: Sonia R. Carvalho City Attorney By: i ohn M. Funk Assistant City Attorney COMMUNITY PARTNERS, a 501(c) 3 NON-PROFIT ORGANIZATION In Janny Kum Director of Finance EXHIBIT 13 29A-33 29A-34 CITY OF SANTA ANA DONATION AGREEMENT WITH SANTA ANA UNIDOS BOXING CLUB 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and SANTA ANA UNIDOS BOXING CLUB, 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 THE ROSES IN THE CONCRETE EVENT THAT OCCURRED OCTOBER 28, 20179 FREE FOR THE COMMUNITY AND YOUTH ("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 MAYOR PRO TEM MARTINEZ, believes there is a public purpose in supporting the Community Benefit because it PROVIDES AN EVENT THAT PROMOTES COMMUNITY REFLECTION, PRIDE, RESPONSIBILITY, AND OFFERS EDUCATIONAL AND COMNIUNITY SERVICES FOR AT -RISK YOUTH. 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 Funds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS ($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 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 14 29A-35 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 14 29A-36 CITY OF SANTA ANA By: Raul Godinez 11 City Manager Attest., By: Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R: Carvalho City Attorney By: L, hn M. Funk Assistant City Attorney SANTA ANA UNIDOS BOXING CLUB, a 501(c) 3 NON-PROFIT ORGANIZATION By: Alan Woo Deputy Executive Director EXHIBIT 14 29A-37 29A-38 CITY OF SANTA ANA DONATION AGREEMENT WITH SOUTHLAND INTEGRATED SERVICES, INC. 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and SOUTHLAND INTEGRATED SERVICES INC., 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 CITIZENSHIP COMMUNITY RESOURCE FAIR ON DECEMBER 16, 2017 IN SANTA ANA, OPEN TO THE COMMUNITY ("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 MAYOR PRO TEM MARTINEZ, believes there is a public purpose in supporting the Community Benefit because it PROVIDES INFORMATION TO THE COMMUNITY ON CITIZENSHIP RESOURCES AND PROCESS 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 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. 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of =8100"11 29A-39 injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all .consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 15 29A-40. CITY OF SANTA ANA In Attest: In Raul Godinez I_ I City Manager Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: l M. Funk Assistant City Attorney SOUTHLAND INTEGRATED SERVICES INC, a 501(c) 3 NON-PROFIT ORGANIZATION al Signature Tricia Nguyen Chief Executive Officer EXHIBIT 15 29A-41 29A-42 CITY OF SANTA ANA DONATION AGREEMENT WITH HISPANIC 100 FOUNDATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and HISPANIC 100 FOUNDATION, 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 THE YOUTH & GOVERNMENT PROGRAM WHERE SANTA ANA YOUTH LEARN ABOUT LEGISLATION AND HOW TO ADVOCATE FOR THEIR COMMUNITY ("Conununity 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 SARMIENTO, believes there is a public purpose in supporting the Community Benefit because it WILL SUPPORT ON-GOING PROGRAM SERVICES AND SUPPORTS THE COST FOR THE UPCOMING CONFERENCES THAT WILL EMPOWER YOUTH BY EDUCATING THEM IN LEGISLATION. 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 Funds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS ($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 Tenn, Termination of Agreement. This Agreement shall take effect on the date fust 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 16 29A-43 3.3 Waivers, Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 16 29A-44 CITY, OF SANTA ANA 0 Attest: In Raul Godinez 11 City Manager Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney -ml BY: VZ4 Funk 7n. �(z Yhn-M. Funk Assistant City Attorney HISPANIC 100 FOUNDATION, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Mario -Rodriguez Chainnan EXHIBIT 16 29A-45 CITY OF SANTA ANA DONATION AGREEMENT WITH CALIFORNIA INDEPENDENT PROVIDER TRAINING CENTER 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 1% 2017 by and between the City of Santa Ana, a municipal corporation ("City") and CALIFORNIA INDEPENDENT PROVIDER TRAINING CENTER, 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. REcrrALs 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in HOSTING AN AMERICAN RED CROSS ADULT & CHILD FIRST AID/CPR/AED TRAINING EVENT ON DECEMBER 13, 2017 IN SANTA ANA ("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 SARMIENTO, believes there is a public purpose in supporting the Community Benefit because it PROVIDES AN OPPORTUNITY FOR INDIVIDUALS TO LEARN LIFE-SAVING SKILLS ON HOW TO HANDLE EMERGENCY SITUATIONS. 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 Funds. The City has chosen to provide Recipient with a one-time payment of FIVE HUNDRED DOLLARS ($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 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. EXMBIT 17 29A-47 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on fors, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and al] legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 17 ,, • CITY OF SANTA ANA 0 Raul Godinez Il City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: , ohn M. Funk Assistant City Attorney CALIFORNIA INDEPENDENT PROVIDER TRAINING CENTER, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Yvonne Olivares-Maldonado Executive Director EXHIBIT 17 29A-49 29A-50 CITY OF SANTA ANA DONATION AGREEMENT WITH HISPANIC 100 FOUNDATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and HISPANIC 100 FOUNDATION, 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 THE YOUTH & GOVERNMENT PROGRAM WHERE SANTA ANA YOUTH LEARN ABOUT LEGISLATION AND HOW TO ADVOCATE FOR THEIR COMMUNITY ("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 Purmose. The City, by recommendation of COUNCILMEMBER BENAVIDES, believes there is a public purpose in supporting the Community Benefit because it WILL SUPPORT ON-GOING PROGRAM SERVICES AND SUPPORTS THE COST FOR THE UPCOMING CONFERENCES THAT WILL EMPOWER YOUTH BY EDUCATING THEM IN LEGISLATION. 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 Funds. The City has chosen to provide Recipient with a one-time payment of ONE THOUSAND FIVE HUNDRED DOLLARS ($1,500), 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 fust 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 (101/0) per annum. Notwithstanding the foregoing, the indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. EXHIBIT 18 29A-51 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. Ibis Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 18 29A-52 CITY OF SANTA ANA In Attest: 1-2 Raul Godinez II City Manager Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By. n. ✓ Jon M. Funk Assistant City Attorney HISPANIC 100 FOUNDATION, a 501(c)3 NON-PROFIT ORGANIZATION an Signature Mario Rodriguez Chairman EXHIBIT 18 29A-53 29A-54 CITY OF SANTA ANA DONATION AGREEMENT WITH SAINTS BASEBALL BOOSTER CLUB 1. PARTIES AND DATE This Donation Agreement ("Agreement') is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and SAINTS BASEBALL BOOSTER CLUB, 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 AN ANNUAL BANQUET IN JANUARY 13, 2018 FOR THE ATHLETES AND FAMILIES TO PROMOTE HEALTH/FITNESS AS WELL AS THE IMPORTANCE OF EDUCATION ("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 BENAVIDES, believes there is a public purpose in supporting the Community Benefit because it SUPPORTS COMMUNITY PRIDE, PROVIDES A POSITIVE RECREATIONAL ACTIVITY FOR STUDENTS, AND HIGHLIGHTS THE IMPORTANCE OF EDUCATION. 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 Funds. The City has chosen to provide Recipient with a one-time payment of TWO THOUSAND DOLLARS ($2,000), 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 19 29A-55 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and hamiless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification, This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. 1014/411 29A-56 CITY OF SANTA ANA By: Raul Godinez II City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: hn M. Funk Assistant City Attorney SAINTS BASEBALL BOOSTER CLUB, a 501(c) 3 NON-PROFIT ORGANIZATION By: Signature Print Name Title EXHIBIT 19 29A-57 29A-58 CITY OF SANTA ANA DONATION AGREEMENT WITH CHARITABLE VENTURES OF ORANGE COUNTY 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and CHARITABLE VENTURES OF ORANGE COUNTY (FISCAL SPONSOR FOR SANTA ANITA 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. REcmu 2.1 Community Benefit. The City wishes to provide Recipient with funding to assist Recipient in HOSTING THE ANNUAL HOLIDAY EVENT FOR THE SANTA ANITA NEIGHBORHOOD ASSOCIATION ON DECEMBER 16, 2017 AT SANTA ANITA 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 Purpose. The City, by recommendation of COUNCH,MEMBER VILLEGAS, believes there is a public purpose in supporting the Community Benefit because it PROVIDES ANY RESIDENT WITH AN OPPORTUNITY TO ENGAGE IN A POSITIVE EVENT DURING THE HOLIDAY SEASON AND PROMOTES COMMUNITY PRIDE. 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 CoNDmoxs 3.1 Use of Funds. The City has chosen to provide Recipient with a one-time payment of ONE HUNDRED TWENTY FIVE DOLLARS ($125), 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 20 29A-59 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification, This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXIIIBIT 20 29A-60 CITY OF SANTA ANA in Attest: Raul Godinez 11 City Manager Maria D. Huizar Clerk of the Council Approved as to Fonii: Sonia R. Carvalho City Attorney By: i hn M. Funk Assistant City Attorney CHARITABLE VENTURES OF ORANGE COUNTY (FISCAL SPONSOR FOR SANTA ANITA NEIGHBORHOOD ASSOCIATION), a 50I(c) 3 NON-PROFIT ORGANIZATION Signature Ted Kim Name Chief cratim`Officer Title Aw b i 29A-62 CITY OF SANTA ANA DONATION AGREEMENT WITH HISPANIC 100 FOUNDATION 1. PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and HISPANIC 100 FOUNDATION, 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 THE YOUTH & GOVERNMENT PROGRAM WHERE SANTA ANA YOUTH LEARN ABOUT LEGISLATION AND HOW TO ADVOCATE FOR THEIR COMMUNITY ("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 WILL SUPPORT ON-GOING PROGRAM SERVICES AND SUPPORTS THE COST FOR THE UPCOMING CONFERENCES THAT WILL EMPOWER YOUTH BY EDUCATING THEM IN LEGISLATION. 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 Funds. The City has chosen to provide Recipient with a one-time payment of TWO HUNDRED DOLLARS ($200), 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 Tenn; 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 21 29A-63 3.3 Waivers. Insurance or Other Obligations, For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversiaht by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding. Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modification. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 _Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 21 29A-64 CITY OF SANTA ANA In Raul Godinez II City Manager Attest: By: Maria D. Huizar Clerk of the Council Approved as to Form: Sonia R. Carvalho City Attorney By: JVin M. Funk Assistant City Attorney HISPANIC 100 FOUNDATION, a 501(c)3 NON-PROFIT ORGANIZATION IN Signature Mario Rodriguez Chairman EXHIBIT 21 29A-65 I 0 A .., CITY OF SANTA ANA DONATION AGREEMENT WITH HISPANIC 100 FOUNDATION PARTIES AND DATE This Donation Agreement ("Agreement") is entered into on DECEMBER 19, 2017 by and between the City of Santa Ana, a municipal corporation ("City") and HISPANIC 100 FOUNDATION, a California 501(c) 3 NON-PROFIT ORGANIZATION ("Recipient"). City and Recipient are sometimes individually referred to as "Patty" 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 THE YOUTH & GOVERNMENT PROGRAM WHERE SANTA ANA YOUTH LEARN ABOUT LEGISLATION AND HOW TO ADVOCATE FOR THEIR COMMUNITY ("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 SUPPORT ON-GOING PROGRAM SERVICES AND SUPPORTS THE COST FOR THE UPCOMING CONFERENCES THAT WILL EMPOWER YOUTH BY EDUCATING THEM IN LEGISLATION. 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 Funds. The City has chosen to provide Recipient with a one-time payment of ONE TIIOUSAND FIVE HUNDRED DOLLARS ($1,500), 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 tetras of this Agreement, City shall have the right to tenninate this Agreement and demand the return of the funds pursuant to Section 3.2 below. 3.2 Tenn; 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 22 29A-67 3.3 Waivers. Insurance or Other Obligations. For purposes of the City's protection, if the City determines that the funds will be used for a purpose which may cause a significant risk of injury, the City may, in its sole discretion, require Recipient to provide certain insurance and participant waiver/release protections. This right shall be on-going and may be implemented by the City at any time, and all insurance and waiver/release forms shall be provided on forms, in amounts and with provisions acceptable to City. 3.4 No Oversight by City. Nothing in this Agreement shall be implied or interpreted as City establishing or providing oversight, control or approval of the Community Benefit or any activities conducted by the Recipient. 3.5 Indemnification. Recipient understands, acknowledges and agrees that Recipient shall assume all risks associated with the Community Benefit, including, but not limited to, the possibility of death or serious trauma or injury. To this end, therefore, Recipient shall defend, indemnify and hold City and its officials, officers, employees, agents and volunteers free and harmless from and against any and all claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries, in law or equity, to property or persons, including wrongful death, in any manner arising out of or incident to any and all acts, omissions, willful misconduct or other activities of the Recipient or its officials, officers, employees, agents, guests, participants attendees, and contractors, including the performance of the Community Benefit or this Agreement, including without limitation the payment of all consequential damages and attorneys fees and other related costs and expenses. The only exception to the Recipient's obligations hereunder shall be for claims, demands, causes of action, costs, expenses, liabilities, losses, damages or injuries caused by the sole negligence, sole willful misconduct or sole active negligence of the City. Recipient shall defend, at Recipient's own cost, expense and risk, any and all such aforesaid suits, actions or other legal proceedings of every kind that may be brought or instituted against the City, its officials, officers, employees, agents, or volunteers. Recipient shall pay and satisfy any judgment, award or decree that may be rendered against the City or its officials, officers, employees, agents, or volunteers, in any such suit, action or other legal proceeding, Recipient shall reimburse City and its officials, officers, employees, agents, and/or volunteers, for any and all legal expenses and costs incurred by each of them in connection therewith or in enforcing the indemnity herein provided. Recipient's obligation to indemnify shall not be restricted or limited by insurance proceeds, if any, received by the City, its officials, officers, employers, agents or volunteers. The indemnification provisions of this Agreement shall survive any expiration or termination of this Agreement. 3.6 Entire Contract/Modificatiion. This Agreement contains the entire agreement of the Parties with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or agreements. The terms and conditions of this Agreement may be altered, modified or amended only by written agreement signed by both Parties. 3.7 Authority to Enter Agreement. The person executing below on behalf of Recipient represents and warrants that the Recipient has all requisite power and authority to conduct its business and to execute, deliver and perform this Agreement. Each Party warrants that the individuals who have signed this Agreement have the legal power, right and authority to make this Agreement bind each respective Party. EXHIBIT 22 r� CITY OF SANTA ANA By: Raul Godinez 11 City Manager Attest: m Maria D. Huizar Clerk of the Council Approved as to Fonn: Sonia R. Carvalho City Attorney 11 1/1 By: — W: M. Funk Assistant City Attorney HISPANIC 100 FOUNDATION, a 501(c)3 NON-PROFIT ORGANIZATION m Signature Mario Rodriguez Chairman EXHIB IT 22 29A-69 29A-70 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: ORDINANCE AUTHORIZING MAYOR PRO TEM TO EXECUTE CONTRACTS PER CITY CHARTER SECTION 421 {STRATEGIC PLAN NO. 51 1} l/ CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt ordinance authorizing Mayor Pro Tem to execute contracts in the absence of the Mayor or in circumstances when the Mayor legally cannot or will not execute contracts as provided for in the City Charter. DISCUSSION The City Charter and the Municipal Code specify the various duties and responsibilities of the Mayor, Mayor Pro Tem and City Council Members. In the case of the Mayor, the City Charter and Municipal Code provide that the Mayor Pro Tem may act in the place of the Mayor and assumes his or his authority only when the Mayor is absent. Circumstances may exist where the Mayor is not absent, but cannot or will not carry out his or her duty to execute a specific contract for legal or personal reasons. In this case, the City Council directed the City Attorney to prepare an alternative to ensure that the City's business may be conducted without delay. The proposed ordinance provides that the Mayor Pro Tem may execute a contract when the Mayor is absent from the City or cannot or will not execute a contract due to legal or personal reasons. Section 421 of the City Charter authorizes the City Council to take this action as it provides, in part, as follows: The City shall not be bound by any contract, unless the same shall be made in writing by order of the City Council, except as hereinafter provided, and signed by an officer on behalf of the City who has been authorized to do so by the City Council. The approval of the form of all contracts shall be endorsed thereon by the City Attorney, or his or her designated representative. 50A-1 Authorize Mayor Pro Tem Authority to Execute Contracts December 19, 2017 Page 2 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. Exhibits: 1. Ordinance 50A-2 SRC 1 210 112 01 7 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE BY AMENDING SECTION 2-101 CONCERNING THE AUTHORITY OF THE MAYOR PRO TEM TO EXECUTE CONTRACTS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. Chapter 2 of the Santa Ana Municipal Code is hereby amended by amending Section 2-101 to read as follows: "Sec. 2-101: — Organization, selection of mayor pro tem and authority to execute contracts "The newly elected council shall convene as set forth in the Santa Ana Charter. The newly elected council shall proceed to organize, and the newly elected mayor shall immediately become the presiding officer. The council shall thereafter elect a. mayor pro tem by a majority vote of the council. At any subsequent meeting of the council, in the absence of the mayor and the mayor pro tem the clerk of the council shall call the council to order and call the roll of the members. If a quorum is found to be present, the council shall,- by majority vote of those present, elect a chairman of the meeting to act during the meeting or until one of the regularly designated presiding officers shall appear. The mayor pro tem shall have the same authority as the Mayor has to execute contracts on behalf of the City Council, even in circumstances when the mayor is not absent, but where the mayor cannot or will not execute a contract approved by the City Council due to legal or personal reasons." Section 2. 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. y 1 J ADOPTED this day of 2017 APPROVED AS TO FORM: By: S a R. Carvalho, Ci y Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: NOT PRESENT: Councilmembers Councilmembers 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 , 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 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: RESOLUTION TO ADOPT AND APPROVE FOR SUBMISSION THE 2016/17 MEASURE M2 YEAR-END EXPENDITURE REPORT TO CONTINUE RECEIVING COMPREHENSIVE TRANSPORTATION FUNDING PROGRAM FUNDS (STRATEGIC PLAN NO. 6, 1G) CIJZ MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1'' Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution approving the Measure M2 Annual Expenditure Report for FY 2016/17, and authorize the Public Works Agency Executive Director to submit the report to the Orange County Transportation Authority, as required by Measure M2. DISCUSSION Adoption of the resolution approving the Measure M2 Annual Expenditure Report for FY 2016/17 will allow the City to continue receiving approximately $4.6 million in Measure M2 Fair Share funds each year, as well as to remain eligible for grant funding through the Measure M2 Comprehensive Transportation Funding Programs (CTFP). The CTFP represents a collection of competitive grant programs offered to local agencies to assist in funding street improvements, transit expansion, and environmental mitigation projects. The CTFP is comprised primarily of Measure M2 funds but can include state and/or federal funding sources. Each year local agencies are required to submit documentation to the Orange County Transportation Authority (OCTA) that includes the year-end expenditure report and a resolution approving the report. The expenditure report is a detailed financial document submitted by each jurisdiction and is used to track financial activity related to the Renewed Measure M2 and other improvement funds. The report accounts for receipt, interest earned, and use of Measure M2 and other funds. This report validates eligible use of funds and must be submitted within six months of the jurisdiction's fiscal year end. Adoption of the Measure M2 Annual Expenditure Report by resolution (Exhibit 1) is a required reporting element. The CTFP is the mechanism by which OCTA administers competitive funding for streets and road projects through categorized project fund programs. Included in the 2016-17 M2 Expenditure Report is the end -of -year balance of funds allocated toward investment in transportation infrastructure projects. The Regional Capacity Program (RCP) under M2 provides funding for streets and road improvements, which financially assisted with the following City projects: Bristol 55A-1 Resolution — Adoption of Measure M2 Year -End Expenditure Report December 19, 2017 Page 2 Street Widening (all phases), Warner Avenue Improvements (all phases), Bristol Street and Memory Lane Intersection Improvements and Widening, Grand Avenue Widening (4th Street to 17th Street), Warner Avenue and Flower Street Intersection Improvements, and Fairview Street Widening. The Regional Traffic Signal Synchronization Program (RTSSP) under M2 provides funding for the coordination of traffic signals across jurisdictional boundaries, including project based operational and maintenance funding. The City's Harbor Boulevard Corridor Signal Synchronization Project is included under this CTFP category. Projects that are funded by M2 Fair Share revenues are not subject to a competitive process, but fund a wide variety of projects in the CIP. However, program expenditures must maintain certain criteria to receive fair share funding and participate in the CTFP funding process. One major requirement is that M2 Fair Share revenues are subject to timely use of funds provisions. A complete list of the M2 Fair Share Project List for FY 2016-17 with amounts expended is included on Schedule 4 of the M2 Expenditure Report (Exhibit 1). As the 2016-17 M2 Report indicates, of the $18,816,185 million received in CTFP revenue, the City expended $15,963,960 million, totaling a remaining balance of $2,852,225 million for FY 2016- 17. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There ' no fiscal imp associated with this action. F ed Mo savi our Executive Director Public Works Agency FM/EWG/HG Exhibit: 1. Resolution 55A-2 $xhiliit 1 Imf 11/27/17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING AND APPROVING FOR SUBMISSION THE FY 2016/17 MEASURE M2 EXPENDITURE REPORT FOR THE CITY OF SANTA ANA BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Orange County Local Transportation Authority Ordinance No. 3 requires local jurisdictions receiving Net Revenues as defined therein to adopt an annual Measure M2 Expenditure Report to account for Net Revenues, developer/traffic impact fees, and funds expended by local jurisdictions which satisfy the Measure M2 Maintenance of Effort requirements. B. The Measure M2 Expenditure Report shall include all Net Revenue fund balances and interest earned, and identify expenditures by type (e.g., capital,. operations, administration) and program or project. C. The Measure M2 Expenditure Report must be adopted and submitted to the Orange County Transportation Authority each year within six months of the end of the City's fiscal year for the City to be eligible to receive Net Revenues as part of Measure M2. Section 2. The City Council of the City of Santa Ana hereby finds that the FY 2016/17 Measure M2 Expenditure Report, attached hereto as Exhibit A, conforms with the Measure M2 Expenditure Report Template provided in the Renewed Measure M Eligibility Guidelines and accounts for Net Revenues, including interest earned, expenditures during the fiscal year, and balances at the end of fiscal year. Section 3. The City Council adopts the FY 2016/17 Measure M2 Expenditure Report, and directs the Executive Director of the Public Works Agency, or his designee, to submit the Expenditure Report to the Orange County Transportation Authority. Resolutlon No. 2017 -XXX Page 1 of 2 55A-3 Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. I ADOPTED this 19th day of December, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: � ohn M. Funk Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2017 -XXX Page 2 of 2 Clerk of the Council City of Santa Ana 55A-4 City of Santa Ana EXHIBIT A MZ Expenditure Report Fiscal Year Ended June 30, 2017 Beginning and Ending Balances Schedule 1 Description p Line No. Amount Interest Balances at Beginning of Fiscal Year A -M .Freeway Environmental Mitigation 1 $ - O Regional Capacity Program2 $ (8,609,429) $ ................ 71,592 P •Regional Traffic signal Synchronization Programiri 3 $ (261,869) $ - Q .:M..2..F.a.i.r..S..h.a.r.e..1 ....... ................... ... 11,893,304 .. .................. $ 154,119 . ................4. R ;HlghFrequencyMetrolink Service ... 5 $ .. . - ..... $ .............. - .. 5 Transit Extenslons to Metrolink ... ..................................................................... 6 $ 292,230 .. $ ............. - ;Convert Metrolink Station(s) to Regional Gateways that ...................... T .connect Orange County with High -Speed Rail Systems .......................... 7 $ ;Senior Mobility Program or Senior Non -Emergency Medical . .. ....... .............. ;Program .....: ... ........ ... .... .................................................................. 8 $ 25,775 $ 156 V .Community Based Transit/Circulators 9 $ ..... $ - W Safe Transit Stops _. ......... ..... ... .. .... $....• . $ - ._................ X ;Water Quality Program.,....... . .................... -•10.__ -_.11_.. $.-........_.298,734. ...............- ..............._ $ .. _. 1,639 Other* ............................................................. 12... 5 ....,•_- $..... . _ . -------- - Balances.. Beginningof....Year(SumLines. to12) _._ .. .. 13 ...................: $ 3,638,745 ... $__,._ .............. •MonlesMade ......bleDuring ......Fiscal Year 14 ........ $.........18816,185 $.-._- _.__..227,506 134,275 Total Monies Available (Sum Lines 13 & 14) _ .._.. ........-._.....- _---------------------......1 - 15_. .$_, ... 22,454,930- $- 361,760 790 Expenditures During Fiscal Year 16 $ 15,963,960 5 - Balances at End of Fiscal Year ...... .... ... .._. .. #• ; ,4, +r, t f .. r j A-M;Freeway Environmental Mitigation 17 $ - $ O Capacity Program ............... . 18 $,_ (4,671,265) ..... $ 164,259 ,Regional P ReglonalTrafflcSignalSynchronizationProgram 19 $_-_ 1._................. .. (245,232) $ 8,266 Q M2 Fair Share . _. .. ...... 20 . ............... $ 11,378,624 $ 187,413 R :High Frequency Metrolink Service 21 $ ............ - $ ............ 5 Transit Extensions to Metrolink ,....... ........... ...... .... .. ... ......... ......................... 22 $. 292,230 .. $ . .. ........ - T ;Convert Metrolink Stations) to Regional Gateways that .. .... ;connect Orange County with High -Speed Rail Systems ........................ ...... .............. 23 $ - $ ;Senior Mobility Program or Senior Non -Emergency Medical ............... .... ... .. .. ....... Program ...... .. .. 24 $ 57,772 $ 183 ,._ .. V .Community Based Transit/Circulators ..... 25 ...... $ ... .. $ ..... "IS .,_ Tra nsit Stops _ ..._.......... . ... .. . 26 $... (91,657) $„ - X ;Water QualityProgram _ ...... .. 27 $ (229,502) $ 1,639 :Other' I 28 $ - $ _ * Please provide a specific description "' In 2015-16, Project P Regional Traffic Signal Synchronization Program (TSSP) expenditures of $261,869 were consolidated with Project O expenditures on Schedule 2 Line 11. For 2016-17, TSSP Beginning Balance is reclassifying unreimbursed 2015-16 TSSP expenditures as Project P on Schedule 1 Line 3. 55A-5 City of Santa Ana M2 Expenditure Report Schedule 2 Fiscal Year Ended June 30, 2017 Sources and Uses Description Line No Amount Interest Revenues: ............ ... ..... _ A -M Freeway Environmental Mitigation ..................................... ... 1 _ ... ... eg'io . .. ... Capacity Program .... . 2 $ 12,856,473 $ 92,667 P ReionalTraffi A.., g c Signal Synchronisation Program 3 $ '-'-""'-- 1,149,650 $ 8,286 0 M2 Fair Share 4 $. 4,6i6,_1,82* $ 33,294 R High Fre u- .. . _g_.._q_entyMe[rol(nk5ervice_. ._ _._..,. _ ...., 5 $ - --- - S Transit Extensions to Metrolink - ..6 .................... $ _ .. $ ...... ....... _ T Convert Metrolink Station(s) to Regional Gateways that connect Orange County with High -Speed Rail Systems ..................................................... 7 $ _ $ ..... U ,Senior Mobility Program or Senior Non -Emergency Medical Program 8 $ ....................... 1900 ,880 $ 27 V Community Based Transit/Cucu...... g _ - W Safe Transit Stops ................... ........ ... ... .. 10 $ .................................... X 'Water Quality Program .r......_. 11 - _ :Other* lZ ......_ ............. ................. $ TOTAL REVENUES(Sum lines 1 to 12) 13 $ 18,816,185 $ 134,275 Expenditures: .... .. ... .. .. ..... ... ... .. n MIR 14 $ A-MFreewayEnvironmentalMitigation ............ $ _ 0 'Regional Capacity Program .......... ...... 15 $ ,.__. 8 918,308 $ - ....... ..................!........ P ;RegIona..ra.FlcSig.. ...chr.....onProgram 16 $ 1,133,013 ....... $ . - Q M2 Fair Share .. ......... ......... ....... _. ......... $ 5,133,862 $ - .... g Frequency Metrolink 5erv_ice ..17 _18$ _ $ ........... 5 Transit Extensions to Metrolink 19 $ .......... $ T 'Convert Metrolink Stations) to Regional Gateways that connect Orange 20 $ :County with High-speed Rail Systems .................. - $ ' ..dc.. _............................... U .Senior.......y Program or, Senior Non -Emergency Medical Program . ..... 21 $ 158,883 ....... $ - Community Based Transit/Circulators ...._.... 22 $....._ - $ - W SafeTransi[Stops ,. ........._.. _...... .............. 23 $ 91,657 $ _ X WaterCtualityProgram............. ... ... ......................... 24 $ 528,236 $ . . - ... Other* ...... 25 .................. $ $..... .. TOTAL EXPENDITURES (Sum lines 14 to 25) 26 $ 15,963,960 $ TOTAL BALANCE (Subtract line 26 from 13) 27 $ 2,852,225 $ 134,275 • Please provide a specific description y | 55A- tl�.R§&43%K { ) � .. ! � | { � d | - Q } . | . l��;\§��iat■ ! d \ � . ! � lhhg\��d � ! %e\ice | 55A- { ) ! � | { | . ! lhhg\��d | 55A- City of Santa Ana Schedule 4 M2 Expenditure Report Fiscal Year Ended June 30, 2017 M2 Fair Share Project List City of Santa Ana AMOUNT EXPENDED GRAND AVE WIDENING7390.24 TRAFFIC SIGNAL EQUIP._ RE..... T 4,578.80 UIDEWAY STEP 3 1111 ... ........................... 1111 -- -19,212.68 ... _......... NEW TRFFC SGL @ N W HOPE/CAMILLE ........................................... 1111...: _...................... 1 510.7.2 7 1111.. ................ TRFFC SGL MOD @ BEAR/SEGERSTRO .................................... ... 11,382.32 1 111..........11.1....1..................... LOCAL ST PREVENTATIVE MAINT .................................... . 747.15 1 111..............1111.................... GRND/GLSSEL/KRAEMR TRFC SGL SY 22 110.56 Bike Lane Project Dev FYE 14 ....................................... 29,373.76 .........................................14..5.3 3RD ST TRAFFIC CALMING PROJECT 40,147.53 WESTMNSTER REHAB:HARBR TOCLINT 124,791.75 HARBOR CORRIDOR TRAFF SGN SYNC 139,'635.,9,9- 39 635.994,768.01 1111 .. ........................................... _ 4 76 8 .0 1 PEDESTRIAN CONTDWN &ADA UPGRA ................:...... ...WALK 13551.51.. ACOC 1111.. ....... 82.26 _........................'--..-............... SIGNAGE UPGRADE -CITYWIDE 8.58 _ TRAFFICSGNL MOD @ 4 INTRSCTNS .........................:............ .. ... ... 8 580.60 ........... LOCAL 5T SLURRY SEAL FY15 1111. _.......!........ 488 070.33 WARNER REHAB:WCL@SA RIVER-GRND ....................................... ... .. .88 1111. 1111 _1111...— ........-...... SANTA ANA BRIDGE MAINTINVNTRY ....................._ .................. 1111 ..!....... 184.10 1111. ......... ---... HOP-PACIFIC-SHELDN BIKE BLV _ - -1111 .................................. 1111.. ... _1111.--' ........... 189,.026.. _ 1111.. ........................... PAVEMEM MANAGEMENT FY15-16 _ ..3.8 fg?i PROJECiDEVELOP... ........ ...:.....:...�........,................ -. _ _ _ _ _33,963.83 276.55 .. ...... ..... FIRST ST REHAB: NEVJHOPE-MAIN .......................... 772,868.04 Nfii--...... LOCAL ST PREVNTTIVE MAINT FYI6 .................................. .. .................. 1,580 284.30 1111.. . CITYWIOESPEED LIMIT STUDY ...................................... .. - 12,415.00 .......... OMNIBUS CONCRETE RPLCMNT FYE16 ...................................... ......................- 10,279.00 ........ 1111.. ALLEY IMPROVMNT PROGRM FY15/16 .................................. ... . 683.99 _... ...... WARNER IN DSTRL COMMNTY PAVEM NT .. .......... 1111 7,671.36 - 1111 ......... e'si...... r Ave.... St Co estminster Ave/17 St Corr Trf ................ ...._...... 4,79 82 ... ... 1111 TRAFFIC MANAGEMENT PLANS _ . . .. 27,840.25 FYI6-17 Traffc Si n. Maini Mit ................................. 182,707.22 .. 1111.. PAVEMENT MANAGEMENT FV 16-17 ............ . 91,408.37 PROJECT DEVELOPMENT FYI6/17 ... ...........................1111. .. .. _ ... ." ....201,181.62 RIGHTOFWAYMGMNT FYI6/17 ... ---��....... 11 - ....... "'.� ""."" 98,913.88 _ E' ARTERIAL ST PVNTVE MAINT FVE17 .................................. .. .................... . 103,811.94 .. - 1111.. LOCAL ST PREVNTTIVE MAINT FYI7 __ ............. ..................... .. - 1111. ............... 31, 348.42 ALLEYI.................. ... .. .. 1111. .. ...... ........... .. . .. .. 1111 .. ............ - 1111 ...... ............. 1111 . ... .. .. 1111 ......... .. 1111 .. .. .. ... .. ... 1111 . . ... .......... 10,637.68 ...... ..... — — ............. ... _... .. .......... ... .............. 1111.. $ 5,133,862.42 '• • City of Santa Ana M2 Expenditure Report Fiscal Year Ended lune 30, 2017 Signature Page I certify that the interest earned on Net Revenues allocated pursuant to the Ordinance shall be expended only for those purposes for which the Net Revenues were allocated and all the information attached herein is true and accurate to the best of my knowledge: Francisco Gutierrez, Executive Director of Finance & Management Services Agency Signature 55A-9 l\ `21 2U 1,;q - Date 55A-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE; ADOPT A RESOLUTION TO DESIGNATE EXECUTIVE DIRECTORS AND THEIR DESIGNEE(S) THE AUTHORITY TO EXECUTE FEDERAL GRANT CERTIFICATION (STRATEGIC PLAN NO. 4, 1) t CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reeding ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution designating grant administering departments' Executive Directors and their designee(s) the authority to sign on behalf the City certification documents to requesting Federal Grant agencies. DISCUSSION City Departments are in receipt of funds from various grant programs. A requirement from the respective Federal Agency (Grantor) is for the City to certify the information provided is true, current and accurate. Specifically, Grant Recipients (City of Santa Ana -Grantee) are required to file/certify their management of the said grant program in accordance with respective Grant Guidelines. Additionally, request for reimbursements must also be certified by the City (Grantee) reflecting the expenditures incurred to -date are current and accurate. The grant administering departments are responsible for ensuring compliance with grant requirements, including but not limited to monitoring grant expenditures and reporting true, current,, and accurate information to grantors (Federal Grant Agencies). As such, the Executive Directors and their designee(s) of the grant administering departments should review and certify all fiscal reports and reimbursement requests. The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ("The Uniform Guidance") is a new set of regulations for managing federal grant programs. Due to the new report certification requirements under the Uniform Guidance (2 CFR section 200.415), the City is required to include a certification language in the annual and final fiscal reports or vouchers requesting payment (all reimbursement requests), which must be signed by an official who is authorized to legally bind the entity. This resolution will authorize the grant administering departments' Executive Directors and their designee(s) the authority to sign the certification. 5513-1 Adopt a resolution to Designate Executive Directors and their Designee(s) the Authority to execute Federal Grant Certification December 19, 2017 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1 (Maintain a Stable, Efficient, and Transparent Financial Environment). FISCAL IMPACT There is no fiscal impact associated with this action. �netim��32rW _ Francisco Gutierrez SR Executive Director Finance and Management Services Agency &N. Exhibit: 1. Resolution 55B-2 LS 12.19.17 RESOLUTION NO.2017-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING EACH EXECUTIVE DIRECTOR THE AUTHORITY TO EXECUTE FEDERAL GRANT CERTIFICATION(S) FOR FEDERAL GRANTS MANAGED BY EACH RESPECTIVE DEPARTMENT OR AGENCY BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ("The Uniform Guidance") is a new set of regulations for managing federal grant programs. Due to the new report certification requirements under the Uniform Guidance (2 CFR section 200.415), the City is required to include certification language in the annual and final fiscal reports or vouchers requesting payment (all reimbursement requests), which must be signed by an official who is authorized to legally bind the entity. B. All reimbursement requests must now be signed by an official who is authorized to legally bind the entity. Such reimbursement requests are processed quite frequently and authorizing the Executive Director of each departmentlagency, or their designee, to sign such certifications pertaining to federal grant funds managed by each respective department/agency will allow the City to function expeditiously. C. The grant administering departments/agencies are responsible for ensuring compliance with all grant requirements, including but not limited to monitoring grant expenditures and reporting true, current, and accurate information to grantors (Federal Grant Agencies). As such, the Executive Directors and their designee(s) of the grant administering departments must review and certify all fiscal reports and reimbursement requests. Section 2. The City Council hereby authorizes grant administering departments' Executive Directors and their designee(s) the authority to sign the certification required 55B-3 by the Uniform Guidance (2 CFR section 200.415) with regard to all federal grant reports and reimbursement requests. 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 day of APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Lisa S orck Assistant City Attorney AYES: Councilmembers NOES: 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 the attached Resolution No. 2013- to be the original resolution adopted by the City Council of the City of Santa Ana on 2017. Date: Clerk of the Council City of Santa Ana 55B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: ADOPT THE RESOLUTION APPROVING THE TITLE VI PLAN UPDATE REQUIRED BY CALTRANS {STRATEGIC PLAN NO. 5,6E) CWY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution approving the Title VI plan update and authorize its submittal as required by Caltrans. DISCUSSION On May 6, 2014 the City adopted a resolution to approve the Title VI plan. At the time the plan was a requirement to secure a Caltrans award for two compressed natural gas energy efficient vehicles. These vehicles are used by the City for the Senior Mobility Program. The purpose of the Title VI plan is to show that the City assures that no person on the grounds of race, color, sex, age, disability or national origin, as provided by Title VI of the Civil Rights Act of 1964, and the Civil Rights Restoration Act of 1987 will be excluded from participation in, be denied the benefits, or be otherwise subjected to discrimination under any program or activity. Caltrans has requested an updated Title VI plan and resolution authorizing the approval of the plan by the City Council. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #6 (Focus projects and programs on improving the health and wellness of all residents), Strategy E (Expand Senior Center programming to provide greater enrichment and explore activities in art, culture and health). FUNDING There is no fiscal impact associated with this action. 55C-1 Adopt the Resolution Approving the Title VI Plan Update December 19, 2017 Page 2 Gerardo Mouet Executive Director Parks, Recreation and Community Services Agency EXHIBIT: 1. Resolution 55C-2 LAR 12.19.17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE TITLE VI COMPLIANCE PLAN AND AUTHORIZING ITS SUBMITTAL TO THE CALIFORNIA DEPARTMENT OF TRANSPORTATION FOR THE FEDERAL TRANSIT ADMINISTRATION SECTION 5310 ELDERLY AND DISABLED SPECIALIZED TRANSIT GRANT PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City of Santa Ana applied for and was awarded a grant from the California Department of Transportation ("Caltrans') for the Federal Transit Administration Section 5310 Elderly and Disabled Specialized Transit Grant Program for the period March 12, 2014 through March 31, 2019, to replace the existing gasoline powered vans used for the Seniors on the Go Program with compressed natural gas powered vans. B. In 2014, the City Council of the City of Santa Ana approved a Resolution adopting its Title VI Compliance Plan. Title VI prohibits exclusion from participation in and denial of benefits of, and otherwise being subjected to discrimination on the basis of race, color or national origin by any program or activity receiving Federal financial assistance. C. The Federal Transit Administration Guidelines require that direct and primary recipients document their compliance by submitting a Title VI Program to their Federal Transit Administration regional civil rights officer once every three years and requires governing body approval of the Program/Plan. D. The City hereby approves the attached updated Title VI Pian, and authorizes its submittal to Caltransas required for compliance with the grant certifications for the Federal Transit Administration Section 5310 Elderly and Disabled Specialized Transit Grant Program through the State of California -Department of Transportation. Section 2. The City Council of the City of Santa Ana hereby approves the attached updated Title VI Plan, and authorizes its submittal to Caltrans as required for compliance with the grant certifications for the Federal Transit Administration Resolution 2017 -XXX Page 1 of 2 55C-3 Section 5310 Elderly and Disabled Specialized Transit Grant Program through the State of California Department of Transportation. Section 3. The City Council hereby reaffirms its, authorization of the Executive Director of the Parks, Recreation and Community Services Agency to implement the components of the Plan in order to meet Federal requirements. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of December, 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia Carvalho, City Attorney ByL'rt l Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Maria D. Huizar Clerk of the Council City of Santa Ana Resolution 2017 -XXX Page 2 of 2 55C-4 r CITY OF SANTA ANA PARKS, RECREATION AND COMMUNITY SERVICES AGENCY TITLE Vt PLAN' November2017 55C-5 CITY OF SANTA ANA — PARKS. RECREATION AND COMMUNITY SERVICES AGENCY TITLE VI PLAN 1'ndex, ITEM...............................................................::........::............................................................................ PAGE Noticeto the Public............................................................................:........................................................ 2 Noticeto the Public Locations..................................................................................................................3-A ComplaintProcedures........................................................................................................................................4 ComplaintForm.................................................................................................................................................6 List of Transit -Related Title VI investigations, complaints and lawsuits ........ :.............................................. 9 Public Participation Plan ...................... :............................................... Limited English Proficiency Plan........................................................... Safe Harbor Provision......................................................................... Boards and Commissions.................................................................................. Environmental and Transportation Advisory Committee 55C-6 ........................................ '10 ........................................ 14 ............................ 17 ............................ 21 .................................. 2 2 NOTICE TO PUBLIC CITY OF SANTA ANA RIGHTS UNDER TITLE VI The City of Santa Ana gives public notice of its policy to assure full compliance with Title VI of the Civil Rights Acts of 1964 and. related regulations. Specifically, Title VI provides that "no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance." For additional information on the City of Santa Ana's nondiscrimination obligations, please contact the City's Equal Opportunity Officer by mail, telephone or email using the information below: Equal. Opportunity Officer Jennifer Sommers City of Santa Ana 20 Civic Center Plaza, M-24 Santa Ana, CA 92701 (714) 647-5348 jsommers@santa-ana.org If you believe you have beeh excluded from participation in, been denied the benefits of, or been "subjected to discrimination under this City of Santa Ana program, you may file an official Title VI complaint with the Equal Opportunity Officer. We encourage you to make your complaint in writing. A complaint must be filed within 180 days after the date of the alleged discrimination. The Title VI Complaint Procedures and Complaint Form can be obtained by calling the number above: • Title VI Complaint Procedures • Title VI Complaint Form Si se necesita la informaci6n en espanol, favor de Ilamar a Maribel Carmona, telefono'(714) 647- 5353. If information is needed in another language, please contact Ms. Sommers at (714) 647-5348 *(This Notice is posted on the City's Website, on oll City break room bulletin boards, and at the City of Santa Ana W/O/RIK Center) 55C-7 2 CIUDAD DE SANTA ANA DERECHOS BAJO TITULO VI La Ciudad de Santa Ana da aviso al publico de su politica para asegurar el pleno cumplimiento con el Titulo VI de la Ley de Derechos Civiles de 1964 y los reglamentos conexos. Especificamente, el Titulo VI establece que " ninguna persona en los Estados Unidos, por motivos de raza, color, u origen nacional, sera excluida de participar an, ser negado los beneficios de, o ser sujeto a discriminacion bajo cualquier programa o actividad que reciba asistencia federal financiera." Para obtener informacion adicional acerca de las obligaciones de la Ciudad de Santa Ana de no discriminar, por favor comuniquese con la Oficial de Igualdad de Oportunidades de la Ciudad por correo, telefono o correo electronico utilizando la siguiente informacion: Oficial de Igualdad de bportunidades Sra. Jennifer Sommers Ciudad de Santa Ana 20 Civic Center Plaza, M- 24 Santa Ana, CA 92701 (714)647-5348 Iso mme rs(aisanta-ana. o rq Si usted cree que ha sido excluido de participar, se le ha negado los beneficios de, o ha sido sujeto a discriminacion on un programa de la Ciudad de Santa Ana, usted puede presentar una queja oficial bajo el Titulo VI con la Oficial de Igualdad de Oportunidades. Le sugerimos a presentar su queja por escrito. Su queja se debe presentar dentro de los 180 dias despues de la fecha de la supuesta discriminacion. Los Procedimientos de Quejas del Titulo VI y el Formulario de Quejas se pueden obtener Hernando al numero de arriba: ..Procedimientos de Quejas del Titulo VI c Formulario de Quejas del Titulo VI Si se necesita mas Informaci6n en espanol, favor de Ilamar a Mary Kelley, telefono (714) 647-5347. Si se necesita informacion en otro idioma, por favor comunicarse con la Sra. Sommers al (714) 647-5348 (Este aviso sera publicada en la pagina de internet de la Ciudad, en todas las salas de descanso, sobre los tableros de boletines de la ciudad, y en el W/O/R/K Center de la Ciudad de Santa Ana). 55C-8 3 NOTICE TO PUBLIC LOCATIONS GOVERNMENT FACILITIES City Hall, Personnel Services Department - 5'' floor 20 Civic Center Plaza Santa Ana, CA 92701 City Hall, PRCSA - Ross Annex - 211 floor 20 Civic Center Plaza Santa Ana, CA 92701 Work Center at Santa Ana Regional Transportation Center - 2nd floor 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 Ross Annex - 15` floor 20 Civic Center Plaza Santa Ana, CA 92701 CENTERS EI Salvador Recreation Center 1825 W. Civic Center Dr.- Santa r.Santa Ana, CA 92703 Garfield Community Center 501 N. Lacy Street Santa Ana -CA 92701 Jerome Recreation Center 726 S. Center St. Santa Ana, CA 92704 Logan Recreation Center 1009 N. Custer St. Santa Ana, CA 92701 Memorial Recreation Center 2102 S. Flower St. Santa Ana, CA 92707 Salgado Community Center 706 N. Newhope Ave. Santa Ana, CA 92703 SENIOR CENTERS Santa Ana Senior Center 424 W -3rd Street Santa Ana, CA 92701 Southwest Senior Center 2201 W. McFadden Avenue Santa Ana, CA 92704 5EPO-9 CITY OF SANTA ANA — PARKS. RECREATION AND COMMUNITY SERVICES AGENCY TITLE VI COMPLAINT PROCEDURES Any person who believes that she or he has been discriminated against on the basis of race, color, or national origin by the City of Santa Ana, Parks Recreation and Community Services Agency, may file a Title VI complaint with the Equal Opportunity Officer. The following steps describe the procedures to file a complaint and how the City of Santa Ana will respond. 1. The complaint must be submitted to the Equal Opportunity Officer no later than 180 days after the date of the alleged discrimination. 2. A Title VI Complaint Form can be obtained by calling (714) 647-5348 or by downloading the form from our website at www.santa-ana.ore. Please provide the following information on the complaint form or you may submit a signed written statement that contains all of the following written information. • Your name, address and how to contact you (phone number, email address, etc.). • The basis of the alleged discrimination complaint (race, color, or national origin). • How, why, when and where you believe you were excluded from participation in, were denied the benefits of, or were subjected to discrimination. • Include the location, names and contact information of any witnesses. • Indicate whether you have filed the complaint with the Federal Transit Administration. • You must sign your letter of complaint. If you as the Complainant are unable to write a complaint, the Equal Opportunity Officer will assist you with the complaint. The City of Santa Ana is committed to providing open access to its services to persons with limited ability to speak or understand English; if requested by the complainant, the Equal Opportunity Officer will provide language translation services. 3. The complaint shall be sent to the following address: 55C-10 4 Equal Opportunity Officer Ms. Jennifer Sommers City of Santa Ana 20 Civic Center Plaza, M-24 Santa Ana, CA 92701 (714) 647-5348 isommers(@santa-ana.org 4. Once the complaint is received, the Equal Opportunity Officer will review it to determine if our office has jurisdiction. The Complainant will receive an a ck n owl e d ge m e n l e tt e r i n f o r m i n g her/him whether the complaint will be investigated by our office. 5. All complaints will be investigated promptly. Reasonable measures will be undertaken to preserve any information that is confidential. The Equal Opportunity Officer will review every complaint, .and when necessary, begin the investigation process. 6: Upon completion of the investigation, the Equal Opportunity Officer will complete a final report. The investigation process and final report should take no longer than ninety (90) days after receipt of the complaint. If a Title VI violation is found to exist, a Determination letter will be issued which summarizes the allegations and the interviews regarding the alleged incident, and explains the remedial steps as appropriate and necessary to be taken immediately. If no Title VI violation was found, Complainant will receive a closure letter which summarizes the allegations and states that there was not a Title VI violation and that the case will be closed. 7. If the Complainant wishes to appeal the decision, she or he has 30 days after the date of the letter to do so. Complainant may contact the Federal Transit Administration, Regional Civil Rights Officer, 90 7th Street, Suite 15-300, San Francisco, CA 94103, (415) 734-9490, Fax - (415) 734-9489. 8. A person may also file a Title IV complaint, no later than 180 days after the date of the alleged discrimination, directly to the Federal Transit Administration, Office of Civil Rights, Attention: Complaint Team, 1200 New Jersey Avenue., SE, Washington, DC 20590. 55C-11 5 CITY OF SANTA ANA TITLE VI COMPLAINT FORM Title VI of the Civil Rights Act of 1964 prohibits discrimination on the basis of race, color or national origin in programs and activities receiving Federal financial assistance. Specifically, Title VI provides that "no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." Title VI guarantees fair treatment for all people and provides for the City of Santa Ana, to identify and address, as appropriate, disproportionately high and adverse effects of its programs, policies, and activities on minority and low-income populations, such as undertaking reasonable steps to ensure that Limited English Proficient (LEP) persons have meaningful access to the programs, services, and information the City of Santa Ana provides. SECTION I Name Mailing Address Telephone Numbers (Home) (Mobile) Electronic Mail(Email)Address Are there any accessible format needs? Large Print ( ) CD/Audio Tape ( ) TDD ( ) Other SECTION II Are you filing this complaint on your own behalf?._Yes* _No *If you answered "yes" to this question, go to Section II/ If not, please supply the name and relationship of the person for who you are complaining: Please explain why you have filed for a third party: 55C-12 6 CITY OF SANTA ANA TITLE VI COMPLAINT FORM Please confirm that you have obtained the permission of the aggrieved party if you are filing on behalf of a third party. Yes No SECTION III List type of discrimination you experienced: (please check all that apply): Race ( ) Color ( ) National Origin ( ) Other Please indicate your race/color, if it is a basis of your complaint Please describe your national origin, if it is a basis of your complaint Location where alleged discrimination occurred Time and date of alleged discrimination Name/Position title of the person who allegedly subjected you to Title VI discrimination: Please explain as clearly as possible what happened, why you believe it happened and how you were discriminated against. You should include specific details and any other information that would. assist us in our investigation of your allegations. Please also provide any other documentation that is relevant to this complaint. (Use a separate sheet if necessary) Please list below any persons, witnesses, if known, whom we may contact, for additional information to support or clarify your complaint (Name, Address and Telephone Number): Have you previously filed a Title VI complaint with this agency? Yes No Have you filed this complaint with any other Federal, State, or local agency, or with any Federal. of State court? Yes No Federal Agency: Date: Federal Court:- Date: State Agency: Date: State Court: Date: Local Agency: Date: 55C-13 7 SECTION V What remedy are you seeking forth alleged discrimination? How did you learn that you could file this complaint? SECTION VI You may attach any written materials or other information that you think is relevant to your complaint. YOUR SIGNATURE ANDTODAY'S DATE ARE REQUIRED BELOW: Signature Date Please submit this completed form in person, or mail the form to: Jennifer Sommers, Title VI - Equal Opportunity Officer, City of Santa Ana, 20 Civic Plaza, M-24, Santa Ana, CA 92701. Please make a copy for your records. November 2017 55C-814 CITY OF SANTA ANA TITLE VI LIST OF TRANSIT -RELATED INVESTIGATIONS, COMPLAINTS, AND LAWSUITS The City of Santa Ana currently does not have any investigations, complaints or lawsuits with regards to Civil Rights Violations. November 2017 55C-15 CITY OF SANTA ANA TITLE VI - PUBLIC PARTICIPATION PLAN PURPOSE The City of Santa Ana's Public Participation Plan is organized to work in concert with the Title VI Plan and the Limited English Proficiency Plan. The purpose of the Public Participation Plan is to establish procedures that allow for, encourage, and monitor participation of all citizens living and working in the City, and users of public transportation. Special attention will be paid to ,soliciting input from low-income and minority communities that are traditionally underrepresented. A survey tool will be developed to seek information about personal transportation and the most effective channels of communication for the City to engage the citizenry. The survey tool will be used to solicit input for the Public Participation Plan. The survey will be posted on the City of Santa Ana website, and distributed at neighborhood and community meetings. Cognizant of individuals with limited English Proficiency, the survey will be developed at a fourth grade reading level and translated into both Spanish and Vietnamese. GOALS AND OBJECTIVES The City's public involvement plan has a single comprehensive goal: to allow the public opportunities throughout the planning process to influence decisions. In order to meet this goal, the City has established the following objectives: 1. Identifythe most appropriate methods for reachingthe public. 2. Determine what non-English languages and other cultural barriers exist to public participation within the Santa Ana area. 3. Hold meetings in locations which are accessible and reasonably welcoming to all area residents, including but not limited to, low-income and minority members of the public. 4. Keep the public informed through effective channels of communication and allow input from those not likely to attend meetings. 5. Work to actively involve the public in programs, policy-making and projects. 6. Ensure that the City's public involvement plan is dynamic and responsive. 7. Use various illustrative visualization techniques to convey the information including but not limited to charts, graphs, photos, maps and the internet. 55C-16 10 CITY OF SANTA ANA TITLE VI - PUBLIC PARTICIPATION PLAN IDENTIFICATION OFSTAKEHOLDERS Stakeholders are those who are either directly, or indirectly, affected by a plan, or the recommendations of that plan. Those who may be adversely affected, or who may be denied benefit of a plan's recommendation(s), are of particular interest in the identification of specific stakeholders. Stakeholders are broken down into several groups: general citizens, minority and low-income persons, public agencies, and private organization and businesses. General Citizens: There are 324,538 residents in the Santa Ana area (U.S. Census, 2010). Around 78.2 percent are persons of Hispanic or Latino origin. 46 percent of the population consider themselves to be White; 10.5 percent reported as Asian; 1.5 percent is Black persons; and 1 percent is American Indian and Alaska Native persons. 82 percent indicated they spoke a language other than English at home. Low-income: Low-income households (below poverty level) account for 18% of all households in Santa Ana and should be given every reasonable opportunity to provide input on transportation plans and programs. Public Agencies: Public agencies can provide valuable input to the planning process, in addition to assisting in gaining attention from traditionally under -represented populations. Private Organizations and Businesses: Private organizations and businesses offer a number of perspectives that are valuable to the planning process. Often, transportation for employees is of critical concern to private sector employees. For that reason, representation of private business interests will be welcomed in the planning process. Engaging'minority and Limited English Proficiency populations can be challenging. Below is a list of outreach techniques that the City will use to actively solicit public input in the planning process of a project. Newsletters: Quarterly newsletters will be available in both print and e -formats. Newsletters provide the public and local government partners with progress updates on projects and programs. These newsletters i I I provide a frequent channel of communication with the public and allow the public to stay informed. Website: A well organized and engaging website is the cornerstone of the City's communication strategy. The website will offer a user-friendly structure and linguistic style understandable to lay people interested in projects and the planning process. In addition, the website will be developed 55C-17 11 CITY OF SANTA ANA TITLE VI - PUBLIC PARTICIPATION PLAN CITY OF SANTA ANA TITLE VI - PUBLIC PARTICIPATION PLAN following the guidelines of Section 508 of the Rehabilitation Act, so that it is able to accommodate disabled users. Social Media: The City will utilize common social media forums (Facebook, Twitter, -Nixie, etc.) to disseminate project information. Public Notices: The City will include notations in public notices in appropriate non-English languages that will provide a contact where the individual can be informed of the process/project, and will have an opportunity to give input. Public Meetings & Focus Groups; The City will host public meetings and focus groups to discuss topics/projects of interest with the public. When hosting public meetings, the City will provide adequate notice to the public and follow all federally prescribed guidelines regarding public comment periods. The City Will make a good faith effort to notify the public, such as posting in work places. At meetings, the City will utilize visualization aides, such as power -points and maps to assist the public in understanding the situation. PERFORMANCE METHODS On an annual basis, the City will undertake an internal review of its public participation plan's effectiveness of engaging the, public; by examining criteria, such as: • Records public meetings, • Records of responses to citizen email, and • Input from the general public PUBLIC PARTICIPATION PLAN (PPPI Availability of this plan for review will be advertised in a manner reasonably expected to reach the general public, as well as minority populations, low-income persons, and traditionally under -served populations. This could occur through contacts mentioned earlier in this document, notification of contacts are available in English, Spanish and Vietnamese languages. For project information, please contact: Parks, Recreation and Community Services Agency Jeannie Jurado 20 Civic Center Plaza — M23 Santa Ana, CA 92807 (714) 571-4251 liurado@santa-ana.org 55C-18 12 CITY OF SANTA ANA TITLE VI - PUBLIC PARTICIPATION PLAN For PPP information, please contact: Personnel Services Department Jennifer Sommers 20 Civic Center Plaza — M24 Santa Ana, CA 92807 (714) 647-5348 0sommers@santa-ana.orP November 2017 55C-19 13 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 .09�49A;pT A � x V 4:ti i �„C • Y' tTf »oR• CITY OF SANTA ANA Limited English Proficiency (LEP) Plan TITLE VI I. PURPOSE To establish guidance for the City of Santa Ana to provide timely and reasonable language assistance to Limited English Proficiency (LEP) persons who come in contact with the City. This plan is established pursuant to and in accordance with Title IV of the Civil Rights Act of 1964 and its implementing regulations and Executive Order 13166, "Improving Access to Services for Persons with Limited English Proficiency'. Title VI of the Civil Rights Act of 1964 requires that "No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.” Executive Order 13166 was adopted to ...improve access to federally conducted and federally assisted programs and activities for persons who as a result of national origin, are limited in their English proficiency.,. This plan reiterates the City of Santa Ana's position that it will, provide the language assistance necessary for meaningful participation in its programs and services to persons who, as a result of national origin, are limited in English proficiency. II. REFERENCES • Federal Register, Volume 68, Number 103, Civil Rights Center; Enforcement of Title VI of the Civil Rights Act of 1964; Policy Guidance to Federal Financial Assistance Recipients Regarding the Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons: Notice (May 29, 2003) • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (August 11, 2000) • Department of Labor (DOL) Training and Employment Guidance Letter (TEGL) 26-02, Publication of Revised Guidance Regarding the Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons (May 29, 2003) 55C-20 14 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 III. BACKGROUND Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d, et seq. and its implementing regulations provide that no person shall be subjected to discrimination on the basis of race, color, or national origin under any program or activity that receives federal financial assistance. In order to avoid discrimination against LEP persons on the grounds of national origin, we must take reasonable steps to ensure that such persons have meaningful access to the programs, services, and information. Language barriers prohibit LEP persons from obtaining services and information relating to a variety of services and programs because they may not be able to read instructions or correspondence written in English and may not understand verbal information. Many times, they are not aware of regulatory requirements and legal implications of the services they seek. When LEP persons receive legal documents, they often do not understand the contents of the correspondence and its implication to their daily lives. LEP •persons may not be able to take advantage of services, which could affect their job and social opportunities. When individuals do not understand or read English, they can be hampered in seeking employment opportunities. IV. GOALS It is essential that City staff be informed about their diverse clientele from a linguistic, cultural and social perspective. These individuals will be culturally competent so they can encourage vulnerable LEP minority populations to access and receive appropriate services with more knowledge and confidence. The key to providing meaningful access to LEP persons is to ensure that LEP persons can communicate effectively and act appropriately based on that communication. Minimum reasonable measures would be to ensure that LEP persons are given adequate information, are able to understand that information, and are able to participate effectively in programs or activities. Spanish and Vietnamese are the two most requested languages for interpreters in the City of Santa Ana. City staff will make designated publications available in languages other than English and provide interpretation/translation services to persons who are not proficient in English. The City will take reasonable steps to ensure that LEP persons are given adequate information, are able to understand that information, and are able to participate effectively in recipient programs or activities, where appropriate. V. FOUR FACTOR ANALYSIS The DOT Four Factor Analysis provides guidance to agencies receiving federal financial assistance in taking reasonable steps to ensure meaningful access to all of its services, programs and activities used by LEP persons. The City received a $200,000 grant to purchase two fuel-efficient shuttle buses for the City's Seniors on the Go Transportation Program. This program will offer transportation to and from the seniors' home to both of the City's Senior Recreation Centers. Transportation will not be provided to the general public, therefore, an analysis of public demographic 55C-21 15 City of Santa Ana Limited.English Proficiency (LEP) Plan November 2017 data in the City of Santa Ana does not represent actual populations served by this program, but is offered for comparison purposes only. In order to prepare this plan, the City of Santa Ana undertook an analysis that considers the following factors: 1. The number or proportion of LEP persons in the service area who maybe served by the City. City staff reviewed the 2010 U.S. Census to determine the approximate number of LEP persons age 5 years and older in the City of Santa Ana. RACE White Black Amer Ind/Alaskan Asian Native Haw/Pac Isl Hispanic/Latino (a) (a) Hispanics may be of any race TOTAL POPULATION 148,938 4,856 3,260 34,158 976. 253,928 POPULATION PERCENTAGE 45.9 1.5 1.0 10.5 0.3 78.2 City staff also reviewed the 2010 U.S. Census to determine that 82% of the City population (266,121 LEP speakers) spoke a language other than English at home. This meets the Department of Justice (DOJ) Safe Harbor provision of "every 1000 speakers or five % of the population; whichever is less. In the County of Orange, 367,299 Spanish-speaking residents speak English "less than very well" (49%) and 100,797 Vietnamese -speaking residents speak English "less than very well" (61.8%). 2. The frequency with which LEP persons come in contact with City programs, activities or services. Contact with LEP individuals has not occurred in this program. However, approximately 90% of the residents that participate in activities at the two Senior Recreation Centers on a monthly basis speak a language other than English. 3. The nature and importance of programs, activities or services provided by the City to the LEP population. The primary purposes of the Seniors on the Go Transportation Program is to provide transportation for residents 60 years of age and older, to and from the City's Senior Centers and provide weekly shopping trips to local stores and mini -excursions to various area attractions. By enabling participants to keep in touch with the community, bond with peers and engage in meaningful activities, the program helps seniors maintain their independence and dignity. This in turn creates opportunities that can enhance the quality of life for senior adults. 4. The resources available to the recipient of federal funds and overall cost to provide LEP assistance. Outreach expenses as they relate to LEP populations are split among several departments (Personnel Services, Parks, Recreation & Community Services Agency, Police, and Community Development Agency). The City updated its website with the capability to translate information 55C-22 16 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 into 80 different languages. All of the City's public counters are staffed with bilingual speakers for the two most common languages requested in the City of Santa Ana, Spanish and Vietnamese. Costs for marketing materials and translation of documents for outreach are minimal and have not been quantified. S. Summary Based on the four -factor analysis, the City of Santa Ana has identified the language needs and services required to provide meaningful access to information for the LEP residents of Santa Ana. This LEP Plan will be reviewed on an annual basis and incorporate LEP information that further identify additional language needs for the top languages identified. VI. PLANNING— DEVELOPING A LANGUAGE ASSISTANCE PROGRAM (LAP) A. Identification of LEP Persons City staff will use the following methods to identify LEP persons: • Examine records to see if requests for language assistance have been ,received in the past, either at meetings or from referrals to determine whether language assistance might be needed for future events or literature. • Provide language identification forms which invite LEP persons to identify their language needs to our staff members. Records will be maintained for a 3 -year period. Safe Harbor Provision. DOT has adopted DOJ's Safe Harbor Provision, which outlines circumstances that can provide a "safer harbor' for recipients regarding translation of written materials for LEP populations. The Safe Harbor Provision stipulates that, if a recipient provides written translation of vital documents for each eligible LEP language group that constitutes five percent (5%) or 1,000 persons, whichever is less, of the total population of persons eligible to be served or likely to be affected or encountered, then such action will be considered strong evidence of compliance with the recipient's written translation obligations. Translation of noh-vital documents, if needed, can be provided orally. If there are fewer than 50 persons in a language group that reaches the five percent (5%) trigger, the recipient is not required to translate vital written materials but should provide written notice in the primary language of the LEP language group of the right to receive competent oral interpretation of those written materials, free of cost. These safe harbor provisions apply to the translation of written documents only. They do not affect the requirement to provide meaningful access to the LEP individuals though competent oral interpreters where oral language services are needed and are reasonable. A recipient may determine, based on the Four Factor Analysis, that even though a language group meets the threshold specified by the Safe Harbor Provision, written translation may not be an effective means to provide language assistance measures. For example, a recipient may determine that a large number of persons in that language group have low literacy skills in their native language and therefore require oral interpretation. In such cases, a background documentation regarding the determination shall be 55C-23 17 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 provided to FTA in the Title VI Program. B. Language Assistance Measures Staff will continue to accomplish several language assistance measures to assist LEP persons, including the following: • Translate an inventory of existing materials in a variety of languages based on demographics, including Spanish and Vietnamese. • Regularly review and update these materials. • Assure LEP persons have access to staff that are trained and competent in the skill of interpreting/translation. • Contract with an outside interpreter service for trained and competent interpreters, as needed. • Arrange for the services of voluntary community interpreters who are trained and competent in the skill of interpreting. • Arrange for the use of a telephone language interpreter service. • Establish a linkage between minority community-based organizations for assistance in cultural understanding and interpretation services. • Post and maintain signs in waiting rooms, reception areas and other initial points of entry in languages other than English. In order to be effective, these signs should inform applicants and beneficiaries of their right to free language assistance services and invite them to identify themselves as persons needing such services. • Translate application forms and instructional, informational, and other written materials into appropriate non-English languages by competent translators. • For LEP persons where written documents do not exist in their language, assistance should be provided from an interpreter/translator to explain the contents of documents. • Efforts for assistance to low -frequency, unusual or unexpected languages may include, but are not limited to, using a telephone language line, and locating and temporarily employing a qualified interpreter who can communicate in the appropriate language. • Notices and information that are generally available to the public will be made available to identified LEP populations. • Establish uniform procedures for timely and effective telephone communication between staff and LEP persons. This will include instructions for English -only -speaking employees to obtain assistance from interpreters or bilingual staff when receiving calls from or initiating calls to LEP persons. • Statements about the services available and the right to free language assistance services, in appropriate non-English languages, will be included in brochures, booklets, outreach and recruitment information and other materials that are routinely disseminated to the public. • Ensure that translated materials provide referrals to telephone numbers or websites that are linguistically accessible (e.g., a flyer in Vietnamese should refer the caller to -a hotline with Vietnamese -speaking workers). 55C-24 18 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 C. Training Training for front-line staff members, who are often the first points of contact with LEP individuals, is provided by City Personnel. Staff training includes: • Identifying and tracking language preference information of LEP persons; • Delivering services effectively to LEP persons; • Assuring staff sensitivity to the literacy level of LEP persons; • Describing LEP services offered to the public; • Procuring interpreter services; • Identifying and documenting language needs of LEP persons; • Processing a Title VI/LEP complaint; • Familiaritywith Disability Awareness, Ethics, Civil Rights and Conflict Management issues. This LEP plan will be distributed to all staff assigned at public counters. D. Providing Notice to LEP Persons Notice of language assistance services will be accomplished as follows: • Signs to be posted in the entry areas regarding the availability of services and that they are free of charge. • Website, documents, and brochures will be offered or printed in alternative languages and will include that, language services are available and are free of charge. • Staff will inform LEP persons that language assistance is available and is free of charge. VII. MONITORING AND UPDATING THE LEP In July of each year, a Personnel Services representative will review the effectiveness of the LEP Plan. The evaluation will include identification of any problem areas and development of required corrective action strategies. Elements of the evaluation may include: • Identification of the number of LEP persons requesting interpreters/translators; • Review of up-to-date community and demographic information; • Determination of whether interpretation/translation services have been effective; • Assessment of current language needs to determine if additional services or translated materials should be provided; • Assessment whether staff members adequately understand LEP guidelines and procedures and how to carry them out; • Gathering feedback from LEP communities in the service areas of the City, such as schools, faith -communities, and other resources 55C-25 19 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 VIII. DEFINITIONS Limited -English -Proficient Persons: Individuals with a primary or home language other than English who must, due to limited fluency in English, communicatein that primary or home language if the individuals are to have an equal opportunity to participate effectively in or benefit from any aid, service or benefit provided by Santa Ana Workforce Investment Board. Linguistically Isolated: This term is defined in the Census as the percentage of the persons in households in which no one over the age of 14 speaks English well, and is used as a direct measure of those persons with a severe language barrier, as distinct from those of foreign origin who speak English well. Low Frequency and Unusual or Unexpected Languages: An individual with limited English skills who does not speak a language spoken by a "significant number or proportion of the population". Qualified Interpreter: Qualified interpreter means an interpreter who is able to interpret effectively, accurately, and impartially, either for individuals with disabilities or for individuals with limited English skills. The interpreter should be able to interpret both receptively and expressively, using any necessary specialized vocabulary. Non-English Language Relay Service: A telecommunications relay service that allows persons with hearing or speech disabilities who use languages other than English to communicate with voice telephone users in a shared language other than English, through a communications assistant who is fluent in that language. The City's LEP Plan and Title VI Complaint Procedure are available on the City of Santa Ana's website @ www.santa-ana.ore. Any person or agency may request a copy of the LEP Plan via telephone, fax, mail, or in person and shall be provided a copy of the Plan at no cost. Questions or comments about the LEP Plan may be submitted to the Equal Opportunity Officer, City of Santa Ana, Personnel Services Department, 20 Civic Center Plaza, M-24, Santa Ana, CA 92701, (714) 647-5348, Fax (714) 647-6930 orjsommers@santa-ana.org. 55C-26 20 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 'TITLE VI CITY OF SANTA ANA BOARDS AND COMMISSIONS According to the 2010 U.S. Census, the City of Santa Ana's minority race/ethnic breakdown is as follows: Black 1.5% American Indian and Alaska Native 1.0% Asian 10.5% Native Hawaiian and Other Pacific Islander 0.3% Hispanic or Latino 78.2% Through its website, the City encourages residents to become involved in their community by participating on Boards, Commissions and Committees. The City accepts applications for Boards, Commissions and Committees, on an ongoing basis and keeps them active for a two-year period. The Maddy Act requires that the City of Santa Ana post one time per year by December 31st, all upcoming vacancies (Local Appointment List). This Notice includes current members of City Boards and Commissions, the title of Boards and Commissions with vacancies, term expiration dates, and the process to apply for Boards and Commissions. This Notice is available in Spanish, Vietnamese, Korean and Chinese. Additionally, when a vacancy occurs, notices are posted in three physical locations (Council Chambers, Office of the Clerk of the Council, and the Santa Ana Library). A Notice is posted oil the City's website as well. The applications of individuals who have applied in the past two years are reviewed and notification is made to interested individuals according to the Ward in which they reside. Most recently, a press release was sent to individuals residing in two of the Council Wards. This notice was area -specific to encourage members of the public and minorities to apply for the available Board and Commission representing these specific locations. November 2017 55C-27 21 City of Santa Ana Limited English Proficiency (LEP) Plan November 2017 CITY OF SANTA ANA— PARKS, RECREATION AND COMMUNTY SERVICES AGENCY ENVIRONMENTAL AND TRANSPORTATION ADVISORY COMMITTEE The Public Works Agency is the liaison agency for the Environmental and Transportation Advisory Committee (ETAC), who act as an advisory body to the City Council in reviewing Environmental Issues which include water resources, recycling, trash collection and urban forestry, and transportation issues such as traffic lights, transportation systems, traffic circulation, medians, speed humps, and neighborhood traffic protection plans. ETAC is comprised of ten members: seven regular members; one Santa Ana Chamber of Commerce Representative, one Hispanic Chamber of Commerce of Orange County representative, and one student representative. Members must be a qualified elector of the City of Santa Ana and cannot be a treasurer of a Political Action Commission. The two Chamber representatives are nominated by the respective Chamber of Commerce and are appointed by the City Council. MEMBER Vacant Michael Macres Gilad Salmon Bruce Bauer Carl Benninger Michael Gonzalez Vacant )auelle C. McLoughlin Vacant Fred Mousavipour William Galvez L. Ortiz REPRESENTING Mayor of Santa Ana City Council Ward #1 City Council Ward #2 City Council Ward #3 City Council Ward #4 City Council Ward #5 City Council Ward #6 Santa Ana Chamber of Commerce Hispanic Chamber of Commerce of Orange County City of Santa Ana/Public Works Agency, Executive Director City of Santa Ana/Public Works Agency, City Engineer City of Santa Ana/Public Works Agency, Executive Secretary 55C-28 1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: ADOPT A RESOLUTION SUPPORTING COMMUNITY DEVELOPMENT PARTNERS SUBMITTAL OF AN APPLICATION FOR THE AFFORDABLE HOUSING AND SUSTAINABLE COMMUNITIES PROGRAM, AND, IF AWARDED, AUTHORIZING THE CITY TO ENTER INTO A CONTRACT WITH COMMUNITY DEVELOPMENT PARTNERS TO CONSTRUCT THE TRANSPORTATION RELATED INFRASTRUCTURE FOR THE TINY TIM APARTMENTS LOCATED AT 2223 WEST FIFTH STREET (STRATEGIC PLAN NO. 5,3 & 6) iii?—VIANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution supporting Community Development Partners submittal of a funding application for the Affordable Housing and Sustainable Communities Grant Program ("Cap and Trade") in the amount not to exceed $6,700,000 for the Tiny Tim Apartments, and if awarded, authorizing the City of Santa Ana to enter into a contract with Community Development Partners utilizing grant funds to construct the transportation related infrastructure for Tiny Tim Apartments, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On October 2, 2017, the California Department of Housing and Community Development (HCD) announced the availability of approximately $255 million in funding for the Affordable Housing and Sustainable Communities Program (AHSC). The AHSC Program funds are offered through a Notice of Funding Availability (NOFA) application that provides funding for projects that reduce greenhouse gas emissions by supporting more compact, infill development patterns, encouraging active transportation and transit usage, and protecting agricultural land from sprawl development. Funding for the AHSC Program is provided from the Greenhouse Gas Reduction Fund, an account established to receive auction proceeds from the California Cap -and -Trade Program. The application for AHSC funds to be submitted by Community Development Partners (the 55D-1 Resolution — AHSC Program Application December 19, 2017 Page 2 "Developer") is not to exceed $7,500,000, of which up to $5,000,000 is requested as a loan for the affordable housing development (AHSC Loan) and up to $2,500,000 is requested for a grant for Housing-Related Infrastructure (HRI), Sustainable Transportation Infrastructure (STI), Transit- Related Amenities (TRA) or Program (PGM) activities (AHSC Grant). The Tiny Tim Apartments project is a 51-unit new construction affordable housing development at 2223 W. Fifth Street in Santa Ana targeting low-income families making 30% to 60% Area Median Income (Project). The AHSC Grant will be for the Developer's STI and TRA portion of the Project, which is a bicycle boulevard treatment along Fifth Street between the Santa Ana River Trail and Raiff Street. The Resolution supports the submission of an application forfunding under the AHSC Program (Exhibit 1). Furthermore, if the Project is awarded funding from the State of California for the AHSC Grant staff will recommend to City Council to enter into a contract with Community Development Partners to utilize the grant funds to construct the transportation related infrastructure for the Project, subject to non-substantive changes approved by the City Manager and City Attorney. The Project proposal is consistent with the goals set forth in the Southern California Association of Governments' 2012-2035 Regional Transportation Plan/Sustainable Communities Strategy, which places great importance on sustainable and smart growth, as well as the interconnectivity of land use and transportation planning. On June 20, 2017, the City Council awarded a pre-loan commitment to the Developer of Inclusionary Housing Funds not to exceed $1,300,000 and Housing Successor Agency Funds not to exceed $4,700,000. The Tiny Tim Apartments project was approved by the Planning Commission on November 27, 2017. On December 19, 2017, the City Council will be asked to receive and file the Planning Commission's approval. Contingent on the award of funds, the resolution authorizes the City Manager to enter into a contract with the Developer to utilize those AHSC Grant funds in an amount up to $2,500,000 to develop the Transportation Related Infrastructure component of the Project. STRATEGIC PLAN ALIGNMENT Approval of this item assists the City in meeting Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods) and Objective # 6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT There is no fiscal impact associated with this action. Obert M. Zur ch i Interim Executi irector Community Development Agency Exhibit: Resolution 55D-2 Exhibit 1 ROH -12/19/17 RESOLUTION NO.2017-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SUPPORTING COMMUNITY DEVELOPMENT PARTNERS SUBMITTAL OF AN APPLICATION FOR FUNDING UNDER THE AFFORDABLE HOUSING AND SUSTAINABLE COMMUNITIES PROGRAM, AND, IF AWARDED, AUTHORIZING THE CITY TO ENTER INTO A CONTRACT WITH DEVELOPER UTILIZING THE GRANT FUNDS TO CONSTRUCT THE TRANSPORTATION RELATED INFRASTRUCTURE FOR THE TINY TIM APARTMENTS PROJECT LOCATED AT 2223 W. FIFTH STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA, AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Strategic Growth Council's ("SGC") Affordable Housing and Sustainable Communities ("AHSC") Program funds land -use, housing, transportation, and land preservation projects to support infill and compact development that reduces greenhouse gas ("GHG") emissions. These projects facilitate the reduction of the emissions of GHG's by improving mobility options and increasing infill development, which decrease vehicle miles traveled and associated greenhouse gas and other emissions, and by reducing land conversion, which would result in emissions of greenhouse gases. B. On October 2, 2017, the Department of Housing and Community Development ("HCD") announced availability of approximately $255 million in funding for the AHSC Program, also known as the Cap & Trade Program, C. The State of California, SGC, and HCD issued a Notice of Funding Availability ("NOFA") dated October 2, 2017, under the AHSC Program, established under Division 44, Part 1 of the Public Resources Code, commencing with Section 75200. Funding for the AHSC Program is provided from the Greenhouse Gas Reduction Fund, an account established to receive Cap -and -Trade auction proceeds. D. SGC is authorized to approve funding allocations for the AHSC Program, subject to the terms and conditions of the NOFA, Program Guidelines, Application Package, and Standard Agreement. HCD is authorized to administer the approved funding allocations of the AHSC Program. Resolution No. 2017-xxx Page 1 of 3 55D-3 E. The City of Santa Ana wishes to support Community Development Partners' ("Developer') application to receive an allocation of up to $7,500,000 in grant and loan funds through the AHSC Program for the Tiny Tim Apartments project, a 51 - unit new construction affordable housing development at 2223 W. Fifth Street in Santa Ana targeting low-income families making 30%-60% AMI, including 5 units targeting at - risk homeless families ("Project"). The Application comprises of a request not to exceed $5,000,000 as a loan for an Affordable Housing Development (AHD) ("AHSC Loan") and request not to exceed $2,500,000 for a grant for Housing -Related (HRI), Sustainable Transportation Infrastructure (STI), Transit -Related Amenities (TRA) or Program (PGM) activities ("AHSC Grant") as defined the AHSC Program Guidelines adopted by SGC on July 17, 2017. F. The City of Santa Ana provided the Developer with a residual receipts loan in an amount not to exceed $6,000,000 in support of the Project. Section 2. The City Manager, or his designee, is authorized and empowered to execute in the name of the City of Santa Ana all necessary applications, contracts, payment requests, agreements, amendments or any other documents related to, and in furtherance of, the Developer's application for the purposes of securing funds and to carry out the purposes specified in the AHSC application and agreement. Section 3, If the application for funding is approved, and the Developer is awarded grant funds for Transportation Related Infrastructure, the City of Santa Ana will enter into a contract with the Developer to utilize those AHSC grant funds in an amount up to $2,500,000 to develop the Transportation Related Infrastructure component of the Project, which involves a bicycle boulevard treatment along Fifth Street between the Santa Ana River Trail and Raitt Street to provide improved bicycle access from the Santa Ana River Trail to Downtown Santa Ana. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Resolution No. 2017-xxx Page 2 of 3 55D-4 ADOPTED this _ day of , 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City At e By: Ryan O. dge Assistan ity A orney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of 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 2017. Date: Clerk of Council City of Santa Ana 55D-5 Resolution No. 2017-xxx Page 3 of 3 55D-6 aREQUEST FOR COUNCIL ACTION Ij r�r'�rn tCITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: REVIEW OF REGULARLY SCHEDULED CITY COUNCIL MEETINGS IN 2018 (STRATEGIC PLAN NO. 5, 1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Review calendar of regularly scheduled City Council Meetings in 2018. 2. As in past practice, select a meeting date in July and/or August to cancel. 3. Direct staff to post Notice of Cancellation(s). The City Council hereby waives notice of said meetings as required by the government code. 4. Authorize City Council Committees, at their first meeting of the year, to set the date and time for their regular meetings in 2018. DISCUSSION At the November 21, 2017 City Council Meeting directed staff to re-agendize consideration of the 2018 calendar of regular meetings to decide which meeting during the summer months to cancel - traditionally in July or August. The meetings that may be considered for cancellation are July 3 or 17 and/or August 7 or 21. The City Council has already canceled the first meeting in January and Election Day, both depicted on the calendar attached. If the City Council cancels any other regularly scheduled meeting, they will resume consideration of agenda items at their next regular scheduled meeting. The City Council reserves the right to cancel any other meetings and notify the public as legally required. As for Council Committees, since approval of the calendar, the membership has changed, thus, staff recommends that each committee considers approval of their regular meeting date and time at their first meeting of the year and notify the Clerk of the Council office to update the master calendar. 65A-1 2018 City Council Meeting Scheduled December 19, 2017 Page 2 The 2018 Calendar and agenda materials for all regular and special meetings are posted on the City's website at: http://www.santa-ana.org/coc/granicus.asp. City Council Meetings are typically held in the Council Chamber, 22 Civic Center Plaza, Santa Ana and Council Committee meetings at City Hall, Ross Annex, Room 1600, Santa Ana or as otherwise noted on the agenda. STRATEGIC PLAN Approval of this agreement allows us 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. Maria D. Huizar, n Clerk of the Council Attachments: 1. Calendar of City Council and Council Committee Meetings 65A-2 3 \ \ 65A- oil IN ������� IIIIIII 11SI 11 :IIINI I 01 INN 3110 N IINNIN 65A- oil IN ������� 111MINI :IIINI I 01 65A- oil IN 111MINI :IIINI I 01 INN 3110 N IINNIN 65A- oil IN 65A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: APPROVE THE BUDGET CALENDAR FOR FISCAL YEAR 2018-2019 (STRATEGIC PLAN NO. 4, 1) CIV MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 16' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve the Budget Calendar for Fiscal Year (FY) 2018-2019. Under the direction and leadership of the City Manager along with the Budget Principles, a Budget Calendar (Calendar) has been developed by the Finance & Management Services Agency. This is the fourth consecutive year that the Calendar is being presented to City Council. The Calendar is submitted for Council consideration in the spirit of complying with both the City's adopted Strategic Plan and Sunshine Ordinance and serves as an informative and guiding tool to provide a successful and transparent City budget process. The current Calendar provides a framework of tasks and key dates for the City Council, general public and city staff as outlined in the following key areas: Financial Updates and Projections In March 2018, city staff will present a FY 17-18 Mid -Year Budget Review to the Economic Development, Infrastructure, Budget and Technology (EDIBT) Committee and the City Council. The purpose of these presentations is to provide a financial update on the current fiscal year and provide a preliminary year-end projection to guide planning and discussion in preparation of the FY 18-19 City Budget. In May 2018, City staff will present a General Fund Trial Budget (Trial Budget) and Capital Improvement Program (CIP) for FY 18-19. The purpose of the Trial Budget and CIP is to provide the City Council a first glance look at the upcoming Budget. Additionally, staff will present a 3rd Quarter General Fund update, a General Fund One Year Forecast and Four Year Projections. Communication and Civic Enaaaement Communication is an imperative part of the budget process. In the months of October and November, the Budget office held two meetings with departmental budget liaisons which focused on review of the prior year's budget process and also provided some preliminary budget information and tasks related to the upcoming budget year. 6513-1 Approve the Budget Calendar for Fiscal Year 2018-2019 December 19, 2017 Page 2 The Budget Office also conducted a Community Budget Meeting in October which provided an overview of the FY 17-18 City Budget, CIP, a review and update of the Five Year Strategic Plan. At this meeting, community members asked questions, provided feedback, and comments to be used for future budget presentations. In continuing support of transparency and community engagement, there will be five community meetings held during March and April 2018. City staff will present a mid -year budget review presentation to community members and businesses and provide an opportunity to gather community priorities to be considered for the FY18-19 City Budget and CIP. Additionally, the Planning Commission will have a review of the FY 18-19 CIP and community members may attend and provide comment. During March and April 2018, the City Manager and the Budget Team will be meeting with City Departments to review any proposed organizational and budget requests along with any proposed new and/or modified fees. Additionally, the City Manager will conduct one-on-one meetings with the City Council to review the Trial Budget and CIP to discuss any proposed changes and recommendations to be used in the budget preparation of the FY 18-19 City Budget. The public will have additional opportunities for community engagement. The Proposed FY 18-19 City Budget and CIP will be presented at the EDIBT Committee meeting on May 14th and at a Work Study Session at the May 15th City Council Meeting. The Proposed Budget provides an opportunity to view all the various city funds' budgets, proposed workforce changes, proposed miscellaneous fees and CIP developed through community, department and City Council feedback. Lastly, the City Council will hold a public hearing (first reading) on June 5th in which community members may comment on the City Manager's proposed budget. At the conclusion of the public hearing, City Council may make revisions to the proposed budget which will be adopted (second reading) at the June 19th City Council Meeting. The Calendar commences December 19, 2017 and ends with the adoption of the fiscal year 2018- 2019 Budget tentatively scheduled for June 19, 2018. Approval of the Calendar promotes public awareness, transparency, and community engagement while ensuring that the FY 18-19 City Budget and Capital Improvement Program are successfully implemented. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 - City Financial Stability, Objective #1, (maintain a stable, efficient and transparent financial environment). 65B-2 Approve the Budget Calendar for Fiscal Year 2018-2019 December 19, 2017 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. 156y rA-�th, . Francisco Gutierrez Executive Director Finance and Management Services Agency EXHIBIT: 1. FY 2018-2019 Budget Calendar L• Lt m I 0 EXHIBIT 1 City of Santa Ana FY 2018-2019 Budget Calendar December 19, 2017 Present Preliminary Calendar & Process to City Council for Approval March 12, 2018 Mid -Year Budget Review—Economic Development, Infrastructure, Budget and Technology (EDIBT) Committee meeting March 20, 2018 Mid -Year Budget Review — City Council meeting March/April 2018 • Planning Commission —Capital Improvement Pgm. • Community Budget Meetings (Proposed) ➢ Council Chamber (Sunshine Ordinance) — March 29 ➢ Com -Link Meeting ➢ Lawn Bowling Center ➢ Salgado Center or Newhope Library ➢ Delhi Community Center or Madison Elementary March 28 — • Budget Team Meeting with City Departments April 5, 2018 May 1, 2018 • Preliminary FY 17-18 Budget Status (3`d Quarter Update) • General Fund One -Year Forecast (FY 18-19) and Four Year Projections • Present City Manager's General Fund Trial Budget • Prelim. Capital Improvement Program (CIP — includes Water & Sewer) to City Council May 14, 2018 City Manager's Proposed FY 18-19 Budget EDIBT meeting May 15, 2018 City Manager's Proposed FY 18-19 Budget City Council Work -Study Session Includes CIP, Miscellaneous Fees, and Personnel Resolution June 5, 2018 Tentative Budget/CIP Ordinance Adoption Adopt Miscellaneous Fees, and Personnel Resolution June 19, 2018 Final Budget/CIP Ordinance Adoption July 1, 2018 Start of the New Fiscal Year L• REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: PUBLIC HEARING — MITIGATED NEGATIVE DECLARATION/ENVIRONMENTAL REVIEW NO. 2016-165, GENERAL PLAN AMENDMENT NO. 2017-02 AND AMENDMENT APPLICATION NO. 2017-03 FOR THE TINY TIM PLAZA PROJECT LOCATED AT 2223 AND 2237 WEST FIFTH STREET — BRIAN HENDRICKS, APPLICANT (STRATEGIC PLAN NOS. 3, 2; 5, 3) YID CIV MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r_1»[APL� ❑ As Recommended ❑ As Amended ❑ Ordinance on 1A Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Adopt a resolution approving Mitigated Negative Declaration/Environmental Review No. 2016- 165 and General Plan Amendment No. 2017-02. 2. Adopt an ordinance approving Amendment Application No. 2017-03. PLANNING COMMISSION ACTION At its regular meeting on November 27, 2017, the Planning Commission by a vote of 3:2 (Nguyen and Verino opposed; Alderete and Bacerra absent) recommended that the City Council adopt a resolution approving Mitigated Negative Declaration/Environmental Review No. 2016-165 and General Plan Amendment No. 2017-02 and adopt an ordinance approving Amendment Application No. 2017-03 to allow the Tiny Tim Plaza project located at 2223 and 2237 West Fifth Street. The Planning Commission made no changes to the recommended actions outlined in the attached staff report (Exhibit A). DISCUSSION The applicant is requesting approval of two entitlements to allow a new, 51 -unit affordable residential development and commercial rehabilitation project at Tiny Tim Plaza located at 2223 and 2237 West Fifth Street. Specifically, the applicant is requesting approval of a General Plan Amendment (GPA) to change the property's General Plan land use designation from Low -Density Residential (LR) and General Commercial (GC) to the Urban Neighborhood (UN) land use designation and approval of an Amendment Application (AA) to change the property's zoning designation from Single -Family Residence (R1) and Two -Family Residence (R2) to Specific 75A-1 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 — Tiny Tim Plaza Project at 2223 and 2237 West Fifth Street December 19, 2017 Page 2 Development (SD) No. 92. Staff is recommending approval of the applicant's request due to the site's proximity to transit services and employment centers and because the proposed project has been designed to incorporate significant reinvestment in the entire project site and to minimize impacts on surrounding land uses. A complete analysis is provided in the attached staff report (Exhibit A). Full-sized plans of the development project 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); and Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. Candida Neal, AICP Acting Executive Director Planning & Building Agency AP: rb S:RFCA\12-19-17\PI3A GPA17-02 AA17-03 Tiny Tim Plaza= Exhibit: A. Planning Commission Staff Report B. Resolution C. Ordinance 75A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: NOVEMBER 27, 2017 TITLE: PUBLIC HEARING — MITIGATED NEGATIVE DECLARATIONIENVIRONMENTAL REVIEW NO. 2016-165, GENERAL PLAN AMENDMENT NO. 2017-02 AND AMENDMENT APPLICATION NO. 2017-03 FOR THE TINY TIM PLAZA PROJECT LOCATED AT 2223 AND 2237 W. FIFTH STREET — BRIAN HENDRICKS, APPLICANT (STRATEGIC PLAN NOS. 3,2; 5, 3) Prepared by Ali Pezeshkpour Kz� Acting Exec ve Dire for RECOMMENDED ON Recommend that the City Council: PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Acting PI ning M nager 1. Adopt a resolution approving Mitigated Negative Declaration/Environmental Review No. 2016- 165 and General Plan Amendment No. 2017-02 2. Adopt an ordinance approving Amendment Application No. 2017-03. Executive Summary Brian Hendricks, representing Community Development Partners, is requesting approval of two entitlements to allow a new affordable residential development and commercial rehabilitation at Tiny Tim Plaza located at 2223 and 2237 West Fifth Street. Specifically, the applicant is requesting approval of a General Plan Amendment (GPA) to change the property's General Plan land use designation from Low -Density Residential (LR) and General Commercial (GC) to the Urban Neighborhood (UN) land use designation and approval of an Amendment Application (AA) to change the property's zoning designation from Single -Family Residence (R1) and Two -Family Residence (R2) to Specific Development (SD) No. 92. Staff is recommending approval of the applicant's request due to the site's proximity to transit services and employment centers and because the proposed project has been designed to incorporate significant reinvestment in the entire project site and to minimize impacts on surrounding land uses. Table 1: Project and Location Information Item ` information _ I Proiect Address 2223 and 2237 West Fifth Street EXHIBIT A 75A-3 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 2 Item _ m 1lnforimation, 1 Nearest Intersection West Fifth and North Hawley streets General Plan Designation Existing Proposed Low -Density Residential (LR) General Commercial (GC) Urban .Neighborhood (UN), FAR 1.05 Zoning. Designation Single -Family Residence (R1) Specific Development No. 92 Two -Family Residence R2 Surrounding Land Uses North Single -Family Residences East Single -Family Residences South Commercial/Industrial West Commercial/l.ndustrial and Single -Family Residences Site Size (combined) '2.33 acres Existing Site Development The site is currently developed with commercial uses, including: • Two single -story commercial buildings (2223), and One single -story automotive repair facili 2237 Attachments Exhibit 1 (Vicinity Zoning and Aerial View), Exhibit 2 (Site Photo),, Exhibit 3 (Site Plan), Exhibit 4 (Floor Plans), Exhibit 5 (Elevations); Exhibit 6 (Renderings), Exhibit 7 (Landscape Plan), Exhibit '8 (Revised Land Use Element), .Exhibit 9 (Revised Zoning Map), Exhibit '10 (Specific Development No. 92), Exhibit 11 (Link to Draft Negative Declaration), Exhibit 12 (Resolution), and Exhibit 13 Ordinance Project Background Tiny Tim Plaza W6s.developed between 1962 and 1963 as a commercial center consisting of two freestanding, single -story commercial buildings and a separate automotive repair facility. Since its construction in the early 1960s, minor alterations to the site have been constructed, mostly in the form of interior tenant improvements to individual businesses. In 2013, following approval of a conditional use permit to allow the sale of alcoholic beverages for onsite consumption, the site's landscaping, parking lot, and trash enclosure were upgraded to bring the site into closer compliance with current standards in the Santa Ana Municipal Code (SAMC)_ In late 2016 the applicant submitted plans to construct the proposed project. Following input from the community and from the City's Development Review Committee, the plans were revised to lessen the number of residential units, increase the number of onsite parking spaces for the residential component of the project, and to enhance the onsite amenities and architecture. In addition, the applicant eliminated all studio and one -bedroom units and revised the project to satisfy the City's goal of providing family-oriented affordable housing. The applicant is pursuing Affordable Housing and Sustainable Communities program -("Cap -and - Trade") funds that require the units to be affordable at between 30 and 60 percent of area median income (AMI). These funds require that all units in the development (51), except the 75A-4 ER No. 2016-165, GPA No. 2017-02, AA N6.2017-03 November 27, 2017 Page 3 onsite manager's unit, be made available only to those households earning between 30 and 60 percent of AMI, which is currently $31,300 to $62,580 for a household of four. Proiect Description The project consists of four separate but related components: 1. Construction of a new affordable residential community, 2. Rehabilitation of the existing commercial structures at the north and east portions of the project site, 3. New site amenities and landscaping, and 4. Modifications to Fifth and Hawley streets. These components are described in greater detail below. Table 2: Project Summary The first component of the project includes demolition of the existing, vacant automotive repair structure at 2237 West Fifth Street (comer of Fifth and Hawley streets). In its place, the applicant proposes to construct the subject affordable residential community. The community will be built in a single structure containing four levels. The first level will contain the majority of the site's private open spaces, including community rooms and management offices. This level will also contain the onsite residential parking in a structure that is designed to be concealed from view. The structure will contain the residential parking spaces, as well as bicycle parking lockers and two separate trash enclosure rooms: one for the residential component, and one to serve the site's 75A-5 Unit Type Number Proposed Percent of Development Square Footage Two -Bedroom 20 39 800-850 Three -Bedroom 29 57 1,050 Four -Bedroom 2 4 1,200 Parking Type Number Proposed Percent of Parking Allocation- llocationGara e Spaces Garage 94 61 1.84 per unit Commercial Lot 59 39 1 per 285 sq. ft. Total Onsite Spaces 153 100 N/A Common Spaced Common Space Type Area emposed Percent of Common Space Amenities Provided Outdoor Landscape Area 25,670 64 25% of overall site Plaza, stage, urban farm, esplanade, and fitness park Private Open Space 11,070 28 Courtyard, community garden, and private open space per unit Interior Community Space 3,360 8 Lobby, mail room, offices, laundry facility, community and rooms Total Area 40,100 100 N/A The first component of the project includes demolition of the existing, vacant automotive repair structure at 2237 West Fifth Street (comer of Fifth and Hawley streets). In its place, the applicant proposes to construct the subject affordable residential community. The community will be built in a single structure containing four levels. The first level will contain the majority of the site's private open spaces, including community rooms and management offices. This level will also contain the onsite residential parking in a structure that is designed to be concealed from view. The structure will contain the residential parking spaces, as well as bicycle parking lockers and two separate trash enclosure rooms: one for the residential component, and one to serve the site's 75A-5 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 4 commercial uses. Inside, the applicant is proposing vehicle/car lifts to respond to the community's input requesting additional residential parking and to provide extra height to the .ground floor, enhancing the building's urban design and presence on Fifth Street. Additional levels (courtyard/2"d through 4th.) will contain residential units and onsite open spaces for the residents. The structure has been designed with a contemporary architectural style that uses large facades; repetitive window placement, and areas .for vegetation and murals. The architectural style proposed is currently en vogue in Mexico City and has influenced local projects, most notably the Marketplace shopping center in Tustin and Irvine. Finally, the building has been designed to concentrate the highest level (4th floor) closest to Fifth Street and to reduce in scale to three stories toward the back. The second component of the project is to renovate the commercial center at 2223 West Fifth Street. The applicant proposes adding new board form concrete, wood siding, cement plaster, windows, and aluminum storefronts to the'two existing structures. These improvements will tie the entire project site together and establish a uniform contemporary architectural style among all buildings on the project site. The third component of the project involves extensive upgrades to the site, including new landscape and hardscape, , as well as relocation of the .existing .automotive repair building's canopy to a new stage and "zocalo" between the two commercial buildings. This component also includes a new plaza area in front of the commercial building closest to Fifth Street to maximize the site's presence near the future Fixed Guideway (streetcar) station proposed nearby. Additional site upgrades include construction of an urban farm behind the commercial buildings,, outdoor play equipment, an entry plaza at the new residential structure, and a fitness park. The proposed landscape palette includes drought -tolerant plants, and hardscape materials that will feature horizontal, vertical, and chevron/zig-zag designs to complement the contemporary architectural style of the buildings. The fourth and final component of the project includes modifications to Fifth and Hawley streets to support multi -modal transit in the project vicinity. Both streets will be reconstructed to increase the width of the sidewalk along the project's frontage. Moreover, West Fifth Street will be reconstructed to allow on -street parking and a new bicycle lane. Both driveways at .Fifth and Hawley streets will feature bulb -outs to enhance vehicular and pedestrian safety in the area. Finally, new sidewalks, curbs, street lights„and street trees will be constructed or installed along the project's frontages on both streets. Proiect Analysis Applications for general plan amendments and amendment applications (zone changes) to create. a specific development zone are analyzed using an issues -based approach. For the proposed project, staff has prepared the analysis below that informs the recommendation for approval. 1. Is the proposed project compatible with the surrounding community and development intensity? 75A-6 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 5 The project has been designed with the community's feedback in mind using site planning approaches that will minimize the project's impact on the surrounding community. The proposed residential building will be located close to Fifth and Hawley streets, away from single-family residences located primarily to the north and east. Moreover, the tallest portion of the new building will be located the farthest away from single -,family residences, minimizing visual intrusion. The new building has also been designed with angles that afford view opportunities into the existing retail site from Fifth Street (eastbound and westbound) and from Hawley Street (northbound). Moreover, the rehabilitation of the existing commercial center does not include any intensification as the applicant proposes to maintain all existing square footages. Finally, the onsite parking will be sufficient for a project designed to meet affordable housing goals, and the amount of parking proposed for the commercial uses exceeds the onsite parking standards required by the City's transit -oriented code areas. 2. Will the proposed project provide dignified housing opportunities and contribute to the surrounding community? The proposed project meets or exceeds many of the City's existing code requirements for similar projects. For example, 25 percent of the project site will feature accessible open space for both residents and the surrounding community, while private residential open spaces in the form of interior amenities, courtyards, and balconies will provide open space to residents of the residential component. All units have been designed to feature spacious kitchen and living/diningareas, reinforcing the family-oriented nature of the development. On-site management will ensure that all resident needs are met and that parking is managed appropriately in a timely manner. The project will also rehabilitate and enhance an existing neighborhood -oriented commercial center that has not undergone any significant reinvestment or upgrades since it was constructed over 50 years ago. The reinvestment will create plaza areas, community gardens, a performance stage, and other gathering areas that will create a sense of place and gathering for the surrounding community: All components of the overall site rehabilitation will be open to the public; only the resident -oriented private open space areas, such as the interior courtyard, laundry rooms, community rooms, and similar spaces, will be secured for resident access only. 3. Is the project compatible with the 2014 Housing Element and the future vision for its setting? The project site was identified in the City's 2014 Housing Element "Available Land for Housing" section. The Fifth Street corridor sub -area was identified as containing 14 acres of underutilized property near the future Fixed Guideway (streetcar) that is ripe for transit - oriented development. Further, the Element identifies the area as an opportunity to 75A-7 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 6 transition industrial properties to residential redevelopment to gradually eliminate incompatible land uses. The project takes advantage of its proximity to existing and future transit services. Major bus routes are available within a half -mile of the project site, and the location is 0.3 miles from the future Fixed Guideway (streetcar) station planned at Fifth and Raitt streets. 'Moreover, the project is located on a corridor (Fifth Street) that is slated for reduction in width to accommodate on -street parking, bicycle lanes, and wider sidewalks, all common attributes of multi -modal transportation routes. The project site and the immediate vicinity have been preliminarily identified for consideration for future land use designation changes during the citywide General Plan update currently taking place, making the proposed development consistent with the future vision for West Fifth Street near the proposed Fixed Guideway station. Finally, the future station and existing bus service connect the site to. employment centers in the South Harbor Boulevard industrial area, the West Fifth Street iridustdal/commercial area, and the Civic Center. General Plan Amendment Per the General Plan, the UN land use designation applies primarily to residential areas with pedestrian -oriented commercial uses, schools and small parks. The UN allows for a mix of residential uses and housing types, such as low- to mid -rise multiple -family, townhouses and single-family dwellings; with some opportunities for live -work, neighborhood serving retail and service, public spaces and other similar uses. Either vertical or horizontal integration of uses is permitted based on zoning standards, with an emphasis on tying together the uses with pedestrian linkages and street frontages. Street connectivity is desirable, allowing for a high degree of walkability, transit options, and other forms of transportation including• pedestrian and bicycle travel. The intensity standard for the UN land use ranges from a floor area ratio of 0.5 to 3.0 with the residential density based on a combination of floor area ratio and zoning development standards. The project is consistent with the intent, character and intensity standards of the UN land use designation. In addition, the City is in the, process of updating the General .Plan. A key component of the update process includes the identification -of sites and corridors for future' development. The Envisioning Map identifies the project site vicinity, including the project site, as a potential area for mixed-use development. The future land use designation of the West Fifth Street corridor will be studied in greater depth as the update process continues. Amendment Application The subject site is split between the Single -Family and Two -Family Residence (R1/R2) zoning districts. The development standards pertaining to the two zoning districts would render the project unfeasible. Approval of an amendment application to change the zoning district is required for the project. The Specific Development (SD) designation allows flexibility of the uses and development standards that are tailored to a unique and specific project. 75A-8 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 7 If the zone change is approved, a series of site-specific objectives, policies and development standards will be used to guide the development of the proposed project such as setbacks, parking and height to allow the exclusive entitlement of the permanent supportive housing project. The SD document has been drafted to be consistent with the project and prohibits future modifications to enlarge or reduce the size of the project The zone change needs to be approved in conjunction with the proposed General Plan Amendment in order for the project to be consistent with the General Plan. Table 3: CEQA. Strategic Plan Alignment, and Public Notification & Community Outreach CEQA, Strate ic,Plan Ali nment,.and Public Notification:& Communi `.OutreacR CEQA CEQA Type The proposed project requires preparation of a mitigated negative declaration (MND), which was circulated for 20 days beginning November 14, 2017 until December 5, 2017. The MND evaluated potential impacts to all required environmental factors on the initial study checklist and found that only one potentially significant impact could be generated by the project relating to traffic. As a result, a mitigation measure is required to paint certain portions of the curb face red that are adjacent to and near the project's frontage, to improve visibility for motorists turning near the project site. Public Notification A notice of intent and draft MND was circulated to interested parties on November 15, 2017 and published in the Orange County Register on November 21, 2017. The draft MND was available for public review at the Santa Ana City Hall, City of Santa Ana Main Libra , and on the project web a e on the City's website. Strategic Plan Alig nmerif. Goal(s), Policy or Approval of this item supports the City's efforts to meet Goal #3 — Economic Policies Development, Objective #2 (create new opportunities for businessljob growth and encourage private development through new General Plan and Zoning policies) and Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #3 (facilitate diverse housing opportunities and support efforts to reserve and improve the livability of Santa Ana neighborhoods). Public flotificatlon & Communi ;Outreach. Required Measures Community Meeting was held on February 9, 2017 at 7:00 p.m. at KidWorks located at 1902 West Chestnut Avenue in accordance with the provisions of the City's Sunshine Ordinance. Approximately 60 members of the public and two Planning Division staff attended. The applicant provided all the required information to the City after the meeting. A public noticed was posted on the project site on November 16, 2017- 017Notification Notificationby mail was mailed to all property owners and occupants within 500 feet of the project site on November 16 2017. Newspaper posting was published in the Orange County Reporter on November 17, 2017. Sunshine Ordinance Community Meeting 75A-9 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 8 The applicant held a Sunshine Ordinance Community Meeting at KidWorks on February 9, 2017 where the developers and architect presented the project to and received feedback from the community. Approximately 60 residents and business owners attended the meeting. The questions and comments of those in attendance are outlined below, with information on how the project was revised to address concerns. 1. Can the project be redesigned to contain more onsite parking for residents? The applicant revised the plans to include car lifts to maximize the number of residential parking spaces within the parking structure. The applicant is eligible to provide on-site parking at a ratio of 0.5 spaces per unit pursuant to AB 744 because the site is within one- half mile of a major transit stop. However, following extensive community 'input, the, applicant revised the plans to incorporate car lifts, raising the parking ratio to 1.84 parking spaces per unit, which is more than three times what the State requires and above similar, recently -approved affordable housing developments. 2. The project should "step down" in height closer to the existing single-family neighborhood. The original plans. showed a new, four-story residential building with no stepping down. Following input from the community and staff, the applicant eliminated a portion of the fourth level that faces the rear of the project site. This new configuration features four stories along Fifth Street, three stories facing the existing single -story commercial buildings, then the single-family residences to the rear, accomplishing the "step down" architectural effect. The open space amenities on-site, specifically the plazas and "zocalo," will become havens for loitering and gang activity. The plazas and "zocalo"'have been designed to be as open and visible as possible. Moreover, regularly -scheduled programming with live music concerts, as well as seating areas, will allow the areas to be used frequently, thus discouraging any crime or loitering. SAMC standards will require installation of site lighting to ensure that no portions of the project site remain dark. 4. The project will result in displacement of existing tenants in the Tiny Tim Plaza commercial center. No tenant relocation is proposed as part of the commercial center's rehabilitation. The existing corner automotive repair building will be demolished and -replaced with the proposed residential development, although the canopy structure will be preserved and relocated on the project site. As of this writing, the tenant occupying the corner building that is slated for demolition has vacated the premises. Conclusion 75A-10 ER No. 2016-165, GPA No. 2017-02, AA No. 2017-03 November 27, 2017 Page 9 Based on the analysis provided within this report, staff recommends that the Planning Commission approve the recommended actions. .Ali Pezeshkpour, AICP Senior Planner AP: sb SAPlanning Commission120171GPA17-02 AA17-03 Tiny Tim Plaza.pc Exhibits: 1 —Vicinity Zoning and Aerial View 2 — Site Photo 3 — Site Plan 4 — Floor Plans 5 — Elevations 6 — Renderings 7 _ Landscape Plans 8 — Revised Land Use Element 9 — Revised Zoning Map 10 — Specific Development No. 92 11 — Link to Draft Mitigated Negative Declaration 12 — Draft Resolution 13 — Draft Ordinance 75A-11 1112112017 MND/ER 2016 - Print GPA 2017-21 AA 2017-3, Tiny Tim Plaza - a,f -$ f J x � h � '� + ,ggra L ,w aE. ��.e'i iifi 4.Htt�� b63 Y .. 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LU C ¢ ¢ V 2 2 „ „ F / ow LL 0ar7®®r70 A31mnH 75A-18 0 3E u z_i O ruO w 2 m F o- ze w 612 andi - � a m I 1 75A-19 75A-20 75A-21 LO m x W f i 0 tL 23 75A-24 0 N 3= nv _s, lfliLlu.LJu 14ti �.5) ` f IS } - I%- Q a V O 2 6 J N N d y d d a y V zs m ¢ C 3 O J a oy N o y c c d NI � O m — -am m o OI O. V V- 0 N 0m< W sYiKi n?7ns 75A-29 0 a, 9z V¢ J¢ I" N wr S 3a 75A-30 .p y - a l � r S 3a 75A-30 City of Santa Ana General Plan Land Use Element 1998 City of Santa Ana Planning Division Adopted February 2, 1998 (Reformatted January 2010) The fullosving is a chronology of die approved general plan amendments that have been incorporated into this document since the comprehensive update of the General Plan land Use Element adopted by the Santa Ana City Council Febmary 2, 1998 (GPA 1997- 05): GPA GPA GPA 6, 2011) GPA 200M(Aprd 5,2005, as passed try GPA 20W09(May 7,2061) Ole talem of Garda Ana) GPA 2MM(FeOmmy 5,2061) GPA 2W4114(JJy 18,20041 GPA 20D603(DmwbN 4, 2DOq GPA 2004-M (July 6,20041 GPA2W602QbvemmDe+2D,2000) GPA 2003,02(Jme 16,2003) GPA 199M PcIober1%1W% GPA 200301(Fehruaty 16, 2003) GPA1W90t(Augtd Ir, 1999) GPA 2002-01(September3,20q GPA 199M(OcmterS 19M GPA 2W2-03(August 19. 2002) GPA 1998 05 21, 1996) GPA 200I-03(FeWary 19, 20021 GPA 199801(May 4, 199) [N'r LAND USE ELEMENT areas. To encourage a dynamic mixture of residential, office and commercial uses, within these areas both building intensity and residential density is based on floor area ratio and zoning development standards. In calculating either the allowable floor area or the allowable residential density, it is the City's policy to not allow upward rounding. The Land Use Plan is illustrated in Exhibit 2. Additional information concerning the Land Use Plan and the land use designations is provided in Table I (Land Use Development Intensity Standards), and in the Appendix. Table 1 Land Use Density/intensity Standards Low-Mediumn Density Residential (LMR -11)11 Medum Density Residential (MR -15) r. DtstrfctCentert(DC) 15 du/acre 2/acre Other District Center (Midtown, MacArthur Place, etc.) 90 dulacre and FAR 12-2.0 Heritage District Center FAR 1.7 Downtown District Center FAR 3.0 Metro Fast District Center FAR 3.0 Transit Village District Center FAR 5.0 Harbor Corridor District Center FAR 5.0 Urban Neighborhood Transit Inning Code Area/ RrstFifth & 17" Street FAR 0.5-1.5 Corridor I FAR 3.0 Professional and AdMnistrative Office (PAO) FAR 0.5-1.0 General Commercial (GC) FAR 0.5-1 0 One Broadway Plaza District Center (OBPDQ FAR 2.9 Institutional (INS) I FAR 0.5 ' The intently standards shown refer to the theoretical maximum amount of development permitted foreach land use designation (du -dwelling units; FAR -floor area ratio). Development must also adhere to zoning regulators, and/or specific plan requirements. a The District Center and Urban Neighborhood land use designations permit both residential and non-residential development I Commercial intensities may vary. Baseline FAR Is 0.5. Specific areas allowing greater intensities are indicated in ExhihRA-3. ' One Broadway Plaza District Center land use designation permits office, restaurant and ancillary retail for a master planned development `Refer to Appendix for description of Land Use designations. n CITY OF SANTA ANA GENERAL PLAN15 ���//{{J��J Ax2i� nXIM |u _ •�\ |) ` � , / ' /• � � . {§\%2|+2222§� -i §§§§§]KI&§@ nXIM . . . . . . ca d d 6 6 1 Co F. I i j! m E cc Is FL CL -0 < itf-f\§;% t a) 0 dda Mom Co 0) Cc LL 0 Z. ills -H IN P_ �Eg —IsiggAIM 01-4�Hzjffl 0 2 mm MOEN 0 LAND USE ELEMENT LAND USE PLAN IMPLEMENTATION To effectively achieve the broad range of goals outlined for the City's future growth and development, a variety of plans, programs, and regulations must be relied upon. This section of the Element discusses these tools, and how they correlate with implementation of the City's land use goals. DEVELOPMENT INTENSITY STANDARDS Tablc A-1 summarizes the development intensity standard for each ofthe General Plan designations, and provides land use distribution by acreage forthe land use. The intensity standards for the categories permitting residential development are expressed in density, measured in "units per acre," or floor area ratio and zoning development standards in the case of certain Mixed Use land use designations. The intensity standards for non-residential development are expressed as "floor area ratio" or FAR The FARconeept is illustrated in ExhibitA-3. The intensity standards in concert with the zoning and development standards regulate the massing, form and building size_ Table A-1 du - dvielkg urdt, FAH . Hoof area ratio Residential development is not a pemitted use CITY OF SANTA ANA GENERAL PLAN Wl MOM `1V A-11 LAND USE ELEMENT Residential The Land Use Plan provides for three distinct residential land use designations. Residential development is also permitted in two other designations: District Center and Urban Neighborhood. The Santa Ana Land Use Plan includes the following residential land use designations: • The Low Density Residential (LR -7) designation applies to those areas of the City which are developed with lower density residential land uses. The allowable maximum development intensity is 7 units per acre_ Development in this category is characterized primarily by single-family homes. This designation applies to a large proportion of the City6( 157.7 6;458:3 -acres) representing. 47 percent of the City's total land area. • The Low -Medium Density Residential (LMR -11) designation applies to those sections of the City which are developed with residential uses at. permitted densities of up to I l units per acre. The land area included in this designation is approximately 420.6 acres. The great majority of,the land designated as Low -Medium Density Residential is located in the -westerly portion of the City, north and south of First Street. Properties with this designation arc typically characterized by mobile home parts, a mixture of duplexes and single family residences, or small for subdivisions. • The Medium Density Residential (MR -15) designation applies to those sections of the City which are developed with residential uses at densities of up to 15 units per acre. Development in this designation is characterized by duplexes, apartments, or a combination of both. A total of 370.1 acres is designated as Medium Density Residential. Thedesignation applies to areas located in the vicinity of downtown, areas north and south of MacArthur Boulevard, and in other areas where there are established multiple -family development projects. CITY OF SANTA ANA GENERAL PLAN A-19 LAND USE ELEMENT The General Commercial (GC) district applies to commercial corridors in Santa Ana including those located along Main Street, Seventeenth Street, Harbor Boulevard, and other major arterial roadways in the City. The intensity standard applicable to this designation is a Floor area ratio of 0.5 - 1.0, though most General Commercial districts have a FAR of 0.5. A total of 582.3 583 acres of land is included in this designation. General Commercial districts are key components in the economic development of the City. They provide highly visible and accessible commercial development alongthe City's arterial transportation corridors. In addition, General Commercial land uses provide important neighborhood facilities and services, including shopping, recreation, cultural and entertainment activities, employment, and education. The districts also provide support facilities and services for industrial areas includingollice and retail, restaurants and various other services. The General Commercial development standards are based upon the character and intensity of development, as well as the degree of access and marketdcmand forthese properties. The relationships to adjacent land uses, are also considered. Uses typically located in this district are: • Business and professional offices; • Retail and service establishments, ■ Recreational, cultural, and entertainment uses; and • Vocational schools.. General Commercial Districts have a floor area ratio of0.5 with the exception of the Mid -town area which has an floor area ratio of up to 1.0. One Broadway Plaza District Center is a separate land use designation as it has an F.A.R. of2.9, which exceeds the typical District Center intensity limit. Additionally, it does not include a residential component. One Broadway Plaza is envisioned as a landmark professional office complex that will be a focal point in the Downtown Redevelopment area serving the Civic Center complex, Downtown, and Midtown urban areas. The City's District Centers and major development areas are shown in Exhibit A-5. CITY OF SANTA ANA GENERAL PLAN A-21 MMI LAND USE ELEMENT The intensity standard for the Urban [Neighborhood ranges from a floor area ration of 0.5 to 3.0; with residential density based on a combination of floor area ratio and zoning development standards. A total of 279.1 2 76.9 acres of land in the City are designated Urban Neighborhood. Industrial The Industrial designation applies to those areas developed with manufacturing and industrial uses. The designation applies to areas which are predominantly industrial in character, and includes those industrial districts in thesouthwestem, south central and southeastern sections ofthe City. A total of2,152.8 acres of land in the City is designated as Industrial.'The maximum floor area ratio for this designation is 0.45. The Industrial districts of the City are vital to its economic health. These areas provide employment opportunities for local residents, and generate municipal revenues for continued economic. development. As one of the County's oldest cities, Santa Ana has longbeen an industrial center forthe region. The City's goal is to maintain this strong industrial base by setting land use policies which preclude the intrusion of less intensive commercial or residential uses. Typical uses found in this district include the following. • Light and heavy product manufacturing and assembly. • Commercial uses which are ancillary to industrial uses in the district Institutional The Institutional designation includes the Civic Center, other governmental facilities, City facilities and public institutions such as "schools, etc. Only public properties ofapproximately five acres or more are designated as'InstitutionaL The maximum applicable floor area ratio standard for this designation is 0.5. The 0.5 FAR is used as a guideline since most development in this designation are State, federal, and local governmental facilities that are notsubject to local development regulations. A total of 796.3 acres of land is included in this designation. Open Space The Open Space designation is applied to parks, water channels, cemeteries and other open space uses. A total of 1,015.8 acres are included in this land use designation. Ofthis total, 358 acres ofpublic park land is included in this land use designation. A-24 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT interagency Development Review Committee (DRC) to ensureconsistentand comprehensive application of City regulations and policies for all projects. • Redevelopment Plans. The City will apply redevelopment tools associated with the implementation of the adopted redevelopment plans, as appropriate. The City will encourage the further development of industrial, commercial, and residential projects in suitable locations to strengthen the City's tax and employment base. • Special Studies. In certain instances, a special study may be required to address a particular issue. In these cases, a specific effort to identify staff resources needed to conduct the appropriate investigation and analysiswill be identified. Zoning Code Review The zoning code serves as a primary tool used by the City to regulate development. The City will develop a program to revise the Zoning Ordinance to ensure that development regulations and standards are consistent with community needs and high quality development. The City will initiate appropriate changes to the ordinance to ensure, where appropriate, conformity between the Land Use Element and ZoningMap. LAND USE PLAN BUILDOUT As indicated previously, the City of Santa Ana has been almost completely developed for many years. As a result, any new development will necessarily consist of redevelopment and infill development on the remaining vacant and underutilized parcels. Many parcels with nonresidential land use designations will never be developed to the maximum intensity permitted under the General Plan. Table A-4 indicates the development possible under the build -out of the Land Use Plan. The build -out for residential land uses considered two scenarios. Effective build -out for residential development is calculated by adding the 21.256 21,205 units possible in the areas designated as District Center and Urban Neighborhood to the existing 74,588 units presently found in the City per Census 2000. Theoretical build -out for residential development considered the development possible if all of the areas designated as residential were developed according to the permitted Land Use Plan intensities. Since the Land Use Element does not contemplate the elimination ofexisting housing in the City, the effective build -out figure represents a mote realistic estimate of future residential development. As indicated in Table A-4, three of the non-residential land use designations have a range in FAR intensities. For the non-residential land use designations, effective build -out considered the development possible under the lower range of FAR intensities while theoretical build -out considered the upper FARrange. Typically, parking and landscaping requirements will result in significantly less floor area n �'t CITY OF SANTA ANA GENERAL PLAN A-33 7N"IOT16 LAND USE ELEMENT for commercial and industrial developments than that which is permitted under the General Plan. As indicated in Table A-4, between 55,332 -55 to 95,8-F495,E-36housing units are allowed by the Land Use Plan. The additional units which presently exist in the City beyond the maximum number permitted under the theoretical buildout scenario arc a reflection of the higher density multiple -family developments constructed in the 1970's and 1980's. However, the purpose ofthe land Use Plan as it applies to the residential areas is to preserve and maintain the stability of existing neighborhoods, regardless ofthe character ofdevelopment.The intentof the Plan is not to create any displacement, nor decrease existing development densities. Rather, it is to ensure a safe, healthy, and livable environment for City residents. Existing residential development entitlements are protected through this Land Use Element, applicable Zoning regulations, and sections of the City code pertaining to legal nonconforming uses. The Land Use Element's implementation may result in an increase is the amount of commercial, office, and industrial development in the City. As indicated in Table A-4, up to 33.136,745' ,'T, quare feet ofcommercialand office development, and 42,199,991 square feet of -industrial development are possible under the effective capacity parameters of land Use Plan. A-34 CITY OF SANTA ANA GENERAL PLAN' MYA•� LAND USE ELEMENT Table A-4 Land Use I I Acres 7hearelfcal Low Density Residential LR -7 I645"I 7du/ac I I (_45233 -du Low Medium Density residential LMR -11 420.6 11 du/ac I 4,627 du Medium Density Residential MR -15 370.11 15 du/ac I I 1 1 5,551du 7.248.4 95.844 du 55,3B2 dr Subtotal ne-.ee 1 District Center 011181[2 DC 309.5 90 du /ac 11955 583 sf I 3,017 do 23,764,534 s 3,017 du FAR 1.0.2.0 Heritage DC 18.8 FAR 1.7 54,090 sf 1.221 du 54,090sl 1,221 du Downtown DC 62.5 FAR &0 2,057,824 sf 1,661 da 2,0.5/,824 sf 1,661 do Metro EaSt DC 98.3 FAR &0 3245,185 sf 5,551 du 3245,185 sf 5,551 dr TrattsitVillage DC 51.4 FAR 5.0 402,864 sf 2,761 dl 402,864 sf 2,761 du Harbor Corridor DC 125.0 FAR 5.0 1,836,155 s(l 2,029 do 1,836,155 sl 2,029 du Urban Neighborhood UN 276.9 FAR 0.5.3.0 876.546 sit 5.016 d1[ 876.546 s 5.016 du 236-8 856.076 -sf 4,965 856.0766 4-9654 Subtotal 844.6 20.428.42 sli 21.255 du 21.25fi d uu i _: 2oAB7,850U 29;285-d 32238 2285-d442 Professional & Adnan. Office PAO 614.2 FAR 0.5.1.0 13,376,406 sf 26.-M.M9 sf General Commercial GC 882.3 FAR 0.5.1.0 19.217.147 st 38.434.295 s l 98 32 4n�r,�g,., 38474.4Ms7 One Broadway Pian District CW OBPDC 4.3 FAR 2.9 543,193 s1 543,193 sf Subtotal 1 500.8 33.136.745 sl 65.730.297 sl Industrial IND I 2.152.81 FAR 0.45 I 42,199.991s! I 42,199,991 s1 Lai t` Insblutional' I INS 796.41 FAR 02.0.5 1 6,937,758 st 17,344,394 sf Open Space O6 1,015.8 FAR 0.2 8,699,650 sf 8,849.650 sf Subtotal 1,812.1 15,787,407 d I 26,194,044 sl FAR -Boor area Fadi; du.=dweTng unq si,square feet (at Boor area). Acreage shown N table does not Include mads in i4d-ol-eray. 1 Effective capacity for non4esiderdial development assumes development possible under the laver range of FAR uderaaystanfards wdh the eacep0on of the Metho East District Center, Transh Wage DWcl Center, Downtown District Center, Heritage District Censer, and Urban P1ai¢dtahood comas. The Harm Corwin District Center, Metro East Deilat Ceder, Tnansb Pillage District Center, Dmmtown District Center, and Urban Neighs arws azar a range of intensity for mmdme of residerdial and non-resdendal darebpment based on the zoning development standards. Hesideri al effective capacillfwascalculated by adding the 21 25624;M msls Fossible in 0e OBhid Cerder and Urban Neighborhood vnli the odsfing 74,588 (Cen$us 2gW) has''.ngmas. ' Land use designation pmrsTs both residential and non-residential development BWd-out assumes 90% of land areawll be developed as commercial and 10% will be developed as residential; with the eaeptim of Town and Country Manor project intended forantimum of are and hosing saws. ' Land use designation pends high intensity office development with ancillary retail use. Tris table has been revised to naxrespnnd rvdh the GISland Use Map Nustrated in EMihd2. l CITY OF SANTA ANA GENERAL PLAN A-35 �AB�� �y`O zs-10 zs-10 �Q� O 6' tamer P I 1 Rox oBx sWe Rt d r c2 gP N ° R4 R1-0RD R1 ' IR N _ l aM ei q R2 ° Ct RTFRD� •L 9P C1 R2 3 i Rd Ct 1 C1 C1 17TH ST L C2 Ct cj .al._ RQ < 61x BT R1 R1 iRt T t 2 3§ 3 fl1 ,amai y O = R1.PRD R1 i 3 R2 B ram i ra xar mppE,�ROnv [ylx IrEA—r IN Pt IF RI R9 1 F NPtx Ex ! T. vl I Rt I rusxBw �v f SS.� PI ,� ZM a rypy y RA j 4 ♦, lSmaT y0.1 tax Irl4'i ar : a R1 SP A(r m9t45a ,1 r � M l R1 rom ei .i �E 9P1�R e ner IT yy R2- R1 14t R B FR.1� Xw PRO O y� 1'S R2 R ,411y ii R1 LLCOW RWOev iR1M SRI RI IiJ gg• �.RI RR RA SP �"j I w'i 3 fJ RI ggyy IT a L y µ R'P « IMKA^ nx M1. ll Pn.Rte° 2 �¢ — LRF 2 �(I, ` O Rt R1 . 3&, it2 2 R¢li 1 w�{ i 5 L 2 ¢. y som— G z sx F IT gy IT M1 Mr SOB2 a ISP 2 Ra 1 6 3 R1. I I Ra M1 � cmF O � � fYI�yMS lPWla'•+ �P� `( M, R1 C1j RAI C Ct ++��O^,^ 0 �DAPE 4P➢WI 'RA. R9 W Rn� C16 Cf NIS. R1 4 ,Mt "� SCM V 0 m SP1 M1 R R¢ 2 �q R2 2 _aµ Zr vi FAWIW Oei ¢ 9 2 R R] r II ;eT y 8. ti ¢_ Bg �y LDL J �� mT aBai R2 M, orz 2 1p a2 P1i y . RT cl °-1 1ST S Ye e2 c2 Ct T c2 ez eI R2PR0 C2 M1 C2 SDBO SP1 m R2 R1 Vr9i M1 'm M1g1NYTa C1 MNNwWVI C RI R1 R2D SPi_ O Q� 14-5-1° Px�xr O.rc MW 14-5-10�y O ZONING DISTRICTS Al GENE2ALAGRICULTURAL CSM SOUTH MANSTREETCOMNffRCIAL DIST. R2 TWO-FAMLYRESDENCE -B PARKNGMODFICATON C7 COMMUNITYCOMMERCIAL GC GOVERNMENTCENTER R3 MULTIPLE FAMY RESUME -OZ OVERLAYZONE DIME) COMMUNITY COMMERCIAL -MUSEUM DIST. MI LOHTNDUSTRIAL R4 SUBURBANAPARTMENT PLANNEDRESDEIML C2 GB4ERALCOMME2CAL N12 HEAVY NDUSTRAL RE RESDENTIAL ESTATE PRD DEVELOPMENT 04 PLANNEDSHOPPNG CENTER 0 OPENSPACE ED SPEOFIO DEVELOPMENT -HD2 HEIGHTDISTRIOTII C5 ARTE IALCOMMERCIAL P PROFESSIONAL SP SPEffCPLAN CR I COMMERCIAL RESIDENTIAL IRI SNGLE-FAMLYRESDEHCE SECTIONAL DISTRICT MAP: 11-$-10 is CITY OF SANTA ANA, CALIFORNIA Exhibit 9: 75A-42 SPECIFIC DEVELOPMENT PLAN NO. 92 Tiny Tim Plaza Mixed -Use Development SECTION 1— APPLICABILITY OF ORDINANCE The Specific Development zoning district No. 92 (SD -92) for the Tiny Tim Plaza Mixed -Use Redevelopment project site is authorized by Chapter 41, Division 26 Section 41-593 et seq. of the Santa Ana Municipal Code. SD No. 92 contains the specific standards and regulations contained in the residential district, as herein amended, for the purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Code are in effect unless expressly superseded by regulations contained in this ordinance. SECTION 2—PURPOSE The Specific Development Plan No. 92 for the Tiny Tim Plaza development project consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. Obiectives The objectives of the Tiny Tim Plaza development project specific development plan include provision of the following: Development of a 51 -unit, affordable, and family-oriented residential project in an area identified by the 2014-2021 Housing Element as an opportunity area for infill residential projects. 2. Promotion of the City's image as providing high-quality residential projects for individuals and families of all income groups. A clean and safe environment for the City's residents, workers, and visitors. 4. A visually harmonious development as viewed both internally and externally. Flexibility in development in response to market conditions while achieving overall City and community goals. SECTION 3 — Uses permitted in Specific Development No. 92 The following uses are permitted in the SD -92 district: (a) Fifty -51 (51) multiple -family dwelling units for affordable housing, including one (1) onsite manager's unit. SD No. 92 — Page 1 of 5 EXHIBIT 10 75A-43 (b) Ancillary onsite community -serving or social service uses. The lobby will be accessible 24-hour a day to residents and staff. (c) Home occupations, pursuant to Section 41-192.1 of the Santa Ana Municipal Code. (d) Any commercial use permitted by Section 41-377 of the Santa Ana Municipal Code. SECTION 3.5 — Ancillary Uses permitted in Specific Development No. 92 (a) Any ancillary spaces in the residential component intended as community spaces or community rooms shall be made available for short-term uses lasting fewer than one day (24 hours) for use by the residents of the project or the greater Santa Ana community. SECTION 4 — Uses subiect to a conditional use permit in Specific Development No. 92 (a) Childcare facilities caring for more than eight (8), but no more than fourteen (14) children. (b) Any commercial use requiring a conditional use permit permitted by Section 41- 377.5 of the Santa Ana Municipal Code. SECTION 5 — Maximum permitted floor area ratio (FAR) The maximum authorized building intensity for the Tiny Tim Plaza development project is a floor area ratio (FAR) of 1.05, including residential areas, community -serving areas (e.g., laundry room, office, gym and community room), parking garage and interior corridors, as well as commercial portions of the project site. SECTION 6 — Minimum lot area in Specific Development No. 92 The developable lot for the project shall have a minimum lot area of 2.33 acres. SECTION 7 — Minimum street frontage in Specific Development No. 92 Developable lots shall have a minimum street frontage of at least 100 feet. SECTION 8 — Building height in Specific Development No. 92 No structure shall exceed 45 feet in height, as measured from the lowest adjacent grade of a structure to the top of the structure. SECTION 9 — Development standards in Specific Development No. 92 SD No. 92 — Page 2 of 5 75A-44 The Tiny Tim Plaza development project shall be built as shown on the approved project plans included as attachments to the SD. The plans shall govern in the event there is a conflict between the SD with the project plans. In addition, the following standards are applicable to the project: (a) Setbacks. (1) A minimum setback of ten (10) feet shall be provided between the buildings and property line abutting City streets. (2) A minimum setback of five (5) feet shall be provided between any new single -level buildings and the interior property line(s). (3) A minimum setback of ten (10) feet shall be provided between any new buildings greater than one story and interior property line(s). (b) Parking. The minimum off-street parking requirements for the project are as follows: (1) 94 total parking spaces for the affordable residential component. (2) All commercial uses on the entire project site shall be parked at a rate of 1 space per 300 square feet of gross floor area. (3) Prior to occupancy a parking management plan shall be submitted to the Planning Division for review, identifying parking per unit, services provider parking and guest parking. The plan is subject to approval of the Planning Manager. (c) Pedestrian Walkways and Open Space. The project will provide a minimum of 25% open space available to the general public. The 25% shall be measured as a percentage of the gross site area (2223 and 2237 W. Fifth Street). (d) Landscaping Detailed landscaping, hardscape, and site furnishing plans shall be submitted to and be approved by the City of Santa Ana Planning Division prior to issuance of a building permit and installed as required in the approved plans. (1) Project Landscaping: a. Landscaping shall be compliant with the City of Santa Ana's Landscape Water Conservation Ordinance. b. All landscape areas shall have a fully automatic irrigation system (including spray or drip) as required by the City of Santa Landscape Water Conservation Ordinance. (2) All meters shall be appropriately screened from public view with trellis work and vines or hedge -type shrub, or be incorporated into the residential structure. SD No. 92 — Page 3 of 5 75A-45 (3) The residential building wall along the north and east elevations shall be planted with vines where appropriate. (4) Maintenance: All plant material shall be maintained per Section 41-609 of the Santa Ana Municipal Code. (e) Architectural and Project Design Features. (1) Exterior materials. Prior to building plan check the applicant shall submit revised architectural elevations with additional colors, materials, windows, or recessed areas to previously flat facades, subject to the review and approval of the Planning Manager. Exterior materials and finishes for the project shall comply with the approved materials board submitted for the project during building plan check. All trash enclosures and similar ancillary structures shall match the texture, material and color of the building. (2) Lighting standards/fixtures. The light fixtures are to integrate design elements of the building and landscape architecture. Lighting is to be designed to confine the direct rays of the artificial lighting within the boundaries of the development. Specifications of light standards/fixtures and photometrics plan shall be submitted to Planning Division for approval. (3) The project shall comply with all requirements of the Development Review Committee identified for Development Project (DP) No. 2016-47. (f) Mechanical Equipment, Appurtenances. and Conduits All mechanical equipment and all supporting appurtenances and conduits shall be screened from view within designated rooms, inside walls, behind parapets, or through a combination of landscape and hardscape materials. (g) Trash Enclosures Trash bins shall be stored in designated trash rooms. There shall be an onsite designated trash staging areas only be used on service days and the staging area and bins shall not disrupt vehicular use of the driveway. The minimum requirements needed to service the location shall be clearly indicated on the plans and subject to the approval of the Public Works Agency. (h) Easements Prior to the issuance of building permits all easements shall be relocated or quitclaim within the boundary of the project and building footprints. (i) Maintenance The property shall be maintained free for trash, debris and graffiti. Graffiti shall be removed within ten (10) days after its appearance in accordance with Section 10-227 of the Santa Ana Municipal Code. SD No. 92 — Page 4 of 5 75A-46 Q) Parcels and Lots Prior to issuance of building permits any and all lot line adjustments or voluntary lot mergers shall be recorded. SD No. 92 — Page 5 of 5 75A-47 The Draft Mitigated Negative Declaration (MND) and Technical Appendices are available at the following locations: Online: http://santa-ana.orq/pba/`planninglrinyTimPlaza.asp Paper Copies: Planning and Building Agency Planning Counter, First Floor 20 Civic Center Plaza Santa Ana, CA 92701 Santa Ana Public Library 26 Civic Center Plaza Santa Ana, CA 92701 EXHIBIT 11 75A-48 Exhibit 12 Resolution SEE CITY COUNCIL REQUEST FOR COUNCIL ACTION - EXHIBIT B 75A-49 Exhibit 13 Ordinance SEE CITY COUNCIL REQUEST FOR COUNCIL ACTION - EXHIBIT C 75A-50 RESOLUTION NO. 2017 -XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING MITIGATED NEGATIVE DECLARATION, ENVIRONMENTAL REVIEW NO. 2016-165 AND GENERAL- PLAN AMENDMENT NO. 2017-02 FOR THE PROPERTIES LOCATED AT 2223 AND 2237 WEST FIFTH STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Community Development Partners (Applicant) is requesting approval of General Plan Amendment No. 2017-02 to amend the General Plan land use designation of the properties located at 2223. and 2237 West Fifth Street from Low -Density Residential (LR) and General Commercial (GC) to Urban Neighborhood (UN) and to update text portions of the City's Land Use Element to reflect this change in order to facilitate the construction of a 51 - unit affordable housing project on the 2.33 -acre properties. B. On August 30, 2017, pursuant to Senate Bill 18, the City mailed consultation letters to all tribes listed on the Native American Heritage Commission (NAHC) Tribal Consultation List. The consultation period has since concluded. C. On November 27, 2017, the Planning Commission of the City of Santa Ana held a duly noticed public hearing and voted to recommend that the City Council adopt a resolution adopting Mitigated Negative Declaration, Environmental Review No. 2016-165 and approving General Plan Amendment No. 2017-02. D. On December 19, 2017, the City Council of the City of Santa Ana held a duly noticed public hearing to consider all testimony, written and oral, related to General Plan Amendment No. 2017-02, at which time all persons wishing to testify were heard, the project was fully considered, and all other legal prerequisites to the adoption of this Resolution occurred. E. General Plan Amendment No. 2017-02 has been filed to amend the General Plan to change the land use designation of the properties at 2223 and 2237 West Fifth Street from Low -Density Residential (LR) and General Commercial (GC) to Urban Neighborhood (UN). Exhibit8 75A-51 1. The existing General Plan land use designations for the project site at 2223 and 2237 West Fifth Street are Low -Density Residential (LR) and General Commercial (GC), which allow single-family homes at a density up to seven (7) units per acre, or business and professional offices; retail and service establishments; recreational, cultural, and entertainment uses and vocational schools with a floor area ratio of 0.5. In order to facilitate the construction of a 51 -unit affordable housing project with a floor area ratio of 1.05, the land use designation needs to be changed to Urban Neighborhood (UN), which allows for a mix of residential uses and housing types, such as low- to mid -rise multiple family, townhouses, single family dwellings; with some opportunities for live -work, neighborhood serving retail and service, public space and use, and other amenities with a floor area ratio of 0.5 to 3.0. 2. The proposed project at 2223 and 2237 West Fifth Street will support several goals and policies of the General Plan. First, the project is consistent with Housing Element Goal 2, to create diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels, and age groups to foster an inclusive community. The project will provide fifty (50) affordable rental housing units and one (1) onsite manager's unit, which supports Housing Element Goal 3: Increased opportunities for low and moderate income individuals and families to find quality housing opportunities and afford a greater choice of rental or homeownership opportunities. The affordable housing project is in line with Housing Element Goal 4, to provide adequate rental and ownership housing opportunities and supportive services for seniors, people with disabilities, families with children, and people needing emergency, transitional, or supportive housing. Further, the project is consistent with several Housing Element policies; Policy HE -2.3 to encourage construction of rental housing for the city's residents and workforce; Policy HE -3.4 to support the provision of employment training, childcare services, rental assistance, youth services, and other community services that enable households to attain the greatest level of self-sufficiency and independence; and Policy HE -4.4 to support the provision of supportive services and service -enriched housing for persons with special needs, such as seniors, disabled people, homeless people, families, veterans and people with medical conditions. F. The City Council has weighed and balanced the General Plan's policies, both new and old, and has determined that based upon this balancing that General Plan Amendment No. 2017-02 is consistent with the purpose of the General Plan. Section 2. The City Council has reviewed and considered the information contained in the initial study and the mitigated negative declaration (MND)/Environmental Review No. 2016-165, prepared with respect to this project. The 75A-52 MND is posted to the City's website at: http:Hsanta ana org/pba/planning/documents/Initia IStudyandMNDandAppendicesfoMnvTimPlaza 11 .15.17.pdf and is also on file with the Planning and Building Agency. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, an MND adequately addresses the expected environmental impacts of this project. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the project will have a significant adverse effect on the environment. The City Council hereby certifies and approves the MND and directs that the Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Pursuant to Title XIV, California Code of Regulations (CCR) § 735.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed Project will have the potential for any significant adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed Project exists in an urban environment characterized by paved concrete, roadways; surrounding buildings and human activity. However, pursuant to Fish and Game Code § 711.2 and Title XIV, CCR § 735.5, the payment of Fish and Game Department filing fees in conjunction with this project is at the discretion of the State of California Department of Fish and Wildlife. Section 3. The City Council of the City of Santa Ana after conducting the public hearing hereby approves General Plan Amendment No. 2017-02. The amendments to the Land Use Element are attached hereto as Exhibit A and incorporated herein by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated December 19, 2017, and exhibits attached hereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 4. This Resolution shall not be effective unless and until Ordinance No. NS- (AA No. 2017-03) becomes effective. If said ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, then this resolution shall be null and void and have no further force and effect. Section 5. 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. 75A-53 Section 6. This decision rendered by the City Council of the City of Santa Ana is final and is subject to judicial review pursuant to California Code of Civil Procedure section 1094.6. The Planning and Building Agency shall give direct notice to the Applicant of the City Council's decisions and these findings. ADOPTED this 190 day of December 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on - , 2017: Date: Clerk of the Council City of Santa Ana 75A-54 EXHIBIT A City of Santa Ana General Plan Land Use Element 1998 City of Santa Ana Planning Division Adopted February 2, 1098 (Reformatted January 2010) The following is a chronology of the approved general plan amendments that have been incorporated into this document since the comprehensive update of the General Plan Land Use Element adopted by the Santa Ana City Council February 2, 1998 (GFA 1997- 05): GPA 201742(pe (peas) GPA2GI001(Jaa T, 2)101 GPA 2004.01(AFW5,2005, aspassed by GPA 200009(may T. 2001) GPA 2017-01(Jure 20, 20M GPA 200842 (July 20.2609) Ne voters of Santa Anal GPA 2000-08(February 5. 2701) GPA 201U3(Febwry 21, 20171 GPA 200703(May 18,2W9) GPA 20" (JWy 19, 2004) GPA 20009 (Oecemeer 4, 2000) GPA 2018-02 (May 17, 2016) GPA 20MIjKtay 5, 2008) GPA 7004-08(JWy 6, 2004) GPA 200002(Navemter 20, 2000) GPA 2GI6-01(spot 19.2010 GPA 2604-09(February 2, 20G9) GPA 200102(Jae 16, 203) GPA 199902(October 18,1999) GPA 2015-03(Febuary2. 2016) GPA 2007�021Jana18, 2007), GPA 200001(Fehmoly 18.2003) GPA 199901.(Augmt 16, 1999) OFA 2014-02(OWaber21, 2014) GPA 2007-01 (March 19,2007) GPA2002-01(Septemter3,2002) GPA 199804(October 5. 1998) GPA2014-GI(Jmre3,20141 GPA 20MI(0clabor 2201%) GPA 2002-03(August19, 2602) GPA 199805(September 21, 19981 GPA 2011-03 (March 19. 2012) GPA 200MI(0ecem0ei 5.2005) GPA200143(Fetway 19. 2921 GPA 19M1 (May 4.1998) GPA 2011-02 (Jame 6. 2011) GPA 29502(October 17, 2005) GPA 2001-02 (January 7, 2002) LAND USE ELEMENT areas. To encourage a dynamic mixture ofresidential, office and commercial uses, within these areas both building intensity and residential density is based on floor area ratio and zoning development standards. In calculating either the allowable floor area or the allowable residential density, itis the City's policy to not allow upward rounding. The Land Use Plan is illustrated in Exhibit 2. Additional information concerning the Land Use Plan and the land use designations is provided in Table l (Land Use Development Intensity Standards), and in the Appendix. Urban Table 1 Densityltntensity Standards 11 du/acre 15 dulacre Other District Center (Midtown, MacArthur Place, etc.) 90 dWacre and FAR 1.0-2.0 Heritage District Center FAR 1.7 Downtown District Center FAR 3.0 Metra East District Center I FAR 3.0 Harbor Corridor Transit Zoning Cade Area/ First RM 8 FAR 3.0 Professional and Administrative Office (PAO) FAR 0.5-1.0 General Commercial (GC) FAR 0.5-1.0 One Broadwav Plaza District Center (OBPDC)' I FAR 2.9 Industrial FAR 0.5 h The intensity standards shown refer to the theoretical maximum amount of development permitted for each land use designation (du -dwelling units; FAR -floor area ratio). Development must also adhere to zoning regulators, and/or specific plan requirements. z The District Center and Urban Neighborhood land use designations permit both residential and non-residential development. ' Commercial Intensities may vary. Baseline FAR is 0.5. Specific areas agowing greater intensities are indicated in ExhibltA-3. " One Broadway Plaza District Center land use designation permits office, restaurant and ancillary retail for a master planned development. *Refer to Appendix for description of Land Use designations., CITY OF SANTA ANA GENERAL PLAN 75A-56 15 75A.57 !| � 9HpmKQ)■■(� @ 75A.57 6 � , 'n c o U) E C�a CL < 0 c co > Cl) SM: J., 92. If -,'"M, T - 75A -58 LAND USE ELEMENT LAND USE PLAN IMPLEMENTATION To effectively achieve the broad range of goals outlined for the City's future growth and development, a variety of plans, programs, and regulations, must be relied upon. This section of the Element discusses these toots, and how they correlate with implementation of the City's land use goals. DEVELOPMENT INTENSITY STANDARDS Table A -I summarizes the development intensity standard for each of the General Plan designations, and provides land use distribution by acreage for the land use. The intensity standards for the categories permitting residential development are expressed in density, measured in "units per acre," or floor area ratio and zoning development standards in the case of certain Mixed Use land use designations. The intensity standards for non-residential development are expressed as "floor area ratio" or FAR The FAR concept is illustrated in ExhibitA-3. The intensity standards in concert with the zoning and development standards regulate the massing, form and building size. Table A-1 du - dwelling unit, FAR - Roor area ratio Residential developmeta is not a permitted us a. CITY OF SANTA ANA GENERAL PLAN 75A-59 A-11 LAND USE ELEMENT Residential The Land Use Plan provides for three distinct residential land use designations. Residential development is also permitted in two other designations: District Center and Urban Neighborhood. The Santa Ana Land Use Plan includes the following residential land use designations: The Low Density Residential (LR -7) designation applies to those areas of the City which are developed with lower density residential land uses. The allowable maximum development intensity is 7 units per acre. Development in This category is characterized primarily by single-family homes. This designation applies to a large proportion of the City6(. 57.7 6454 3 -acres) representing 47 percent of the City's total land area. The Low -Medium Density Residential (LMR -11) designation applies to those sections of the City which are developed with residential uses at permitted densities of up to I I units per acre. The land area included in this designation is approximately 420.6 acres. The great majority of the land designated as.Low-Medium Density Residential is located in die westerly portion of the City, north and south of First Street. Properties with this designation are typically characterized by mobile home parks, at mixture of duplexes and single family residences, or small lot subdivisions. The Medium Density Residential (MR -15) designation applies to those sections of the City which are developed with residential uses at densities of up to 15 units per acre. Development in this designation is characterized by duplexes, apartments, or a combination of both. A total of 370.1 acres is designated as Medium Density Residential. The designation applies to areas located in the vicinity of downtown, areas north and south of MacArthur Boulevard, and in other areas where there are established multiple -fancily development projects. CITY OF SANTA ANA GENERAL PLAN 75A-60 A-19 LAND USE ELEMENT The General Commercial (GC) district applies to commercial corridors in Santa Ana including those located along Main Street, Seventeenth Street, Harbor Boulevard, and other major arterial roadways in the City. The intensity standard applicable to this designation is a floor area ratio of 0.5 - 1.0, though most General Commercial districts have a FAR of 0.5. A total of 882.3 883.2acres of land is included in this designation. General Commercial districts are key .components in the, economic development of the City. They provide :highly visible and accessible commercial development along the City's arterial transportation corridors. In addition, General Commercial land uses provide important neighborhood facilities and services, including shopping, recreation, cultural and entertainment activities, employment, and education. The districts also provide support facilities and services for industrial areas including office and retail, restaurants and various other services. The General Commercial development standards are based upon the character and intensity of development, as well as the degree of access and market demand for these properties. The relationships to adjacent land uses, are also considered. Uses typically located in this district are: • Business and professional offices; • Retail and service establishments; • Recreational, cultural, and entertainment uses; and • Vocational schools. General Commercial Districts have a floor area ratio of0.5 with the exception ofthe Mid -town area which has an floor area ratio ofup to 1.0. One Broadway Plaza District Center is a separate land use designation as it has an F.A.R. of2.9, which exceeds the typical District Center intensity limit. Additionally, it does not include a residential component. One Broadway Plaza is envisioned as a landmark professional office complex that will be a focal point in the Downtown Redevelopment area serving the Civic Center complex, Downtown, and Midtown urban areas. The City's District Centers and major development areas are shown in Exhibit A-5. CITY OF SANTA ANA GENERAL PLAN 75A-61 A-21 LAND USE ELEMENT The intensity standard for the Urban Neighborhood ranges from a floor area ration of 0.5 to 3.0; with residential density based on a combination of floor area ratio and coning development standards. A total of 279.1 ?-76.9-acres of land in the City arc designated Urban Neighborhood. Industrial The Industrial designation applies to those areas developed with manufacturing and industrial uses. The designation applies to areas which are predominantly industrial in character, and includes those industrial districts in the southwestern, south central anti southeastern sections ofthe City. A total of 2,152.8 acres ofland in the City is designated as Industrial. The maximum floor area ratio for this designation is 0.45. The Industrial districts of the City are vital to its economic. health. These areas provide employment opportunitics for local residents, and generate municipal revenues for continued economic development As one of the County's oldest cities, Santa Ana has longbeen an industrial center forthe region. The'City's goal is to maintain this strong industrial base by setting land use policies which preclude the intrusion of less intensive commercial or residential uses. Typical uses found in this district include the following: Light and heavy product manufacturing and assembly. Commercial uses which are ancillary to industrial uses in the district. Institutional The Institutional designation includes the Civic Center, other governmental facilities, City facilities and public institutions such as schools, etc. Only public properties ofapproximately five acres or more are designated as InstitutionaL The maximum applicable floor area ratio standard for this designation is OS. The 0.5 FAR is used as a guideline since most development in this designation are State, federal, and local governmental facilities that are not subject to local development regulations. A total of 796.3 acres of land is included in this designation. Open Space The Open Space designation is applied to,parks, water channels, cemeteries and other open space uses. A total of 1,015.8 acres are included in this land use designation. Ofthis total, 358 acres of publicpark land is included in this land use designation.. A -2J 75A-62 CITY OF SANTA ANA GENERAL PLAN LAND USE ELEMENT interagency Development Review Committee (DRC) to ensure consistent and comprehensive application of City regulations and policies for all projects. Redevelopment Plans. The City will apply redevelopment tools associated with the implementation of the adopted redevelopment plans, as appropriate. The City will encourage the further development of industrial, commercial, and residential projects in suitable locations to strengthen the City's tax and employment base. Special Studies. In certain instances, a special study may be required to address a particular issue. In these cases, a specific effort to identify staff resources needed to conduct the appropriate investigation and analysis will be identified. Zoning Code Review, The zoning code serves as a primary tool used by the City to regulate development. The City will develop a program to revise the Zoning Ordinance to ensure that development regulations and standards are consistent with community needs and high quality development. The City will initiate appropriate changes to the ordinance to ensure, where appropriate, conformity between the Land Use Element and Zoning Map. LAND USE PLAN BUILDOUT As indicated previously, the City of Santa Ana has been almost completely developed for many years. As a result, any new development will necessarily consist of redevelopment and infill development on the remaining vacant and underutilized parcels. Many parcels with nonresidential land use designations will never be developed to the maximum intensity permitted under the General Plan. Table A-4 indicates the'development possible under the build -out of the Land Use Plan. The built) -out for residential land uses considered two scenarios. Effective build -out for residential development is calculated by adding the 41y5ti Ri,205—units possible in the areas designated as District Center and Urban Neighborhood to die existing 7{,588 units presently found in the City per Census 2000. Theoretical build -out for residential development considerer) the development possible if all ofthe areas designated as residential were developed according to the permitted Land Use Plan intensities. Since the Land Use Element does not contemplate the elimination of exisdag housing in the City, the effective build -out figure represents a more realistic estimate of future residential development. As indicated in TableA-9, three of the non-residential land use designations have a range in FAR intensities. For the non-residential land use designations, effective build -out considered the development possible under the lower range of FAR intensities while theoretical build -out considered the upper FAR range. Typically, parking and landscaping requirements will result in significantly less floor area CITY OF SANTA ANA GENERAL PLAN 75A-63 A-33 LAND USE ELEMENT for commercial and industrial developments than that which is permitted under the General Plan. As indicated in Table A-4, between :35,382 oto 9:D,844 4rh6 housing units are allowed by the Land Use Plan. The additional units which presently exist in the City beyond the maximum number permitted under the theoretical buildout scenario are a reflection of the higher density multiple -family developments constructed in the 1970's and 1980's. However, the purpose of the Land Use Plan as it applies to the residential areas is to preserve and maintain the stability of existing neighborhoods, regardless of the character ofdevelopment. The intent of the Plan is not to create any displacement; nor decrease existing development densities. Rather, it is to ensure a safe, healthy, and livable environment for City residents. Existing residential development entitlements are protected through this Land Use Element, applicable Zoning regulations, and sections of the City code pertaining to legal nonconforming uses: The Land Use Element's implementation.may result in an,increase in the amount of commercial, office, and industrial, development in the City. As indicated inTableA-4,upto33,136.745334-56_ square feet ofcommercial office development, and 42,199,991 square feet of industrial development are possible under the effective capacity parameters ofLand Use Plan. A -3a 75A-64 CITY Of SANTA ANA GENERAL PLAN LAND USE ELEMENT Table A-4 Land Use Plan Buildout Capacities FAR=flourme ratio; d.u.=dwelling unit, s.I.=square feel (pt Boor area). Acreage shown In table does not Include mads In fight-gbway. t Effective capacity for non-residential development assumes development possible under the lower moot of FAA intensity standards with tate exception of the Metro East District Center. Transit \Allege District Center, Downtown District Center. Heritage District Center, and Urban Neighborhood areas. The Harbor Corridor District Center, Metra East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas allow a range of Intensity for mixmm of residential and non-nesidendal development based co the zoning development standards. Residential effective capacity was calculated by adding the 2121 25624395 units possible in the District Center and Urban Neighborhood with the i ds8ng 74,588 (Cen4us 2000) housing units. a Land use designation pemtim beth residential and non-residential development Build -out assumes 90% of land area will be developed as commercial and 10% will be developed as residential; with the exception of Town and Canby Manor project Intended for continuum of care and housing seniors. I Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the GIS land Use Map illustrated in Exhibit 2. CITY OF SANTA ANA GENERAL PLAN 75A-65 A-35 Inlensityl Effective Buildout' I Theoretical Land Use Buildout Eh=7 Low Density Residential LA -7 6 78-79 7 dulac 45 A^,20 d Low Medium Density Residential LMR -11 420.61 11 dulac 4,627 du Medium Density Residential MR -15 370.1 1 15 dWac 5,551 du Subtotal 72� m 95,844 du 55.382 de 7,246:6. 45;;20 din 55;39Ndu ME MOM Ss District Center t i Other' DCL62.5 11,855,583 s1i 3,017 du 23,764,534 sl! 3,017 du FAR 1.0-2.0 Heritage DC FAR 1.7 54,090 sf' 1,221 du 54,090 5 1,221 cur Downtown DC FAR 3.0 2;057,824 st 1,661tlu 2;057,824 el 1,661 tlu Metro East DC FAR 3.0 3,245,185 sl1 5,551 du 3,245,185sl 5,551 du Transit Village DC FAO 5.0 402,864 sl 2,761 du 402,864 s 2,761 du Harbor Corridor OC FAR 5.0 1,836,155 sft 2,029 du 1,836,155 s 2,029 du Urban Neighborhood UN 276.9 FAR 0.5-3.0 876 .545 s1 I 5 0. I6 du 876546s 5,016 in 9G9 65G.976 a i.965 it y yg6& 4966 -du 944.6 20.428.42 sl 21.2S6 do 32.237.371 s' 21,255 du Subtotal 442:3 20,407,959 61 24.295 of 3 a,. 24.205 Au Professional & Admin. Office PAO 614.2 FAA 0.5.1.0 13,376,406 sl 26,752,809 sf t General Commercial cc 9923 FAN o 19.217.147 sl 38.434.295 sl 963 .5-t.0 49239.6's88.14934 -, One Broadway Plaza District GO OBPDC 4.3 FAR 2.9 543,193 sl 543,193 at Subtotal 15508 33.136.745 s1 65.730297 sl a,so, 33 -65:759,93Fc1 y _ .£ Industrial IND 1 2,152.81 FAR OA5 42,199,991 at 42,199,991 st PAP x Initutionals INS 796.41 FAR 0.2-0.5 6,937,758 at it17,344,394 at Open Space OB 1,015.8 FAR 0.2 8,849,650 sf j 8,849,650 at Subtotal 1,812.1 15,787,407 at ` 26,194,044 sl FAR=flourme ratio; d.u.=dwelling unit, s.I.=square feel (pt Boor area). Acreage shown In table does not Include mads In fight-gbway. t Effective capacity for non-residential development assumes development possible under the lower moot of FAA intensity standards with tate exception of the Metro East District Center. Transit \Allege District Center, Downtown District Center. Heritage District Center, and Urban Neighborhood areas. The Harbor Corridor District Center, Metra East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas allow a range of Intensity for mixmm of residential and non-nesidendal development based co the zoning development standards. Residential effective capacity was calculated by adding the 2121 25624395 units possible in the District Center and Urban Neighborhood with the i ds8ng 74,588 (Cen4us 2000) housing units. a Land use designation pemtim beth residential and non-residential development Build -out assumes 90% of land area will be developed as commercial and 10% will be developed as residential; with the exception of Town and Canby Manor project Intended for continuum of care and housing seniors. I Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the GIS land Use Map illustrated in Exhibit 2. CITY OF SANTA ANA GENERAL PLAN 75A-65 A-35 75A-66 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2017-03 REZONING THE PROPERTIES LOCATED AT 2223 AND 2237 WEST FIFTH STREET FROM SINGLE-FAMILY AND TWO-FAMILY RESIDENCE (R1/R2) TO SPECIFIC DEVELOPMENT (SD) NO. 92 (AA NO. 2017-03) AND ADOPTING SPECIFIC DEVELOPMENT NO. 92 (SD -92) FOR SAID PROPERTIES 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. Amendment Application No. 2017-03 has been filed with the City of Santa Ana to change the zoning designation of the parcels located at 2223 and 2237 West Fifth Street from Single -Family and Two -Family Residence (R1/R2) to Specific Development (SD) No. 92 zoning designation. B. The zoning designation of the Specific Development No. 92 (SD -92) would allow the development of a 51 -unit affordable rental residential community project and will bring the rezoned properties into consistency with the General Plan land use designation of Urban Neighborhood (UN). C. On November 27, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt an ordinance approving Amendment Application No. 2017-03 which is consistent with the General Plan, as amended by General Plan Amendment No. 2017-02. D. The City Council has reviewed applicable general plan policies and has determined that this proposed rezoning is consistent with the purpose of the General Plan. E. The City Council, prior to taking action on this ordinance, held a duly noticed public hearing on December 19, 2017. F. The City Council also adopts as findings all facts presented in the Request for Council Action dated December 19, 2017 accompanying this matter. G. For these reasons, and each of them, Amendment Application No. 2017- 03 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the Santa Ana Municipal Code, thus changing Exhibit Ordinance No. NS-XXXX Page 1 of 4 75A-67 the zoning district is found to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. The Planning Commission of the City of Santa Ana recommends that the City Council adopt an ordinance rezoning the real properties located at 2223 and 2237 West Fifth Street from Single -Family and Two -Family Residence (R1/R2) to Specific Development No. 92 (AA No. 2017-03). Amended Sectional District Map number 11-5-10 showing the above described change in use district designation, is hereby attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. This recommendation is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated December 19, 2017, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Section 3. The City Council has reviewed and considered the information contained in the Mitigated Negative Declaration (Environmental Review No. 2016-165) prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Environmental Review No. 2016- 165 meets all the requirements of CEQA. Section 4. The real properties located at 2223 and 2237 West Fifth Street in Santa Ana are hereby reclassified from Single -Family and Two -Family Residence (R1/R2) to Specific Development No. 92 (SD -92). An amended Sectional District Map, showing the above described changes in use district designation, is hereby approved and attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. Section 5. Specific Development No. 92 (SD -92) attached hereto as Exhibit B and incorporated by this reference as though fully set forth herein is approved and adopted in its entirety. Section B. This ordinance shall not be effective unless and until Resolution No. 2017 -_(Environmental Review No. 2016-165 and General Plan Amendment No. 2017- 02) is adopted and becomes effective. If said resolution is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise does not go into effect for any reason, then this ordinance shall be null and void and have no further force and effect. Section 7. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of the 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 Ordinance No. NS-XXXX Page 2 of 4 75A-68 sections, subsections, sentences, clauses, phrases or portions be declared invalid or unconstitutional. Section 8. 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. ADOPTED this day of 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City (Atttoorney By: dG 1e— Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Ordinance No. NS-XXXX Page 3 of 4 75A-69 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. 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M1 LIGHTWDUSTRAL R4 SUBURBANAPARTMENT PLANNED RESIDENTIAL C2 GENERALCOMMERCIAL M2 HEAW WOUSTRAL RE RESIDENTIAL ESTATE -PRD DEVELOPMENT C4 PLANNED SHOPPING CENTER 0 OPEN SPACE SO SPECIFICOEVELOPMENT -HD2 HEIGHTDISTRICTI CS ARTER AL COMMERCIAL P PROFESSIONAL SP SPECIFICPLAN CR COMMERICAL RESIDENTIAL RI SINGLE-FAMLYRESIDENCE SECTIONAL DISTRICT MAP: ]1-5-]0 CITY OF SANTA ANA. CALIFORNIA 76"IT R1,A tAHIBI r SPECIFIC DEVELOPMENT PLAN NO. 92 Tiny Tim Plaza Mixed -Use Development SECTION I — APPLICABILITY OF ORDINANCE The Specific Development zoning district No. 92 (SD -92) for the Tiny Tim Plaza Mixed -Use Redevelopment project site is authorized by Chapter 41, Division 26 Section 41-593 et seq. of the Santa Ana Municipal Code. SD No. 92 contains the specific standards and regulations contained in the residential district, as herein amended, for the purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Code are in effect unless expressly superseded by regulations contained in this ordinance. SECTION 2 — PURPOSE The Specific Development Plan No. 92 for the Tiny Tim Plaza development project consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. The objectives of the Tiny Tim Plaza development project specific development plan include provision of the following: Development of a 51 -unit, affordable, and family-oriented residential project in an area identified by the 2014-2021 Housing Element as an opportunity area for infill residential projects. 2. Promotion of the City's image as providing high-quality residential projects for individuals and families of all income groups. 3. A clean and safe environment for the City's residents, workers, and visitors. 4. A visually harmonious development as viewed both internally and externally. 5. Flexibility in development in response to market conditions while achieving overall City and community, goals. SECTION 3 — Uses permitted in Specific Development No. 92 The following uses are permitted in the SD -92 district: (a) Fifty -51 (5 1) multiple -family dwelling units for affordable housing, including one (1) onsite manager's unit. SD No. 92 — Page 1 of 5 E1t (b) Ancillary onsite community -serving or social service uses. The lobby will be accessible 24-hour a day to residents and staff. (c) Home occupations, pursuant to Section 41-192.1 of the Santa Ana Municipal Code. (d) Any commercial use permitted by Section 41-377 of the Santa Ana Municipal Code. SECTION 3.5 — Ancillary Uses permitted in Specific Development No. 92 (a) Any ancillary spaces in the residential component intended as community spaces or community rooms shall be made available for short-term uses lasting fewer than one day (24 hours) for use by the residents of the project or the greater Santa Ana community. SECTION 4— Uses subject to a conditional use permit in Specific Development No 92 (a) Childcare facilities caring for more than eight (8), but no more than fourteen (14) children. (b) Any commercial use requiring a conditional use permit permitted by Section 41- 377.5 of the Santa Ana Municipal Code. SECTION 5 — Maximum permitted floor area ratio (FAR) The maximum authorized building intensity for the Tiny Tim Plaza development project is a floor area ratio (FAR) of 1.05, including residential areas, community -serving areas (e.g., laundry room, office, gym and community room), parking garage and interior corridors, as well as commercial portions of the project site. SECTION 6 — Minimum lot area in Specific Development No. 92 The developable lot for the project shall have a minimum lot area of 2.33 acres. SECTION 7— Minimum street frontage in Specific Development No 92 Developable lots shall have a minimum street frontage of at least 100 feet. SECTION 8 — Building height in Specific Development No. 92 No structure shall exceed 45 feet in height, as measured from the lowest adjacent grade of a structure to the top of the structure. SECTION 9 — Development standards in Specific Development No 92 SD No. 92 — Page 2 of 5 75A-73 The Tiny Tim Plaza development project shall be built as shown on the approved project plans included as attachments to the SD. The plans shall govern in the event there is a conflict between the SD with the project plans. In addition, the following standards are applicable to the project: (a) Setbacks. (l) A minimum setback of ten (10) feet shall be provided between the buildings and property line abutting City streets. (2) A minimum setback of five (5) feet shall be provided between any new single -level buildings and the interior property line(s). (3) A minimum setback of ten (10) feet shall be provided between any new buildings greater than one story and interior property line(s). (b) Parking. The minimum off-street parking requirements for the project are as follows: (l) 94 total parking spaces for the affordable residential component. (2) All commercial uses on the entire project site shall be parked at a rate of 1 space per 300 square feet of gross floor area. (3) Prior to occupancy a parking management plan shall be submitted to the Planning Division for review, identifying parking per unit, services provider parking and guest parking. The plan is subject to approval of the Planning Manager. (c) Pedestrian Walkways and Oven Space. The project will provide a minimum of 25% open space available to the general public. The 25% shall be measured as a percentage of the gross site area (2223 and 2237 W. Fifth Street). (d) Landscaping Detailed landscaping, hardscape, and site furnishing plans shall be submitted to and be approved by the City of Santa Ana Planning Division prior to issuance of a building permit and installed as required in the approved plans. (1) Project Landscaping: a. Landscaping shall be compliant with the City of Santa Ana's Landscape Water Conservation Ordinance. b. All landscape areas shall have a fully automatic irrigation system (including spray or drip) as required by the City of Santa Landscape Water Conservation Ordinance. (2) All meters shall be appropriately screened from public view with trellis work and vines or hedge -type shrub, or be incorporated into the residential structure. SD No. 92 — Page 3 of 5 75A-74 (3) The residential building wall along the north and east elevations shall be planted with vines where appropriate. (4) Maintenance: All plant material shall be maintained per Section 41-609 of the Santa Ana Municipal Code. (e) Architectural and Project Design Features (1) Exterior materials. Prior to building plan check the applicant shall submit revised architectural elevations with additional colors, materials, windows, or recessed areas to previously flat facades, subject to the review and approval of the Planning Manager. Exterior materials and finishes for the project shall comply with the approved materials board submitted for the project during building plan check. All trash enclosures and similar ancillary structures shall match the texture, material and color of the building. (2) Lighting standards/fixtures. The light fixtures are to integrate design elements of the building and landscape architecture. Lighting is to be designed to confine the direct rays of the artificial lighting within the boundaries of the development. Specifications of light standards/fixtures and photometrics plan shall be submitted to Planning Division for approval. (3) The project shall comply with all requirements of the Development Review Committee identified for Development Project (DP) No. 2016-47. (f) Mechanical Equipment. Anourtenances, and Conduits All mechanical equipment and all supporting appurtenances and conduits shall be screened from view within designated rooms, inside walls, behind parapets, or through a combination of landscape and hardscape materials. (g) Trash Enclosures Trash bins shall be stored in designated trash rooms. There shall be an onsite designated trash staging areas only be used on service days and the staging area and bins shall not disrupt vehicular use of the driveway. The minimum requirements needed to service the location shall be clearly indicated on the plans and subject to the approval of the Public Works Agency. (h) Easements Prior to the issuance of building permits all easements shall be relocated or quitclaim within the boundary of the project and building footprints. (i) Maintenance The property shall be maintained free for trash, debris and graffiti. Graffiti shall be removed within ten (10) days after its appearance in accordance with Section 10-227 of the Santa Ana Municipal Code. SD No. 92 — Page 4 of 5 75A-75 Q) Parcels and Lots Prior to issuance of building permits any and all lot line adjustments or voluntary lot mergers shall be recorded. SD No. 92 — Page 5 of 5 75A-76 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE; PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF TINY TIM APARTMENTS AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5,3) Vr r CI MANAGER APPLICANT REQUESTED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution__ ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Conduct a Tax Equity and Fiscal Responsibility Act Hearing in consideration of the issuance of tax exempt bond financing by the California Statewide Communities Development Authority ("CSCDA" or the "Authority") on behalf of Community Development Partners (the "Borrower"), for the benefit of Tiny Tim Apartments (the "Project") to finance the acquisition, construction, improvement, and equipping of the Project, a 51 -unit multifamily rental housing project located at 2223 West Fifth Street, Santa Ana, California. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $27,000,000 for the purpose of financing the acquisition, construction, improvement and equipping of Tiny Tim Apartments, a 51 -unit multifamily rental housing project. BACKGROUND The Tiny Tim Apartments project includes the acquisition and redevelopment of an underutilized, retail site to construct 51 units of affordable rental housing targeting low-income families. The project is located at 2223 West Fifth Street in Santa Ana. The approximately 49',000 square foot development will provide 20 two-bedroom, 29 three-bedroom and two four-bedroom apartment homes (including one manager's unit) with open space, community room, offices for property management and Mercy House who will provide on-site case management and services coordination to each resident. Rent levels at the property will be restricted for 55 years to households earning at or below 60% of the Area Median Income. The property is situated along the north side of Fifth Street, with single family residential bordering the property to the north and east, and commercial properties bordering the property to the south and west. The building design includes one level of on -grade structured garage with 91 parking stalls along with guest parking near the entrance to the property. There is one 4 -story residential building, which includes the management and services offices along Fifth Street. 7513-1 Tiny Tim Apartments — TEFRA Hearing December 19, 2017 Page 2 Interior units will be serviced by an elevator and improved with energy efficient appliances, low - flow plumbing fixtures, solid surface countertops, vinyl plank flooring, A/C and heat. The project will be financed through 4% federal low-income housing tax credit equity, permanent hard debt, a loan from the City of Santa Ana, Affordable Housing and Sustainable Communities Grant funds, Infill Infrastructure Grant funds, and deferred developer fee. The Project anticipates receiving site plan / design review approval on December 19th, 2017, an award of low-income housing tax credits in June 2018 in order for construction to start in October 2019 and the project to be completed in January 2020. DISCUSSION Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that CSCDA adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $27,000,000 (the "Bonds") for the acquisition, construction, improvement and equipping of a 51 -unit multifamily rental housing project located at 2223 West Fifth Street, Santa Ana, California, generally known as Tiny Tim Apartments. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the financing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. The bonds to be issued by the Authority are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. California Statewide Communities Development Authority CSCDA is a joint powers authority sponsored by the League of California Cities ("League") and the California State Association of Counties ("CSAC"). CSCDA was created by the League and CSAC in 1988 to enable local government and eligible private entities access to low-cost, tax-exempt financing for projects that provide a tangible public benefit, contribute to social and economic growth and 75B-2 Tiny Tim Apartments — TEFRA Hearing December 19, 2017 Page 3 improve the overall quality of life in local communities throughout California. CSCDA is comprised of more than 500 members, including the City of Santa Ana. CSCDA has issued more than $58 billion through 1,400 plus financings since 1988 and consistently ranks in the top 10 of more than 3,000 nationwide public issuers of tax-exempt debt, as measured by annual issuance amount. Both the League and CSAC continue to sponsor CSCDA. Issuance fees are shared with both the League and CSAC which have kept member dues unchanged and provide other benefits to all city and county members. The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. R bert M. Zur Pckmiko Interim ExecutiVPJDirector Community Development Agency Exhibits: 1. Resolution 2. Notice to Applicant 75B-3 75B-4 RESOLUTION NO. 2017- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE BY THE CALIFORNIA STATEWIDE COMMUNITIES DEVELOPMENT AUTHORITY OF MULTIFAMILY HOUSING REVENUE BONDS FOR THE TINY TIM APARTMENTS WHEREAS, the California Statewide Communities Development Authority (the "Authority') is authorized pursuant to the provisions of California Government Code Section 6500 at seq. and the terms of an Amended and Restated Joint Exercise of Powers Agreement, dated as of June 1, 1988 (the "Agreement"), among certain local agencies throughout the State of California, including the City of Santa Ana (the "City'), to issue revenue bonds in accordance with Chapter 7 of Part 5 of Division 31 of the California Health and Safety Code for the purpose of financing multifamily rental housing projects; and WHEREAS, Tiny Tim Housing LP or a partnership created by Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the Authority adopt a plan of financing providing for the issuance of multifamily housing revenue bonds (the "Bonds") in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, and at no time to exceed $27,000,000 in outstanding aggregate principal amount, to finance the acquisition, construction and development of a 51 -unit multifamily rental housing project located at 2223 West Fifth Street, Santa Ana, California, generally known as Tiny Tim Apartments (the "Project") and operated by Solari Enterprises, Inc.; and WHEREAS, the Bonds ora portion thereof will be "private activity bonds" for purposes of the Internal Revenue Code of 1986 (the "Code"); and WHEREAS, pursuant to Section 147(f) of the Code, prior to their issuance, private activity bonds are required to be approved by the "applicable elected representative" of the governmental units on whose behalf such bonds are expected to be issued and by a governmental unit having jurisdiction over the entire area in which any facility financed by such bonds is to be located, after a public hearing held following reasonable public notice; and WHEREAS, the members of this City Council (this "City Council") are the applicable elected representatives of the City; and WHEREAS, there has been published, at least 14 days prior to the date hereof, in a newspaper of general circulation within the City, a notice that a public hearing regarding the Bonds would be held on a date specified in such notice; and WHEREAS, such public hearing was conducted on such date, at which time an opportunity was provided to interested parties to present arguments both for and against the issuance of the Bonds; and WHEREAS, the Authority is also requesting that the City Council approve the issuance of any refunding bonds hereafter issued by the Authority for the purpose of refinancing the Bonds which financed the Project (the "Refunding Bonds"), but only in such cases where federal tax laws would not require additional consideration or approval by the City Council; and Exhibit t 75B-5 WHEREAS, it is intended that this resolution shall constitute the approval of the issuance of the Bonds required by Section 147(f) of the Code and Section 9 of the Agreement; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The above recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds and the Refunding Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the Bonds for the purposes of (a) Section 147(f) of the Code and (b) Section 9 of the Agreement. Section 3. The issuance of the Bonds shall be subject to approval of the Authority of'all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to repayment or administration of the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to: (i) provide any financing with respect to the Project; (li) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary with respect to the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The City Manager and applicable Executive Directors of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and.all documents that they deem necessary or advisable in order to cavy out, give effect to and comply with the terms and intent of this resolution and the financing approved hereby. Section 6. This resolution shall take effect immediately upon adoption. ADOPTED this _ day of , 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Attorney Miguel A. Pulido Mayor 75B-6 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 75B-7 75B-8 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sarmiento Jose Solodo Sal Tinajero Juan Villages December 4, 2017 Kyle Paine, President 3416 Via Oporto, Suite # 301 Newport Beach, CA 92661 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, Califomia 92702 www.santa-ana.ora Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Mr. Paine, CITY MANAGER Raul Godinez II CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Made D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Fiscal Responsibility Act Hearing in consideration of the issuance of tax exempt bond financing by the California Statewide Communities Development Authority on behalf of Community Development Partners for the benefit of Tiny Tim Apartments. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail at ibrown(a.santa-ana.or¢. Sincerely, Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel A. Pulido Michele Martinez Vicente Sarmiento lo' P. David Benavides Juan Villages Sal Tna'em B Mayor Mayor Pm Tem, Ward 2 Ward 7� !� Ward Ward Ward lnoulldoftsaMe-ana.om mimartineviDsanta-ana.ora vsarmiento(�santa-ana.ora solono sante-ana.or dbenevidesna sanlaana.wa iNlleaasfolsanlaana.na slinaiero(alsanlaana.om 75B-10 NOTICE OF PUBLIC HEARING REGARDING ISSUANCE OF MULTIFAMILY HOUSING REVENUE BONDS FOR TINY TIM APARTMENTS NOTICE IS HEREBY GIVEN that, at 5:45 p.m., or as soon thereafter as the matter can be heard, on Tuesday, December 19, 2017, at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California, the City Council of the City of Santa Ana (the "City') will conduct a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986, at which it will hear and consider information concerning a proposed plan of financing providing for the issuance by the California Statewide Communities Development Authority of multifamily housing revenue bonds in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, and at no time to exceed $27,000,000 in outstanding aggregate principal amount, to finance the acquisition, construction and development of a 51 -unit multifamily rental housing project located at 2223 West Fifth Street, Santa Ana, California. The facilities are to be owned by Tiny Tim Housing LP (the "Borrower") or a partnership created by Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, operated by Solari Enterprises, Inc., and are generally known as Tiny Tim Apartments (the "Project`). Those wishing to comment on the proposed financing and the nature and location of the Project may either appear in person at the public hearing or submit written comments, which must be received by the City prior to the hearing. Written comments should be sent to City of Santa Ana at 20 Civic Center Plaza; 8th Floor, Santa Ana, California 92702 Attention: City Clerk. CITY CLERK CITY OF SANTA ANA Dated: December 4, 2017 Exhibit 2. 75B-11 75B-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF AQUA APARTMENTS AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5, 3) APPLICANT REQUESTED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Conduct a Tax Equity and Fiscal Responsibility Act Hearing in consideration of the issuance of tax exempt bond financing by the California Statewide Communities Development Authority ("CSCDA' or the "Authority') on behalf of Community Development Partners (the "Borrower"), for the benefit of Aqua Apartments (the "Project") to finance the acquisition, rehabilitation, improvement, and equipping of the Project, a 57 -unit multifamily rental housing project located at 317 East 17th Street, Santa Ana, California. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $30,000,000 for the purpose of financing the acquisition, rehabilitation, improvement and equipping of Aqua Apartments, a 57 -unit multifamily rental housing project. BACKGROUND The Aqua Housing project includes the acquisition and demolition of an underutilized, blighted hotel site to construct 57 units of permanent supportive housing targeting chronically homeless individuals and small families. The project is located at 317 E. 17th Street. The approximately 34,000 square foot development will provide 12 studio and 45 one -bedroom apartment homes (including one manager's unit) with open space, community room, offices for property management and Mercy House Living Centers who will provide on-site case management and services coordination for each resident. Rent levels at the property will be restricted for 55 years to households earning at or below 60% of the Area Median Income. Additionally, the property will have a Project -Based Voucher Housing Assistance Payments Contract in place further restricting eligibility to chronically homeless individuals. The property is situated along the north side of 17th Street, with the 1-5 freeway bordering the property to the east and single family and multifamily buildings to the west. The building design includes one level of an on -grade structured garage with 36 parking stalls along with guest parking near the entrance to the property. There are two 4 -story residential buildings, the first of 75C-1 Aqua Apartments — TEFRA Hearing December 19, 2017 Page 2 which includes the management and services offices along 17th street, in the commercial zoned section of the property. Buildings are connected by a catwalk and serviced by an elevator. Interior units will be improved with energy efficient appliances, low -flow plumbing fixtures, solid surface countertops, vinyl plank flooring, A/C and heat. The owner will pay utilities and common area laundry will be provided. The project will be financed through 4% federal low-income housing tax credit equity, permanent hard debt, Affordable Housing Program funds and deferred developer fee. Fifty-six Project -Based Vouchers (PBVs) from the Santa Ana Housing Authority have been awarded, which will insure all residents have rental assistance and pay no more than 30% of their income. Mercy House and the property management company will follow a Housing First model and make every effort to help applicants get approved for and then maintain housing. Mercy House will take applicant referrals from the Coordinated Entry System and work with applicants to secure housing. The Project received site plan / design review approval on June 20, 2017, and anticipates an award of low-income housing tax credits in June 2018 in order for construction to start in October 2019 and the project to be completed in January 2020. DISCUSSION Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that CSCDA adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $30,000,000 (the "Bonds") for the acquisition, rehabilitation, improvement and equipping of a 57 -unit multifamily rental housing project located at 317 East 17th Street, Santa Ana, California, generally known as Aqua Apartments. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the financing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative' of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. The bonds to be issued by the Authority are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. 75C-2 Aqua Apartments — TEFRA Hearing December 19, 2017 Page 3 California Statewide Communities Development Authority CSCDA is a joint powers authority sponsored by the League of California Cities ("League") and the California State Association of Counties ("CSAC"). CSCDA was created by the League and CSAC in 1988 to enable local government and eligible private entities access to low-cost, tax-exempt financing for projects that provide a tangible public benefit, contribute to social and economic growth and improve the overall quality of life in local communities throughout California. CSCDA is comprised of more than 500 members, including the City of Santa Ana. CSCDA has issued more than $58 billion through 1,400 plus financings since 1988 and consistently ranks in the top 10 of more than 3,000 nationwide public issuers of tax-exempt debt, as measured by annual issuance amount. Both the League and CSAC continue to sponsor CSCDA. Issuance fees are shared with both the League and CSAC which have kept member dues unchanged and provide other benefits to all city and county members. The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. Rbbert M. Zur S *d Interim Executive ' bctor Community Development Agency Exhibits: 1. Resolution 2. Notice to Applicant 75C-3 75C-4 RESOLUTION NO. 2017- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE BY THE CALIFORNIA STATEWIDE COMMUNITIES DEVELOPMENT AUTHORITY OF MULTIFAMILY HOUSING REVENUE BONDS FOR THE AQUA APARTMENTS WHEREAS, the California Statewide Communities Development Authority (the "Authority") is authorized pursuant to the provisions of California Government Code Section 6500 at seq. and the terms of an Amended and Restated Joint Exercise of Powers Agreement, dated as of June 1, 1988 (the "Agreement"), among certain local agencies throughout the State of California, including the City of Santa Ana (the "City'), to issue revenue bonds in accordance with Chapter 7 of Part 5 of Division 31 of the California Health and Safety Code for the purpose of financing multifamily rental housing projects; and WHEREAS, Aqua Housing LP or a partnership created by Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the Authority adopt a plan of financing providing for the issuance of multifamily housing revenue bonds (the "Bonds") in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, and at no time to exceed $30,000,000 in outstanding aggregate principal amount, to finance the acquisition, construction and development of a 57 -unit multifamily rental housing project located at 317 E. 171 Street, Santa Ana, California, generally known as Aqua Apartments (the "Project") and operated by Solari Enterprises, Inc.; and WHEREAS,.the Bonds or a portion thereof will be "private activity bonds" for purposes of the Internal Revenue Code of 1986 (the "Code"); and WHEREAS, pursuant to Section 147(f) of the Code, prior to their issuance, private activity bonds are required to be approved by the "applicable elected representative" of the governmental units on whose behalf such bonds are expected to be Issued and by a governmental unit having jurisdiction over the entire area in which any facility financed by such bonds is to be located, after a public hearing held following reasonable public notice; and WHEREAS, the members of this City Council (this "City Council") are the applicable elected representatives of the City; and WHEREAS, there has been published, at least 14 days prior to the date hereof, in a newspaper of general circulation within the City, a notice that a public hearing regarding the Bonds would be held on a date specked in such notice; and WHEREAS, such public hearing was conducted on such date, at which time an opportunity was provided to interested parties to present arguments both for and against the issuance of the Bonds; and WHEREAS, the Authority is also requesting that the City Council approve the issuance of any refunding bonds hereafter issued by the Authority for the purpose of refinancing the Bonds which financed the Project (the "Refunding Bonds"), but only in such cases where federal tax laws would not require additional consideration or approval by the City Council; and Exhibit I 75C-5 WHEREAS, it is intended that this resolution shall constitute the approval of the issuance of the Bonds required by Section 147(f) of the Code and Section 9 of the Agreement; NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The above recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds and the Refunding Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the Bonds for the purposes of (a) Section 147(9 of the Code and (b) Section 9 of the Agreement. Section 3. The issuance of the Bonds shall be subject to approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to repayment or administration of the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to: (i) provide any financing with respect to the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary with respect to the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The City Manager and applicable Executive Directors of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents that they deem necessary or advisable in order to carry out, give effect to and comply with the terms and intent of this resolution and the financing approved hereby. Section 6. This resolution shall take effect immediately upon adoption. ADOPTED this _ day of , 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Miguel A. Pulido Mayor 75C-6 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 75C-7 75C-8 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sarmiento Jose Solorio Sal Tinaiero Juan Villegas December 4, 2017 Kyle Paine, President 3416 Via Oporto, Suite # 301 Newport Beach, CA 92661 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 vmv.santa-ana.oro Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Mr. Paine, CITY MANAGER Raul Godinez 11 CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Fiscal Responsibility Act Hearing in consideration of the issuance of tax exempt bond financing by the California Statewide Communities Development Authority on behalf of Community Development Partners for the benefit of Aqua Apartments. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. hi addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail atjbrown(a�santa-ana.org. Sincerely, Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel A Pulido Michele Martinez Vicente Sannientolar' P. David Benavides Juan Villages Sal Tinajero Mayor Mayor Pro Tem, Ward 2 Ward? Ward Ward5 Ward moulido(dsantaana.ora mimartineValsane-ana ora Vsarmlentoftsanla-ana oro dbenavidesOsantaana om ivilleaas0santa-ana ora stinaiero(ftantaana oro 75C-10 NOTICE OF PUBLIC HEARING REGARDING ISSUANCE OF MULTIFAMILY HOUSING REVENUE BONDS FOR AQUA APARTMENTS NOTICE IS HEREBY GIVEN that, at 5:45 p.m., or as soon thereafter as the matter can be heard, on Tuesday, December 19, 2017, at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California, the City Council of the City of Santa Ana (the "City") will conduct a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986, at which it will hear and consider information concerning a proposed plan of financing providing for the Issuance by the California Statewide Communities Development Authority of multifamily housing revenue bonds in one or more series issued from time to time, including bonds Issued to refund such revenue bonds in one or more series from time to time, and at no time to exceed $30,000,000 in outstanding aggregate principal amount, to finance the acquisition, construction and development of a 57 -unit multifamily rental housing project located at 317 E. I r Street, Santa Ana, California. The facilities are to be owned by Aqua Housing LP (the `Borrower") or a partnership created by Community Development Partners (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, operated by Solari Enterprises, Inc., and are generally known as Aqua Apartments (the "Project ). Those wishing to comment on the proposed financing and the nature and location of the Project may either appear in person at the public hearing or submit written comments, which must be received by the City prior to the hearing. Written comments should be sent to City of Santa Ana at 20 Civic Center Plaza, 8th Floor, Santa Ana, California 92702 Attention: City Clerk. CITY CLERK CITY OF SANTA ANA Dated: December 4, 2017 75C-11 75C-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF CORNERSTONE APARTMENTS AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5, 3) CITY MUNAGER APPLICANT REQUESTED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on I� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Conduct a Tax Equity and Fiscal Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority (the "Authority") on behalf of Cornerstone Housing Partners LP (the 'Borrower"), for the benefit of Cornerstone Apartments (the "Project") for the acquisition, rehabilitation, improvement and equipping of a 126 -unit multifamily rental housing project located at 805 - 904 South Minnie Street, Santa Ana, California. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $23,000,000 for the acquisition, rehabilitation, improvement and equipping of a 126 -unit multifamily rental housing project located at 805 - 904 South Minnie Street, Santa Ana, California. BACKGROUND The Cornerstone Apartments project is an acquisition/rehabilitation of a 126 -unit multi -family affordable housing project located in the City of Santa Ana. The project will involve the rehabilitation of the existing structures. Rehabilitation will include the addition of a new community building to serve the residents and provide more space for programs. Property amenities will include laundry rooms in all buildings, courtyards with seating and landscaping, and tuck under parking in select locations. There will be a site needs assessment to determine if the property will benefit from programs including afterschool programs, English as a Second Language, computer literacy, financial literacy, and leadership development. The units will be restricted to households with incomes no more than 50% of the area median income. The financing of this project will result in continuing to provide affordable housing for 126 households in the City of Santa Ana for 7513-1 Cornerstone Apartments — TEFRA Hearing December 19, 2017 Page 2 another 55 years. The project site is already owned by Jamboree Housing and the rehabilitation work will not require approval by the Planning Commission or City Council. DISCUSSION Cornerstone Housing Partners, a California Limited Partnership or a partnership created by Jamboree Housing Corporation (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "CMFA") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $23,000,000 (the "Bonds") for the acquisition, rehabilitation, improvement and equipping of a 126 -unit multifamily rental housing project located at 805 - 904 S. Minnie Street, Santa Ana, California, generally known as Cornerstone Apartments (the "Project") and operated by John Stewart Company. However, in order for all or a portion of the Bonds to qualify as tax- exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the refinancing of the Project. Following the close of. the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. The bonds to be issued by the Authority are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. 75D-2 Cornerstone Apartments — TEFRA Hearing December 19, 2017 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT The Board of Directors of the California Foundation for Stronger Communities, a California non- profit public benefit corporation (the "Foundation"), acts as the Board of Directors for the California Municipal Finance Authority (CMFA). Through its conduit issuance activities, the CMFA shares a portion of the issuance fees it receives with its member communities and donates a portion of these issuance fees to the Foundation for the support of local charities. With respect to the City of Santa Ana, it is expected that 25 percent of the issuance fee will be granted by the CMFA to the general fund of the City. Such grant may be used for any lawful purpose of the City. The CMFA does not receive issuance fees until a bond issuance closes. The fees the CMFA receives are based upon the par amount of the bonds issued. The Borrower ultimately decides when and if the bonds are actually issued and the final amount of bonds issued. The amount granted to the City is to be determined, but will not exceed $11,250 under the assumption the entire $23,000,000 in bonds are issued. Upon receipt, the funds will be deposited to the Miscellaneous Revenues, Miscellaneous Recoveries Revenue Account (no. 01102002-57010). Robert M. Zur S hm ed Interim Executive ' ector Community Development Agency Exhibits: 1. Resolution 2. Notice to Applicant APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director bb Finance and Management Services Agency 75D-3 75D-4 RESOLUTION NO. RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY MULTIFAMILY HOUSING REVENUE BONDS IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $23,000,000 FOR THE PURPOSE OF FINANCING OR REFINANCING THE ACQUISITION, REHABILITATION, IMPROVEMENT AND EQUIPPING OF CORNERSTONE APARTMENTS AND CERTAIN OTHER MATTERS RELATING THERETO WHEREAS, Cornerstone Housing Partners LP (the "Borrower") or a partnership created by Jamboree Housing Corporation (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "Authority") adopt aplan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $23,000,000 (the "Bonds") for the acquisition, rehabilitation, improvement and equipping of a 126 -unit multifamily rental housing project located at 805-904 S. Minnie Street, Santa Ana, California, generally known as Cornerstone Apartments (the "Project") and operated by John Stewart Company; and WHEREAS, pursuant to Section 147(f) of the Internal Revenue Code of 1986 (the "Code"), the issuance of the Bonds by the Authority must be approved by a governmental unit having jurisdiction over the area in which the Project is located; and WHEREAS, the City Council of the City (the "City Council") is the elected legislative body of the City and is one of the "applicable elected representatives" required to approve the issuance of the Bonds under Section 147(f) of the Code; and WHEREAS, the Authority has requested that the City Council approve the issuance of the Bonds by the Authority in order to satisfy the public approval requirement of Section 147(f) of the Code and the requirements of Section 4 of the Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority, dated as of January 1, 2004 (the "Agreement"), among certain local agencies, including the City; and WHEREAS, pursuant to Section 147(f) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Bonds, and now desires to approve the issuance of the Bonds by the Authority; NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Santa Ana as follows: Section 1. The foregoing resolutions are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds by the Authority, for the purposes of: (a) Section 147(f) of the Code by the applicable elected representative of a governmental unit having jurisdiction over the area in which the Project is located, in accordance with said Section 147(f); and, (b) Section 4 of the Agreement. 75D-5 Section 3. The issuance of the Bonds shall be subject to the approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The City Manager and applicable Executive Directors of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to cavy out, give effect to and comply with the terms and intent of this resolution and the financing transaction approved hereby. Section 6. This resolution shall take effect immediately upon its adoption. PASSED AND ADOPTED by the City Council of the City of Santa Ana this 19th day of December, 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Bi AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75D-6 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benevides Vicente Sarmiento Jose Solorio Sal Tinajero Juan Villages December 4, 2017 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.org Laura Archuleta Jamboree Housing Corporation 17701 Cowan Avenue, Suite 200 Irvine, California 92614 Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Ms. Archuleta, CITY MANAGER Raul Godinez II CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Made D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Fiscal Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of CornerstoneHousing Partners LP for the benefit of Cornerstone Apartments. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv). take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail at jbrown e Santa-ana.org. Sincerely, Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel A Pulido Michele Martinez Vicente Sarmientoto P. David Benavides Juan Villages Sal Tinalero Mayor Mayor Pro Tem, Ward 2 Wand 7 i Ward 4 Ward 5 Ward 6 moulido0sanla-ana.ora m1madiney8santa-ana ora vsarmientoOsanla-ana ora a a o dbenavidesasantaana ora v stinaiero(&sanla-ana ora 75D-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF FIRST POINT APARTMENTS I AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5,3) CLERK OF COUNCIL USE ONLY: I'11:1:1001T/AWk ❑ As Recommended ❑ As Amended ❑ Ordinance on 1a Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER I Y MANAGER APPLICANT REQUESTED ACTION 1. Conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Pacific Associates, a California L.P. (the 'Borrower"), for the benefit of First Point Apartments I (the "Project") to finance the acquisition, construction, improvement and equipping of First Point Apartments I, a 346 -unit multifamily rental housing project located at 2114 E. 1 st Street, Santa Ana, California. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $123,000,000 for the purpose of financing the acquisition, construction, improvement and equipping of First Point Apartments I, a 346 -unit multifamily rental housing project. BACKGROUND The project site is located at 2114 E. 1st Street and the existing uses on the site include a strip mall and auto related commercial uses. The applicant is currently working with Planning and Building Agency staff to schedule a Planning Commission meeting date. The proposed development to be presented will be a mixed-use project that will have a combination of ground floor retail space and residential units for families. The project consists of 26 one -bedroom units between 574-650 square feet, 160 two-bedroom units with an average of between 854-1017 square feet, 84 three-bedroom units between 1082-1241 square feet, and 76 four-bedroom units between 1199-1379 square feet. The building will have various amenities such as community gathering areas spread over six courtyards for residents to enjoy. In addition, there will be a clubhouse, gym, playgrounds, computer room, seating benches throughout the site, and on-site laundry facilities. These amenities will offer opportunities for families to be active and socialize. 75E-1 First Point Apartments I — TEFRA Hearing December 19, 2017 Page 2 DISCUSSION At the City Council meeting on November 7, 2017, this item was tabled by City Council. However, on December 5, 2017, Councilmember Sarmiento requested to place this item back on the City Council agenda for December 19, 2017 because the unit makeup now provides more work force housing, which fulfills a bigger housing need. Santa Ana Pacific Associates, a California Limited Partnership or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "CMFA") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $123,000,000 (the "Bonds") for the acquisition, construction, improvement and equipping of a 346 -unit multifamily rental housing project located at 2114 E. 1st Street, Santa Ana, California, generally known as First Point Apartments I and operated by Barker Management, Inc. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the financing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. On September 28, 2017, AMG and Associates submitted a request for a project subsidy equal to 70% of the City's annual affordable housing in -lieu fees collected from developers under the Housing Opportunity Ordinance, up to a maximum of $1.75 million per year for 40 years. AMG proposes to use the requested annual payment for debt service on their affordable housing projects located at 2110, 2114 and 2222 E. 15t Street. The City has made no decisions on whether it will provide financial support for the projects. The bonds to be issued by the Authority are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and. the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. 75E-2 First Point Apartments I — TEFRA Hearing December 19, 2017 Page 3 The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT The Board of Directors of the California Foundation for Stronger Communities, a California non- profit public benefit corporation (the "Foundation"), acts as the Board of Directors for the California Municipal Finance Authority (CMFA). Through its conduit issuance activities, the CMFA shares a portion of the issuance fees it receives with its member communities and donates a portion of these issuance fees to the Foundation for the support of local charities. With respect to the City of Santa Ana, it is expected that 25 percent of the issuance fee will be granted by the CMFA to the general fund of the City. Such grant may be used for any lawful purpose of the City. The CMFA does not receive issuance fees until a bond issuance closes. The fees the CMFA receives are based upon the par amount of the bonds issued. With approval by the CMFA, the Borrower ultimately decides when and if the bonds are actually issued and the final amount of bonds issued. The amount granted to the City is to be determined, but will not exceed $29,667 under the assumption the entire $123 million in bonds are issued. Upon receipt, the funds will be deposited to the Miscellaneous Revenues, Miscellaneous Recoveries Revenue Account (no. 01102002-57010). APPROVED AS TO FUNDS AND ACCOUNTS: Obert M. Zurch ied Francisco Gu Get Brei Job Interim Executi rector Executive Director Community Development Agency Finance and Management Services Agency Exhibits: 1. Resolution 2. Notice to Applicant 75E-3 75E-4 RESOLUTION NO. 2017 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY MULTIFAMILY HOUSING REVENUE BONDS IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $123,000,000 FOR THE PURPOSE OF FINANCING OR REFINANCING THE ACQUISITION, CONSTRUCTION, IMPROVEMENT AND EQUIPPING OF FIRST POINT APARTMENTS I AND CERTAIN OTHER MATTERS RELATING THERETO WHEREAS, Santa Ana Pacific Associates, a California Limited Partnership (the "Borrower") or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "Authority") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $123,000,000 (the 'Bonds") for the acquisition, construction, improvement and equipping of a 346 -unit multifamily rental housing project located at 2114 E. 1st Street, Santa Ana, California, generally known as First Point Apartments I (the "Project") and operated by Barker Management, Inc.; and WHEREAS, pursuant to Section 147(f) of the Internal Revenue Code of 1986 (the "Code"), the issuance of the Bonds by the Authority must be approved by the City of Santa Ana (the "City") because the Project is located within the territorial limits of the City; and WHEREAS, the City Council of the City (the "City Council") is the elected legislative body of the City and is one of the "applicable elected representatives" required to approve the issuance of the Bonds under Section 147(f) of the Code; and WHEREAS, the Authority has requested that the City Council approve the issuance of the Bonds by the Authority in order to satisfy the public approval requirement of Section 147(f) of the Code and the requirements of Section 4 of the Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority, dated as of January 1, 2004 (the "Agreement'), among certain local agencies, including the City; and WHEREAS, pursuant to Section 147(f) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Bonds, and now desires to approve the issuance of the Bonds by the Authority; NOW, THEREFORE, BE IT RESOLVED, BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The foregoing recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds by the Authority, for the purposes of (a) Section 147(f) of the Code by the applicable elected representative of the governmental unit having jurisdiction over the area in Exhibit' 1 75E-5 which the Project is located, in accordance with said Section 147(f) and (b) Section 4 of the Agreement. Section 3. The issuance of the Bonds shall be subject to the approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The officers of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to carry out, give effect to and comply with the terms and intent of this resolution and the financing transaction approved hereby. Section 6. This resolution shall take effect immediately upon its adoption ADOPTED this _ day of , 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75E-6 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sanniento Jose Solorio Sal Tinajero Juan Villages December 12, 2017 Tony Crowder The Pacific Companies 430 E State Street, Suite 100 Eagle, ID 83616 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.orc Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Mr. Crowder, CITY MANAGER Raul Godinez II CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Pacific Associates, a California L.P. for the benefit of First Point Apartments I. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail at jbrownCc�santa-ana.org. Sincerely, Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel A Pulido Michele Martinez Vicente SarmientoIo' P. David Benavides Juan Villages Sal Tinajero Mayor Mayor Pro Tem, Ward 2 Ward 1 \ S Ward 4 Ward 5 Ward 6 mourldo0santaana. ora mimartine2Osantaana cmysannieno0saota-dna oro d 1henayidesasanta-dna o!oyillenas(a)santaana wa stinaieroftsanta-ana orn NOTICE OF PUBLIC HEARING NOTICE IS HEREBY GIVEN that on Tuesday, December 19, 2017, a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986 will be held with respect to a proposed plan of financing providing for the issuance by the California Municipal Finance Authority (the "Authority") of its revenue bonds in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an amount not to exceed $123,000,000 (the 'Bonds"). The proceeds of the Bonds will be used to: (1) finance or refinance the acquisition, construction, improvement and equipping of First -Point Apartments ],-a 346 -unit multifamily rental housing project located at 2114 E. 1st Street, Santa Ana, California; and (2) pay certain expenses incurred in connection with the issuance of the Bonds. The facilities are to be owned by Santa Ana Pacific Associates, a California Limited Partnership (the "Borrower") or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners and operated by Barker Management, Inc. The Bonds and the obligation to pay principal of and interest thereon and any redemption premium with respect thereto do not constitute indebtedness or an obligation of the Authority, the State of California or any political subdivision thereof, within the meaning of any constitutional or statutory debt limitation, or a charge against the general credit or taxing powers of any of them. The Bonds shall be a limited obligation of the Authority, payable solely from certain revenues duly pledged therefor and generally representing amounts paid by the Borrower. The hearing will commence at 5:45 p.m. or as soon thereafter as the matter can be heard, and will be held in the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California. Interested persons wishing to express their views on the issuance of the Bonds or on the nature and location of the facilities proposed to be financed or refinanced may attend the public hearing or, prior to the time of the hearing, submit written comments. Additional information concerning the above matter may be obtained from, and written comments should be addressed to, City Clerk, City of Santa Ana, 20 Civic Center Plaza, 8th Floor, Santa Ana, California 92702, Dated: December 4, 2017 75E-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF FIRST POINT APARTMENTS II AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5,3) &Y MANAGER APPLICANT REQUESTED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal .Finance Authority on behalf of the Santa Ana Pacific Associates II, a California L.P. (the 'Borrower"), for the benefit of First Point Apartments II (the "Project') to finance the acquisition, construction, improvement and equipping of First Point Apartments II, a 206 -unit multifamily rental housing project located at 2110 E. 1st Street, Santa Ana, California. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $90,000,000 for the purpose of financing the acquisition, construction, improvement and equipping of First Point Apartments II, a 206 -unit multifamily rental housing project. BACKGROUND The project site is located at 2110 E. 1st Street and the existing uses on the site include a strip mall and auto related commercial uses. The applicant is currently working with Planning and Building Agency staff to schedule a Planning Commission meeting date. The proposed development to be presented to the Planning Commission will be located behind the 2114 E. 1st Street project, which is a mixed-use project that will have a combination of ground floor retail space and residential units for families. This development has been re -designed into a 206 -unit family project from a 348 -unit senior project. The project consists of 78 two-bedroom units between 854-1017 square feet, 68 three-bedroom units between 1082-1241 square feet, and 60 four-bedroom units between 1199-1296 square feet. The building will have various amenities such as community gathering areas spread over three courtyards for residents to enjoy. In addition, there will be a clubhouse, gym, playgrounds, computer room, seating benches throughout the site, and on-site laundry facilities. These amenities will offer opportunities for families to be active and socialize. 75F-1 First Point Apartments II — TEFRA Hearing December 19, 2017 Page 2 DISCUSSION At the City Council meeting on November 7, 2017, this item was tabled by City Council. However, on December 5, 2017, Councilmember Sarmiento requested to place this item back on the City Council agenda for December 19, 2017 because the project has been reconfigured to provide more workforce housing units, which helps fill a bigger housing need. Santa Ana Pacific Associates II, a California Limited Partnership or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "CMFA") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $90,000,000 (the "Bonds") for the acquisition, construction, improvement and equipping of a 206 -unit multifamily rental housing project located at 2110 E. 1st Street, Santa Ana, California, generally known as First Point Apartments II (the "Project") and operated by Barker Management, Inc. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the financing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative" of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. On September 28, 2017, AMG and Associates submitted a request for a project subsidy equal to 70% of the City's annual affordable housing in -lieu fees collected from developers under the Housing Opportunity Ordinance, up to a maximum of $1.75 million per year for 40 years. AMG proposes to use the requested annual payment for debt service on their affordable housing projects located at 2110, 2114 and 2222 E. 1St Street. The City has made no decisions on whether it will provide financial support for the projects. The bonds to be issued by the CMFA are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. 75F-2 First Point Apartments II — TEFRA Hearing December 19, 2017 Page 3 The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT The Board of Directors of the California Foundation for Stronger Communities, a California non- profit public benefit corporation (the "Foundation"), acts as the Board of Directors for the California Municipal Finance Authority (CMFA). Through its conduit issuance activities, the CMFA shares a portion of the issuance fees it receives with its member communities and donates a portion of these issuance fees to the Foundation for the support of local charities. With respect to the City of Santa Ana, it is expected that 25 percent of the issuance fee will be granted by the CMFA to the general fund of the City. Such grant may be used for any lawful purpose of the City. The CMFA does not receive issuance fees until a bond issuance closes. The fees the CMFA receives are based upon the par amount of the bonds issued. With approval by the CMFA, the Borrower ultimately decides when and if the bonds are actually issued and the final amount of bonds issued. The amount granted to the City is to be determined, but will not exceed $24,167 under the assumption the entire $90 million in bonds are issued. Upon receipt, the funds will be deposited to the Miscellaneous Revenues, Miscellaneous Recoveries Revenue Account (no. 01102002-57010). APPROVED AS TO FUNDS AND ACCOUNTS: Robert M. Zur Sc mi de ' Francisco Gutierrez Interim ExecutivekQjr.9btor Executive Director 00 Community Development Agency Finance and Management Services Agency Exhibits: 1. Resolution 2. Notice to Applicant 75F-3 75F-4 RESOLUTION NO. 2017 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY MULTIFAMILY HOUSING REVENUE BONDS IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $90,000,000 FOR THE PURPOSE OF FINANCING OR REFINANCING THE ACQUISITION, CONSTRUCTION, IMPROVEMENT AND EQUIPPING OF FIRST POINT APARTMENTS II AND CERTAIN OTHER MATTERS RELATING THERETO WHEREAS, Santa Ana Pacific Associates II, a California Limited Partnership (the "Borrower") or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "Authority") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $90,000,000 (the "Bonds") for the acquisition, construction, improvement and equipping of a 206 -unit multifamily rental housing project located at 2110 E. 1st Street, Santa Ana, California, generally known as First Point Apartments jl (the "Project') and operated by Barker Management, Inc.; and WHEREAS, pursuant to Section 147(8 of the Internal Revenue Code of 1986 (the "Code"), the issuance of the Bonds by the Authority must be approved by the City of Santa Ana (the "City") because the Project is located within the territorial limits of the City; and WHEREAS, the City Council of the City (the "City Council') is the elected legislative body of the City and is one of the "applicable elected representatives" required to approve the issuance of the Bonds under Section 147(f) of the Code; and WHEREAS, the Authority has requested that the City Council approve the issuance of the Bonds by the Authority in order to satisfy the public approval requirement of Section 147(f) of the Code and the requirements of Section 4 of the Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority, dated as of January 1, 2004 (the "Agreement'), among certain local agencies, including the City; and WHEREAS, pursuant to Section 147(f) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Bonds, and now desires to approve the issuance of the Bonds by the Authority; NOW, THEREFORE, BE IT RESOLVED, BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The foregoing recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds by the Authority, for the purposes of (a) Section 147(f) of the Code by the applicable elected representative of the.governmental unit having jurisdiction over the area in Exhibit / 75F-5 which the Project is located, in accordance with said Section 147(f) and (b) Section 4 of the Agreement. Section 3. The issuance of the Bonds shall be subject to the approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The officers of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to carry out, give effect to and comply with the terms and intent of this resolution and the financing transaction approved hereby. Section 6. This resolution shall take effect immediately upon its adoption ADOPTED this _ day of , 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Ryan Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75F-6 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sarmiento Jose Solorio Sal Tinalero Juan Villages December 12, 2017 Tony Crowder The Pacific Companies 430 E State Street, Suite 100 Eagle, ID 83616 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.ora Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Mr. Crowder, CITY MANAGER Raul Godinez II CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Pacific Associates 11, a California L.P., for the benefit of First Point Apartments II. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail atjbrown@santa-ane org. Sincerely, Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel 0. Pulido Michele Martinez Vicente 5anniento 7 Ion? P. David Benavitles Juan Villages Sal Tinajaro Mayor Mayor Pro Tem, Ward 2 Ward 1 isdl ri anl2. Ta. m Ward 4 Ward 5 Ward 6 maulidordsanta-ane ora mimarlinWasantaana ora vsarmientonasanlaana ora o a -a o dbenavidesftsantaana.ostinaieroOsantaana.om NOTICE OF PUBLIC HEARING NOTICE IS HEREBY GIVEN that on Tuesday, December 19, 2017, a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986 will be held with respect to a proposed plan of financing providing for the issuance by the California Municipal Finance Authority (the "Authority') of its revenue bonds in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an amount not to exceed $90,000,000 (the "Bonds"). The proceeds of the Bonds will be used to: (1) finance or refinance the acquisition, construction, improvement and equipping of First Point Apartments ll, a 206 -unit multifamily rental housing project located at 2110 E. 1st Street, Santa Ana, California; and (2) pay certain expenses incurred in connection with the issuance of the Bonds. The facilities are to be owned by Santa Ana Pacific Associates Il, a California Limited Partnership (the "Borrower") or a partnership created by Pacific West Communities, Inc, (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners and operated by Barker Management, Inc. The Bonds and the obligation to pay principal of and interest thereon and any redemption premium with respect thereto do not constitute indebtedness or an obligation of the Authority, the State of California or any political subdivision thereof, within the meaning of any constitutional or statutory debt limitation, or a charge against the general credit or taxing powers of any of them. The Bonds shall be a limited obligation of the Authority, payable solely from certain revenues duly pledged therefor and generally representing amounts paid by the Borrower. The hearing will commence at 5:45 p.m. or as soon thereafter as the matter can be heard, and will be held in the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California. Interested persons wishing to express their views on the issuance of the Bonds or on the nature and location of the facilities proposed to be financed or refinanced may attend the public hearing or, prior to the time of the hearing, submit written comments. Additional information concerning the above matter may be obtained from, and written comments should be addressed to, City Clerk, City of Santa Ana, 20 Civic Center Plaza, 8th Floor, Santa Ana, California 92702. Dated: December 4, 2017 75F-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR THE BENEFIT OF VILLA COURT SENIOR APARTMENTS AND RESOLUTION APPROVING THE ISSUANCE OF BONDS (STRATEGIC PLAN NO. 5, 3) C MANAGER APPLICANT REQUESTED 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 1. Conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Senior Associates, a California L.P. (the 'Borrower"), for the benefit of Villa Court Senior Apartments (the 'Project") to finance the acquisition, construction, improvement and equipping of a 418 -unit senior multifamily rental housing project located at 2222 E. 1st Street, Santa Ana, California, generally known as Villa Court Senior Apartments. 2. Adopt a resolution approving the issuance of revenue bonds by the Authority in an amount not to exceed $120,000,000 for the purpose of financing the acquisition, construction, improvement and equipping of a 418 -unit senior multifamily rental housing project located at 2222 E. 1 st Street, Santa Ana, California, generally known as Villa Court Senior Apartments. BACKGROUND The project site is located at 2222 E. 1st Street and is currently occupied by Leonardo Inn and Suites. The proposed development was approved at the September 11, 2017 Planning Commission meeting for a total of 418 units, with a mix of 96 studio units of 402-457 square feet; 257 one -bedroom units between 559-608 square feet, and 65 two-bedroom units between 797- 828 square feet. The building will have various amenities such as community gathering areas spread over four courtyards. In addition, there will be a clubhouse, gym, computer room, seating benches throughout the site, and on-site laundry facilities. The amenities are situated throughout the site and will offer opportunities for seniors to be active and socialize. 75G-1 Villa Court Senior Apartments — TEFRA Hearing December 19, 2017 Page 2 DISCUSSION At the City Council meeting on November 7, 2017, this item was tabled by City Council. However, on December 5, 2017, Councilmember Sarmiento requested to place this item back on the City Council agenda for December 19, 2017. Santa Ana Senior Associates, a California Limited Partnership or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "CMFA") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $120,000,000 (the "Bonds") for the acquisition, construction, improvement and equipping of a 418 -unit senior multifamily rental housing project located at 2222 E. 1st Street, Santa Ana, California, generally known as Villa Court Senior Apartments (the "Project") and operated by Barker Management, Inc. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a public hearing (the "TEFRA Hearing") providing for the members of the community an opportunity to speak in favor of or against the use of tax-exempt bonds for the financing of the Project. Following the close of the TEFRA Hearing, an "applicable elected representative' of the governmental unit hosting the Project, in this case the City, must provide its approval of the issuance of the Bonds by the Authority for the refinancing of the Project. On September 28, 2017, AMG and Associates submitted a request for a project subsidy equal to 70% of the City's annual affordable housing in -lieu fees collected from developers under the Housing Opportunity Ordinance, up to a maximum of $1.75 million per year for 40 years. AMG proposes to use the requested annual payment for debt service on their affordable housing projects located at 2110, 2114 and 2222 E. 15t Street. The City has made no decisions on whether it will provide financial support for the projects. The bonds to be issued by the CMFA are the sole responsibility of the borrower. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of the project. 75G-2 Villa Court Senior Apartments — TEFRA Hearing December 19, 2017 Page 3 The Housing Element of the City's General Plan contains various goals and policies which are intended to provide a diversity of quality housing, affordability levels and living experiences that accommodate Santa Ana's residents to foster an inclusive community. Additionally, the General Plan encourages development of affordable rental and ownership housing for seniors, people with disabilities, families with children, and people needing emergency, transitional or supportive housing options. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT The Board of Directors of the California Foundation for Stronger Communities, a California non- profit public benefit corporation (the "Foundation"), acts as the Board of Directors for the California Municipal Finance Authority (CMFA). Through its conduit issuance activities, the CMFA shares a portion of the issuance fees it receives with its member communities and donates a portion of these issuance fees to the Foundation for the support of local charities. With respect to the City of Santa Ana, it is expected that 25 percent of the issuance fee will be granted by the CMFA to the general fund of the City. Such grant may be used for any lawful purpose of the City. The CMFA does not receive issuance fees until a bond issuance closes. The fees the CMFA receives are based upon the par amount of the bonds issued. With approval by the CMFA, the Borrower ultimately decides when and if the bonds are actually issued and the final amount of bonds issued. The amount granted to the City is to be determined, but will not exceed $29,167 under the assumption the entire $120 million in bonds are issued. Upon receipt, the funds will be deposited to the Miscellaneous Revenues, Miscellaneous Recoveries Revenue Account (no. 01102002-57010). APPROVED AS TO FUNDS AND ACCOUNTS: Robert M. Zur ch ie Francisco Gutierrez Interim Executive Director Executive Director yJ Community Development Agency Finance and Management Services Agency Exhibits: 1. Resolution 2. Notice to Applicant 75G-3 75G-4 RESOLUTION NO. 2017 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY MULTIFAMILY HOUSING REVENUE BONDS IN AN AGGREGATE PRINCIPAL AMOUNT NOT TO EXCEED $120,000,000 FOR THE PURPOSE OF FINANCING OR REFINANCING THE ACQUISITION, CONSTRUCTION, IMPROVEMENT AND EQUIPPING OF VILLA COURT SENIOR APARTMENTS AND CERTAIN OTHER MATTERS RELATING THERETO WHEREAS, Santa Ana Senior Associates, a California Limited Partnership (the "Borrower") or a partnership created by Pacific West Communities, Inc. (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners, has requested that the California Municipal Finance Authority (the "Authority") adopt a plan of financing providing for the issuance of one or more series of revenue bonds issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an aggregate principal amount not to exceed $120,000,000 (the 'Bonds") for the acquisition, construction, improvement and equipping of a 418 -unit senior multifamily rental housing project located at 2222 E. list Street, Santa Ana, California, generally known as Villa Court Senior Apartments (the "Project') and operated by Barker Management, Inc.; and WHEREAS, pursuant to Section 147(f) of the Internal Revenue Code of 1986 (the "Code"), the issuance of the Bonds by the Authority must be approved by the City of Santa Ana (the "City") because the Project is located within the territorial limits of the City; and WHEREAS, the City Council of the City (the "City Council') is the elected legislative body of the City and is one of the "applicable elected representatives" required to approve the issuance of the Bonds under Section 147(f) of the Code; and WHEREAS, the Authority has requested that the City Council approve the issuance of the Bonds by the Authority in order to satisfy the public approval requirement of Section 147(f) of the Code and the requirements of Section 4 of the Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority, dated as of January 1, 2004 (the "Agreement"), among certain local agencies, including the City; and WHEREAS, pursuant to Section 147(f) of the Code, the City Council has, following notice duly given, held a public hearing regarding the issuance of the Bonds, and now desires to approve the issuance of the Bonds by the Authority; NOW, THEREFORE, BE IT RESOLVED, BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The foregoing recitals are true and correct. Section 2. The City Council hereby approves the issuance of the Bonds by the Authority. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds by the Authority, for the purposes of (a) Section 147(f) of the Code by the applicable elected representative of the governmental unit having jurisdiction over the area in Exhibit 1 75G-5 which the Project is located, in accordance with said Section 147(f) and (b) Section 4 of the Agreement. Section 3. The issuance of the Bonds shall be subject to the approval of the Authority of all financing documents relating thereto to which the Authority is a party. The City shall have no responsibility or liability whatsoever with respect to the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. Section 5. The officers of the City are hereby authorized and directed, jointly and severally, to do any and all things and to execute and deliver any and all documents which they deem necessary or advisable in order to carry out, give effect to and comply with the terms and intent of this resolution and the financing transaction approved hereby. Section 6. This resolution shall take effect immediately upon its adoption. ADOPTED this _ day of 2017. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Rya oe Assi nt CitAttorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 75G-6 MAYOR Miguel A. Pulido MAYOR PRO TEM Michele Martinez COUNCILMEMBERS P. David Benavides Vicente Sarmiento Jose Solorio Sal Tinajero Juan Villages December 12, 2017 Tony Crowder The Pacific Companies 430 E State Street, Suite 100 Eagle, ID 83616 Exhibit 2 CITY OF SANTA ANA 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.org Subject: Notice to Applicant Regarding Request for TEFRA Hearing Dear Mr. Crowder, CITY MANAGER Raul Godinez II CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Maria D. Huizar This is in response to your request for the City of Santa Ana to conduct a Tax Equity and Financial Responsibility Act (TEFRA) Hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of the Santa Ana Senior Associates, a California L.P., for the benefit of Villa Court Senior Apartments. The TEFRA Hearing has been placed on our City Council agenda for December 19, 2017 per your request. This TEFRA Hearing is not being considered by City Council as a recommended action per our staff. Instead this item is being considered as an applicant requested action. In addition, this TEFRA Hearing and the adoption of the Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the acquisition, construction, rehabilitation, installation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the Authority; or (iv) take any further action with respect to the Authority or its membership therein. In general, this action by the City of Santa Ana will not obligate the City or any department thereof to undertake any discretionary action related to the development of your project. If you have any questions regarding this notice, I may be reached by telephone at (714) 667-2241 or by e- mail atjbrown e.santa-ana.org. Sincerely, ice//�� Judson Brown Housing Division Manager SANTA ANA CITY COUNCIL Miguel A Pulido Michele Martinez Vicente Sarmiento�b to P. David Benavides Juan Villages Sal rmajero Mayor Mayor Pro Tem, Ward 2 Ward 7 a GS Ward 4 Word 5 Ward 6 moulidgAsanauana.om mi maninez(d)santaanaaro vsarmantoralsanta-ana ora sol ono0sanlaana.org dbenavidesaPsanta.ana cro 'villenasresanta-zna oro sl'na'ero(ol5antaana om NOTICE OF PUBLIC HEARING NOTICE IS HEREBY GIVEN that on Tuesday, December 19, 2017, a public hearing as required by Section 147(f) of the Internal Revenue Code of 1986 will be held with respect to a proposed plan of financing providing for the issuance by the California Municipal Finance Authority (the "Authority") of its revenue bonds in one or more series issued from time to time, including bonds issued to refund such revenue bonds in one or more series from time to time, in an amount not to exceed $120,000,000 (the 'Bonds"). The proceeds of the Bonds will be used to: (1) finance or refinance the acquisition, construction, improvement and equipping of Villa Court Senior Apartments, a 418 -unit senior multifamily rental housing project located at 2222 E. 1st Street, Santa Ana, California; and (2) pay certain expenses incurred in connection with the issuance of the Bonds. The facilities are to be owned by Santa Ana Senior Associates, a California Limited Partnership (the 'Borrower") or a partnership created by Pacific West Communities, Inc, (the "Developer"), consisting at least of the Developer or a related person to the Developer and one or more limited partners and operated by Barker Management, Inc. The Bonds and the obligation to pay principal of and interest thereon and any redemption premium with respect thereto do not constitute indebtedness or an obligation of the Authority, the State of California or any political subdivision thereof, within the meaning of any constitutional or statutory debt limitation, or a charge against the general credit or taxing powers of any of them. The Bonds shall be a limited obligation of the Authority, payable solely from certain revenues duly pledged therefor and generally representing amounts paid by the Borrower. The hearing will commence at 5:45 p.m. or as soon thereafter as the matter can be heard, and will be held in the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California. Interested persons wishing to express their views on the issuance of the Bonds or on the nature and location of the facilities proposed to be financed or refinanced may attend the public hearing or, prior to the time of the hearing, submit written comments. Additional information concerning the above matter may be obtained from, and written comments should be addressed to, City Clerk, City of Santa Ana, 20 Civic Center Plaza, 8th Floor, Santa Ana, California 92702. Dated: December 4, 2017 75G-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING — 2018 DOWNTOWN BUSINESS IMPROVEMENT DISTRICT ASSESSMENT (STRATEGIC PLAN NO. 3,41F) YVrrI ; -- Y MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 at Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Conduct a public hearing to consider all protests regarding the intention to levy an assessment for 2018 for the Downtown Santa Ana Business Improvement District. 2. Review any written protests filed prior to the close of the public hearing and determine whether they constitute a majority protest. 3. If the Council determines that no valid majority protest was lodged, adopt a resolution confirming the Assessment Report and levying the assessment for 2017. On November 21, 2017, the City Council approved the 2018 Assessment Report and budget for the Downtown Santa Ana Business Improvement District (BID). In FY2016-17, the BID, through the efforts of Downtown Inc. and the Santa Ana Business Council, accomplished several successful events and promotions that drew thousands of visitors to Downtown Santa Ana. These events included: First Saturday Arlwalk, Savor Santa Ana, Santa Ana Media Summit, Rooftop Cinema (monthly), Santa Ana Sidewalk Sales (monthly), and the Downtown Santa Ana newsletter. Both organizations also maintain social media accounts with over 50,000 active followers. In addition, the City Council adopted a resolution of Intention to Levy the 2018 assessment pursuant to California Streets and Highways Code section 35600 et seq. and scheduled the public hearing to consider protests to this action for its regular meeting of December 19, 2017. Business owners affected by the 2018 anrival BID assessment may present written and/or oral protests during this public hearing. If written protests are received from business owners within the Downtown Santa Ana Business Improvement District, which will pay 50 percent or more of the proposed assessments and the protests are not withdrawn so as to reduce the number to 75H-1 PH — 2018 BID Assessment December 19, 2017 Page 2 less than 50 percent, the Council will be precluded from taking any action to levy the 2018 assessment. Any written protests filed and not withdrawn must be reviewed to determine if they meet certain qualifications; this review will include a comparison of names and business owners with official City records. If it is determined that less than a majority protest is filed, the adoption of the subject resolution will confirm the 2018 Assessment report for the BID and levy the assessments for 2018 (Exhibit 1). The 2018 Assessment Report includes a description of the BID assessment formula, where certain business classifications are charged 25%, 100% or 150% of their business license fee as their BID assessment. This formula was established in 1984 and remains unchanged. To ensure full understanding of how the assessment formula is applied to each business, attached as Exhibit 2 is a listing of all businesses which would be subject to the 2018 BID assessment showing which charge would apply to each business. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #3 (Economic Development), Objective 4 (Continue to pursue objectives that shape downtown Santa Ana into a thriving, culturally diverse, shopping, dining, and entertainment destination), Strategy F (Partner with downtown business and merchant associations to program events that showcase restaurants, shopping and entertainment venues). FISCAL IMPACT There is no fiscal impact associated with this action. The City only serves as a pass-through for BID revenue in accordance with the Assessment Report and any approved operating agreements. Robert M. Zur S h ied Interim Executive Uirector Exhibit: 1. Resolution 2. List of Businesses Subject to Assessment 3. 2018 Assessment Report 75H-2 Exhibit 1 ROH —12/19/17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA LEVYING AN ASSESSMENT FOR THE DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT FOR CALENDAR YEAR 2018 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On February 6, 1984, the City Council, by Ordinance No. NS -1715, established the Downtown Santa Ana Business Improvement Area pursuant to California Streets and Highways Code Sections 36500, et seq. (the "BID Law"). B. On November 21, 2017, the City Council received the 2017 Annual Report for the Downtown Santa Ana Business Improvement District (the 'Report"). C. On November 21, 2017, the City Council adopted Resolution 2017-067 approving the Report and setting a public hearing for December 19, 2017, at which time protests could be made to the proposed levy of the 2018 annual assessment for the Downtown Santa Ana Business Improvement District (the "Annual Assessment'). D. On December 19, 2017, at the time and place called for in Resolution 2017- 067, the City Council conducted a duly noticed public hearing at which written and oral protests to the proposed Annual Assessment were made and considered as provided in Streets and Highways Code section 36524 and 36525. E. Qualifying written protests constituting a majority of the owners of the businesses paying the Annual Assessment were not received at or before the conclusion of the public hearing. Section 2. The 2018 Assessment Report is hereby confirmed, and the levy of an assessment for the calendar year 2018 in accordance with Attachment B of the Report, a copy of which is attached hereto and incorporated herein by reference, is hereby approved. Resolution No. 2017 -XXX Page 1 of 3 75H-3 ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN NOT PRESENT: Councilmembers Councilmembers Resolution No. 2017 -XXX Page 2 of 3 2017. Miguel A. Pulido Mayor 75H-4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2017 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Resolution No. 2017 -XXX Page 3 of 3 Clerk of the Council City of Santa Ana 75H-5 75H-6 2018 DOWNTOWN BUSINESS IMPROVEMENT DISTRICT ASSESSMENT FOR ATTACHMENT B, SEE EXHIBIT 3 OF THE STAFF REPORT 75H-7 75H-8 DATA AS OF 11/3 012 01 7 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value Number Business Name Business Address BID Area BID Eligible I% of 100% Total) 1 PEP BOYS, TH E-MANNY/M 0 E/JACK 120 E IST ST UN IT#A Yes Yes 0.535242% 2 PEP BOYS, TH E-MANNY/MOE/JACK 120 E IST ST UN IT#0 Yes Yes 0.341296% 3 SANTA ANA EXPRESS CAR WASH 2O2 EIST ST Yes Yes 0.483470% 4 NU NEZ AUTO REPAI R 219 EIST ST Yes Yes 0.115093% 5 PURPLE PENUMBRA LLC 224 E1STST Yes Yes 0.019016% 6 AREA AUTOMOTIVE, LLC 224E ISTST Yes Yes 0.160493% 7 MCDONALD'S USA LLC 301 E ISTST Yes Yes 0.050577% 8 MCDONALDS RESTAURANT 301 E SST ST Yes Yes 1.072276% 9 G S C PRESTON, LLC 302 E 1ST ST Yes Yes 0.019514% 10 DOWNTOWN GLASS 302 E 1ST ST Yes Yes 0.084428% 11 SPORT PLUS 307 E IST ST Yes Yes 0.260453% 12 ROIC SANTA ANA, LLC (301, 307, 407, 419, 423, 431) 307 E 1ST ST Yes Yes 0.173535% 13 GUADALUPANA MEDICAL GROUP 307 E IST ST UNIT# IC Yes Yes 0.094782% 14 T -MOBILE LEASING LLC 307 E ISTST UNIT# 1E Yes Yes 0.111110% 15 T -MOBILE WEST LLC 307 E IST ST UNIT#IE Yes Yes 0.176224% 16 T -MOBILE 307 E IST ST UNIT4 IE Yes Yes 0.272997% 17 T -MOBILE FINANCIAL LLC 307 E IST ST UNIT# 3E Yes Yes 0.655313% IB JUGOSACAPULCO 307 E IST ST UNIT#B Yes Yes 0.077658% 19 KALI BOTANICA IATINA 312 EIST ST Yes Yes 0.076463% 20 TELEMAXTV 314 E IST ST Yes Yes 0.094384% 21 CARDPOOL, INC 315 E IST ST Yes Yes 0.078255% 22 JOHN MUIR-OC EAGLES 315E ISTST Yes Yes 0.086021% 23 FOOD 4 LESS 382 315 E IST ST Yes Yes 5.833898% 24 ACE AUTO CARE, LLC 401 E 1ST ST Yes Yes 0.178016% 25 PAYLESS SHOE SOURCE#1011 407 E 1ST ST Yes Yes 0.302866% 26 PROCESSING CENTER OF ORANGE COUNTY/VIGO 407 E IST ST UNIT# 2E Yes Yes 0.102747% 27 ILUSION SANTA ANA 407 E IST ST UNIT#2F Yes Yes 0.130824% 28 TACO BELL #343 411 E 1ST ST Yes Yes 0.621860% 29 MARSHALLS#1220 419 E1ST ST Yes Yes 1.424126% 30 PRONTO PIZZA 200 W IST ST UNIT# 104 Yes Yes 0.114695% 31 GUS'S WORLD FAMOUS FRIED CHICKEN 201 W 1ST ST Yes Yes 0.114695% 32 PROFESSIONAL SERVICES CENTER 210W 1ST ST Yes Yes 0.066507% 33 BROADWAY FAMILY DENTISTRY 210 W 1ST ST Yes Yes 0.0947827 34 GONZALEZ AUTO INSURANCE SVCS 210W 1ST ST Yes Yes 0.108323% 35 MORALE, MICHA 210 W IST ST Yes Yes 0.051871% 36 NUTRICION TOTAL 210 W 1ST ST UNIT#107 Yes Yes 0.176224% 37 OMALEXA'S BEAUTY SALON 210 W SST ST UNIT# 108 Yes Yes 0.075667% 38 MOBIUS PRINT & SIG NS 210 W IST ST UN IT#109 Yes Yes 0.156510% 39 ANTOATOS CLEMENTE 210 W SST ST UNIT# Ill Yes Yes 0.1696532 40 COMERCIAL NUTRITION MEXICANA 210 W ISTST UNIT# 112-11 Yes Yes 0.330345% 41 BEAUTY GLAM ACADEMY 210 W ISTST UNIT#212 Yes Yes 0.084826% 42 OASIS SPA 210 W IST ST UNIT#213 Yes Yes 0.086021% 43 TU CENTRO MOBILE 220 W IST ST UNIT#101 Yes Yes 0.129629% 44 ADOBE MEDICALGROUP, INC 220 W IST ST UNIT#102 Yes Yes 0.112305% 45 828 PHO 220 W IST ST UNIT# 103 Yes Yes 0.221026% 46 BROADWAY ARCO/AFGHANI FAMILY 302W IST ST Yes Yes 0.780561% 47 HALL, TOM (101 S BIRCH ST) 310W IST ST Yes Yes 0.008861% 48 CASTELLON, ALFREDO 312W IST ST Yes Yes 0.031063% 49 SANTA ANA SENIOR HOUSING LP 401W IST ST Yes Yes 0.224411% 50 TEKCHANDANI, NARAIN (#F201) 601 W IST ST Yes Yes 0.006471% 51 GONZALEZ, ALFO N50/AUCIA(F105) 601W 1ST ST Yes Yes 0.006471% 52 MOHAMMAD, MOBIN/SINGH, DAVINDER 601 W SSTST UNIT#F101 Yes Yes 0.006471% 53 WU, HONG 601 W SST ST UNIT# F204 Yes Yes 0.006471% 54 GUPTA, SUNEET 611 W ISTST UNIT#113 Yes Yes 0.006471% 55 KIMBERLY ANNE LLC 611 W ISTST UNIT# E102 Yes Yes 0.006471% 56 QIAO, U Q(A109/E303) 611 W ISTST UNIT# E103 Yes Yes 0.006471% 57 SADEGHI, MITRA&AALAM 631 W 1ST ST UNIT#E202 Yes Yes 0.006471% 58 ANDRA, KISHORE V 611 W 15T ST UNIT# E203 Yes Yes 0.0064719 59 WU, HONG 631 W IST ST UNIT# E204 Yes Yes 0.006471% 60 GAO, QUANYIN & YANG, ZUIRONG 623 W IST ST UNIT#D302 Yes Yes 0.006471% 61 GO PRINTING AND SHIPPING CENTER 104 W 2ND 5T Yes Yes 0.093787% 62 RU NN ING WITH SCISSORS HAI R STU DID 106 W2ND ST Yes Yes 0.106730% 63 NOVEL IP 191W2NDST Yes Yes 0.086021% 64 JAY'S CATERING, INC 207 W 2ND ST UNIT#A Yes Yes 0.217840% 65 ROBBINS NEST WINE BAR & BISTRO 207 W 2ND ST UNIT# B Yes Yes 0.077658% 66 LOW GASPAR 211 W 2ND ST Yes Yes 0.590797% 67 THE COURTATARTISTS VILLAGE 301W 21D ST Yes Yes 0.220031% 75H-9 Page 1 of 10 DATA AS OF 11/30/2017 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value Number Business Name Business Address BID Area BID Eligible I% of 10076 Total) 68 SVT TUTORING SERVICES 301 W 2N D ST UN IT#212 Yes Yes 0.070888% 69 KALEIDOSCOPE DESIGNS 301 W 2ND ST UNIT# 339 Yes Yes 0.053763% 70 STYLE CUTS SANTA ANA &SUPPLIES 103 E3RD ST Yes Yes 0.067702% 71 THE POINTE SHOP 200 E3RD ST Yes Yes 0.077658% 72 BUTTERFIELD, LEE C/ FESTIVAL 210 E 3RD ST Yes Yes 0.024691% 73 TAPIA. CANDELARIO 216 E3RD ST Yes Yes 0.012744% 74 FESTIVAL HALL 220 E3RD ST Yes Yes 0.237753% 75 ROMYS BEAUTY SALON & SUPPLY 109 W 3RD ST Yes Yes 0.051772% 76 ALFA INVESTMENTS & LOANS 190W3RDST Yes Yes 0.086021% 77 CALIFORNIA TEAM REALTY 190 W 3RDST Yes Yes 0.056153% 78 CEDELCO CONSTRUCTION 190 W 3RD ST Yes Yes 0.10314691. 79 DOWNTOWN SUGAR 218 W3RD ST Yes Yes 0.142970% 80 SANDY'S BEAUTY SALON 305 W3RD ST Yes Yes 0.063719% 81 BOLOS CREAMERY 307 W 3RD ST Yes Yes 0.114695% 82 EL INDIO BOTANAS Y CERVEZA 309 W3RD ST Yes Yes 0.114695% 83 MY OFFICE 310 W3RD ST Yes Yes 0.056153% 84 ACE MESSENGER& ATTORNEY SERVICE 310W3RDST Yes Yes 0.087614% 85 LAW OFFICES OF LOIDA D TELLEZ 315 W 3RD ST Yes Yes 0.094782% 86 LAW OFFICES OF CHRISTOPHER P RUIZ 315W3RDST Yes Yes 0.103544% 87 EAST SECOND STREET LLC 315W 3RD ST Yes Yes 0.106730% 88 HARRIS TAYLOR MANAGEMENT INC 335 W 3RD ST Yes Yes 0.174033% 89 MOITAHEDI, MICHAEL LAW OFFICES 322 W 3RD ST Yes Yes 0.199919% 90 HAKIMI, FARZIN 600 W 3RD ST UNIT#A103 Yes Yes 0.006471% 91 ONTIVEROS, ANGELICA 600 W 3RD ST UNIT#A304 Yes Yes 0.006471% 92 DAO, TRI / LE, TRANG 600 W 3RD ST UNIT# AIDS Yes Yes 0.006471% 93 NGUYEN, TYLER 600 W 3RD ST UNIT#A106 Yes Yes 0.006471% 94 CERRUTI-TIPITTO, PATRICIA 600 W 3RD ST UNIT#A318 Yes Yes 0.006471% 95 J K L VICTORVILLE LLC 600 W 3RD ST UNIT#A230 Yes Yes 0.006471% 96 MAHTANI2011 600 W 3RD ST UNIT#A212 Yes Yes 0.006471% 97 LABRA, CLAUDIO(#A216) 600 W 3RD ST UNIT#A226 Yes Yes 0.0064715Z 98 FTI HOLDINGS, INC (#A218/B109/B116/B306) 600 W 3RD ST UNIT#A218 Yes Yes 0.009757% 99 TEKCHANDANI, NARAIN(#8104) 600 W 3RD ST UNIT#A219 Yes Yes 0.006471% 100 CORDOVA, MARIANO(#A219) 600 W 3RD ST UNIT# A219 Yes Yes 0.006471% 101 KATO, MAKOTO MARK (#201-B) 600 W 3RD ST UNIT# A219 Yes Yes 0.006471% 102 HUITING CHI SUN AND ZENEY I SUN 600 W 3RD ST UNIT#A302 Yes Yes 0.006671% 103 BIZCONNECTORS 600 W 3RD ST UNIT#A302 Yes Yes 0.017125% 104 PHAM, THOMAS600 W 3RD ST UNIT# A305 Yes Yes 0.006471% 105 CREEK ROSEDALE LLC 600 W 3RD ST UN IT#A306 Yes Yes 0.006671% 106 DESAI M V (#A310/C205) 600 W 3RD ST UNIT# A310 Yes Yes 0.007567% 107 HONLYNX CAPITAL, LLC 600W3RDSTUNIT#A311 Yes Yes 0.006475 108 HECTOR &ELVA CORTES 600 W 3RD ST UNIT#A313 Yes Yes 0.006671% 109 MATINPOUR FAMILY TRUST 600 W 3RD ST UNIT#A318 Yes Yes 0.006471% 110 PHAN,QUAN 600 W 3RD ST UNIT#8105 Yes Yes 0.006471% 111 SAN JUAN INVESTMENT CO, LLC (8306/8212) 600 W 3RD ST UNIT#8106 Yes Yes 0.007567% 112 JIANG, YIHAI/SHI, RU 600 W 3RD ST UNIT#6308 Yes Yes 0.006471% 113 CHAHNOUI, MOHAMMED GHASSEMI 600 W 3RD ST UNIT#8113 Yes Yes 0.006471% 114 HITCHENS, DEAN AND MARIA 600 W 3RD ST UNIT# 8114 Yes Yes 0.006471% 115 WU, HONG(A122/A304/B208/C302) 600 W 3RD ST UNIT# 8208 Yes Yes 0.009757% 116 HAIDER, RICHARD &SAM 600 W 3RD ST UNIT#8210 Yes Yes 0.006471% 117 YANG, JENNY & YINGER, QIANG 600 W 3RD ST UNIT#8213 Yes Yes 0.00647197 118 YANG, TONY/HOU, NANCY 600 W 3RD ST UNIT#8217 Yes Yes 0.006471% 119 PACIFIC HEIGHT HOLDING CO, LLC 600 W 3RD ST UNIT#8221 Yes Yes 0.006471% 120 HONG, ROBERTO 600 W 3RD ST UNIT# 8301 Yes Yes 0.006471% 121 DETMERS, ERNESTJ & MORALES,V 600 W 3RD ST UNIT# 8304 Yes Yes 0.006471% 122 SHEN, EDWARD TTRUSTEE 600 W 3RD ST UNIT#8314 Yes Yes 0.007567% 123 THING, WILLIAM 600 W 3RD ST UNIT#C101 Yes Yes 0.006471% 124 MINI MAX GROUP LLC 600 W 3RD ST UNIT#C104 Yes Yes 0.006471% 125 HONLYNX CAPITAL LLC 600 W 3RDST UNIT#C202 Yes Yes 0.006471% 126 JIANG, YIHAI 600 W 3RDST UNIT#C206 Yes Yes 0.006471% 127 KHORRAM, SHANIA/IAFERKHANI, MEHRI 600 W 3RD ST UNIT#C207 Yes Yes 0.006471% 128 AZVES LLC 600 W 3RD ST UNIT#C304 Yes Yes 0.006471% 129 CHAPION FINACIAL SERVICES 102 E 4TH ST Yes Yes 0.056551% 130 DORA O RLANDI VALUTA SANTA ANA 102 E4TH ST Yes Yes 0.087614% 131 ACAPULCO TRAVEL 102 E4TH ST Yes Yes 0.160095% 132 YANEZ, RAUL 102 E 4TH ST UNIT#2ND FL Yes Yes 0.019514% 133 JOYERIAACAPULCO 102 E 4TH ST UNIT#2ND FL Yes Yes 0.077658% 134 VALNER INSURANCE SERVICES, INC 1102 E 4TH ST UNIT#2ND FL Yes Yes 0.089207% 75H-10 Page 2 of 10 DATA AS OF 1113012017 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value Number Business Name Business Address BID Area BID Eligible I% of 10G% Total) 135 VALNER SERVICES 102 E4TH ST UNIT# 2ND FL Yes Yes 0.107128% 136 OENTAL4 102 E4TH ST UNIT#2ND FL Yes Yes 0.181600% 137 EL RINCON MEXICANO 104 E4TH ST Yes Yes 0.114695% 138 FOIGELMAN, NORBERT 104 E4TH ST Yes Yes 0.029669% 139 RASPADOS EL SUR 104 E4TH ST UNIT#B-PE Yes Yes 0.258063% 140 FRUTAS IA PLACITA 104 E 4TH ST UNIT# PE Yes Yes 0.2580637 141 RHODES JEWELRY &LOAN 106 E4TH ST Yes Yes 0.516126% 142 YAN EZ, RAUL&GILDA 108 E4TH 5T Yes Yes D.027479% 143 MI MODA 108 E 4TH ST Yes Yes 0.176224% 144 ANTIQUE TIME 130 E4TH 5T Yes Yes 0.052967% 145 HOLT DAY TRAVEL &TOURS 110 E4TH ST Yes Yes 0.083233% 146 NANAFASHION 110 E4TH ST Yes Yes 0.169653% 147 STUDIO NAILS-ERENDIRA GAZGA 110 E 4TH ST UNIT#203 Yes Yes 0.054958% 148 IRMA VAZQUEZ Y JAIME FLORES 110 E 4TH ST UNITY 204 Yes Yes 0.077658% 149 IRMA SALON SIO E 4TH ST UNIT#205 Yes Yes 0.064118% 150 VERONICA'S BRIDAL 110 E 4TH ST UNIT#207 Yes Yes 0.086618% 151 R& Q ENTERPRISES, LLC 112 E4TH ST Yes Yes 0.016129% 152 LA ZAPATERIA MEXICO 112 E4TH ST Yes Yes 0.217442% 153 START COMPUTER REPAIR 112 E4TH ST UNIT#200 Yes Yes 0.056949% 154 EC SERVICES 112 E4TH ST UNITY 200 Yes Yes 0.058940% 155 SEGURA JEWELRY REPAIR 112 E 4TH ST UNITY 200 Yes Yes 0.066905% 156 TELAS FABRIC 114 E4TH ST Yes Yes 0.013939% 157 NINO'S BRIDAL COUTURE 114 E4TH 5T Yes Yes 0.087813% 158 TELAS FABRIC 114 E4TH ST Yes Yes 0.082835% 159 CEBALLOS, JOSE/AURORA 116 E4TH ST Yes Yes 0.019813% 160 CW CELULLAR, INC 116 E4TH ST Yes Yes 0.097968% 161 ALVAREZ CH ECK CASHING 116 E4TH ST Yes Yes 0.099561% 162 BAN DOLERO WESTERN WEAR, INC 116 E 4TH ST Yes Yes 0.151134% 163 ES DOCUMENT SERVICES 116 E 4TH 5T UNIT# F Yes Yes 0.060932% 164 RUIZ PAWN SHOP 118 E4TH 5T Yes Yes 0.516126% 165 BEAUTY SALON NUEVO GUADALAJARA 1181/2 E4TH 5T Yes Yes 0.126642% 166 YANEZ,RAUL (318N BUSH) 120 E4TH ST Yes Yes 0.01105157 167 ELVAQUERO 120 E4TH ST Yes Yes 0.246713% 168 BLENDS 200 E4TH ST Yes Yes 0.17502991. 169 MEG HEALTHY CATERING COMPANY 201 E 4TH ST Yes Yes 0.086021% 170 COHN COFFEE 201 E 4TH ST Yes Yes 0.114695% 171 TUREEN 201 E 4TH ST Yes Yes 0.114695% 172 BEE HEALTHY MEALS 201 E4TH ST Yes Yes 0.077658% 173 EAT GOOD FOOD MAR LLC 201 E 4TH ST Yes Yes 0.077658% 174 4th STREET MARKET 201 E4TH ST Yes Yes 0.077658% 175 HERITAGE ROASTING COMPANY 201 E4TH ST Yes Yes 0.077658% 176 THREE BEARS BAKE AT HOME 201 E4TH ST Yes Yes 0.0794507 177 FALASOPHY 201 E 4TH ST Yes Yes 0.297489% 178 LUNCHBOX BY PLAYGROUND 201 E4TH ST Yes Yes 0.344687/. 179 MODEL MEALS 201 E4TH ST Yes Yes 0.446831% 180 ALTA BAJA MARKET 201 E 4TH 5T UNIT# 101 Yes Yes 0.183392% 181 ELECTRIC CITY BUTCHER 201 E 4TH ST UNITY 104 Yes Yes 0.345279% 182 CHUNK-N{HIP 201 E 4TH ST UNIT#107 Yes Yes 0.163082% 183 FIESTA MARKETPLACE PARTNERS 201 E 4TH ST UNIT# 109 Yes Yes 0.065412% 184 THE STOCKYARD SANDWICH COMPANY 201 E 4TH ST UNIT# 116 Yes Yes 0.07765896 185 FRONT PORCH POPS/TORCH SMORE 201 E 4TH ST UNIT#121 Yes Yes 0.132018% 186 JINNY'S PIZZERIA 201 E 4TH ST UNIT# 126 Yes Yes 0.234766% 187 WINGMAN 201 E4TH ST UNIT#129 Yes Yes 0.114695% 188 PORTOLA COFFEE IAB 201 E 4TH ST UNIT# 132 Yes Yes 0.2831537 189 DOS CHINOS 201 E 4TH ST UNIT# 139 Yes Yes 0.367979% 190 RIVAS FOOD 202 E4TH 5T UNIT# PE Yes Yes 0.258063% 191 DIJAN SKIN CARE 204 E4TH ST UNITY D Yes Yes 0.142174% 192 CLUB DE NUTRICION DE HERBALIFE 204 E4TH ST UNITY G Yes Yes 0.098566% 193 COLORWAYSTUDIOS 204 E 4TH ST UNIT# N Yes Yes 0.074870% 194 RIFOC 208 E4TH 5T Yes Yes 0.079450% 195 FOURTH DTSA 210 E 4TH ST UNITY Yes Yes 0.152926% 196 PHOUNSACK CHANTHAPANY 216 E4TH ST Yes Yes 0.015830% 197 AL'S SHOP 216 E4TH ST Yes Yes 0.212663% 198 TOPAZ JEWELRY REPAIR 216 E 4TH ST UNIT#B Yes Yes 0.064516% 199 STYLE WORLD 219 E Ila Yes Yes 0.077658% 200 FAINBARG, ALLAN TR 219 E4TH ST Yes Yes 0.029570% 201 14TH STREET MARKET 1219 E4TH ST Yes Yes 0.0860217 75H-11 Page 3 of 10 DATA AS OF 11/30/2017 Number Business Name Intent to Levy BID Assessment List Business Address EXHIBIT 2 Weighted Protest Value BID Area BID Eligible I% of 10D% Total) 202 RIVAS FOOD 219 E4TH ST UNIT# PE Yes Yes 0.258063% 203 THE PLAYGROUND 220 E4TH ST Yes Yes 1.029863% 204 PATTERN BOUTIQUE 220 E4TH Sr UNIT# 101A Yes Yes 0.079450% 205 CARRETONES FIESTA 220 E 4TH ST UNIT#PASEO Yes Yes 0.101553% 206 RANGEL, RAYMOND (300-308) 300 E4TH 5T Yes Yes 0.029968% 207 LA MICHOACANA EXPRESS 300 E4TH ST Yes Yes 0.193547% 208 LA MICHOACANA EXPRESS 300 E 4TH ST UNIT#101 Yes Yes 0.124850% 209 CONNATURA 300 E 4TH ST UNIT#102 Yes Yes 0.114695% 210 LA PIZZA LOCA, INC 300 E 4TH ST UNIT# 103 Yes Yes 0.256271% 211 IR&RSPORTWEAR 300 E 4TH ST UNIT#106 Yes Yes 0.188171% 212 TNT TOURS &TRAVEL 300 E 4TH ST UN IT#107 Yes Yes 0.072481% 213 DIVA'S FASHION 300 E 4TH ST UNIT#107 Yes Yes 0.111110% 214 FIESTA MARKETPLACE PARTNERS 305 E4TH ST Yes Yes 0.035245% 215 TAQUERIAS GUADALAJARA REAL MEXICAN FOOD INC 305 E4TH ST Yes Yes 0.606329% 216 MARCAS GALLERY 305 E 4TH ST UNIT# 103 Yes Yes 0.189565% 217 MLOVEWELL LLC 305 E4TH ST UNIT#104 Yes Yes 0.102747%- 218 MR MATCHA, LLC 305 E 4TH ST UNIT# 105 Yes Yes 0.114695% 219 WURSTHAUS 305 E 4TH ST UNIT# 106 Yes Yes 0.077658% 220 NATIVE SON ALEHOUSE 305 E 4TH ST UNIT# 200 Yes Yes 0.361408% 221 COFFEE MUSE LLC 310 E4TH ST Yes Yes 0.114695% 222 QUERETARO CASTING & DESIGNER 312 E4TH ST Yes Yes 0.112903% 223 CATANO INSURANCE BROKERS 312 E4TH ST UNIT#A Yes Yes 0.0884107 224 MEXICANATRAVEL 312 E4TH ST UNIT#A Yes Yes 0.089605% 225 AB COMPUTERS 312 E4TH ST UNIT#B Yes Yes 0.103942% 226 CEBALLOS, JOSE 314 E 4TH ST Yes Yes 0.0194107 227 FIESTA INCOME TAX &NOTARY 314 E 4TH ST UNIT#B Yes Yes OA14337% 228 MICELANIAS 314 E 4TH ST UNIT#B Yes Yes 0.095579% 229 CHARLIE'S TATTOO SUPPLIES/BODY JEWELRY/BOOTS 316 E4TH ST Yes Yes 0.141576% 230 FIESTA MARKETPLACE PARTNERS II 316 E 4TH ST Yes Yes 0.048188% 231 DAME ELEGANTE 318 E 4TH 5T Yes Yes 0.106332% 232 AMERICAN BARBER SHOP DTSA/ AMERICAN BARBER SHOP 320 E 4TH ST UN IT#A Yes Yes 0.051772% 233 11111 SCREEN REPAIR 400 E 4TH 5T Yes Yes 0.165670% 234 MEGA INDUSTRIES INC 400 E4TH ST Yes Yes 0.344084% 235 GON-REY LP 409 E 4TH ST Yes Yes 0.052071% 236 NORTHGATE FINANCIAL 409 E 4TH ST Yes Yes 0.242133% 237 NORTHGATE MARKET#8 409 E 4TH ST Yes Yes 4.471301% 238 MERCADO, LYDIA MAE 410 E4TH ST Yes Yes 0.006471% 239 NGHIEM, MINH THU 450 E4TH ST UNIT#137 Yes Yes 0.006471% 240 SAN JUAN INVESTMENT CO ULC (133/134/141/406/433) 450 E 4TH ST UNIT# 141 Yes Yes 0.010852% 241 MAHTANI 2011(#120/146/201) 450 E4TH ST UNIT#146 Yes Yes 0.008662% 242 HEATON, DAVID&JAN 450 E 4TH ST UNIT#149 Yes Yes 0.006471% 243 TAN, PAUL &JOYCE 450 E 4TH ST UNIT# 237 Yes Yes 0.006471% 244 NGUYEN, HONORA 450 E 4TH ST UNIT#240 Yes Yes 0.006471% 245 RUHWANI, ASHOK (242, 251, 311, 318) 450 E4TH ST UNIT# 242 Yes Yes 0.009757% 246 EONGRACIA LLC 450 E4TH ST UNIT# 243 Yes Yes 0.006471% 247 WILLIAMS,JOHN 450 E4TH ST UNIT# 245 Yes Yes 0.0064715% 248 LEE, DR YEE LEAN 450 E 4TH ST UNIT# 247 Yes Yes 0.006471% 249 SHARMA, SUDHEEP 450 E4TH ST UNIT#337 Yes Yes 0.005471% 250 501-511 ISIS LLC 450 E 4TH ST UNIT# 338 Yes Yes 0.006671% 251 HO, NANCY NHAN 450 E 4TH ST UNIT# 343 Yes Yes 0.0064715S 252 PANDA EVELINA 450 E 4TH ST UNIT# 348 Yes Yes 0.006671% 253 )AFARIMOJARROD, ELHAM LIVING TRUST 450E 4TH ST UNITIX 436 Yes Yes 0.006471% 254 OROZCO, JESUS 450 E 4TH ST UNIT#439 Yes Yes 0.006471% 255 WAYY, BRIAN 450 E4TH ST UNIT#441 Yes Yes 0.006471% 256 1 K L VICTORVILLE LLC 450 E 4TH ST UNIT# 449 Yes Yes 0.0064715i 257 ZUKERMAN, RIVKA 101 W 4TH 5T Yes Yes 0.050378% 258 THE IRVINE TRAVEL CO, INC 101 W 4TH 5T UNIT#200 Yes Yes 0.193946% 259 WORLDVIEWTRAVEL 101 W 4TH ST UNIT#400 Yes Yes 0.806049% 260 FRUTAS LA PLACITA 101 W 4TH 5T UNIT# PE Yes Yes 0.258063% 261 GLOBAL ENVIRONMENTAL NETWORK 106 W 4TH 5T Yes Yes 0.060135% 262 MILLER -BURG -DU PONT, INC (102-106) 106 W 4TH ST Yes Yes 0.051871% 263 CORNERSTONE STUDIOS INC 106 W 4TH 5T 0.232575%264 1R BEAUTY GURUS 108 W 4TH 5T 0.114695% 265 CHA, WON 108 W 4TH ST 0.012943% 256 P & 0 ENTERPRISES, LLC 108 W 4TH ST =YesYes 0.014536% 2fi] CONTINENTAL HALL 108 W4TH ST DNIT#A 0.056153%268 BUFFCOINESTMENTS, LLC 309 W4TH ST 0.035245% 75H-12 Page 4 of 10 DATA AS OF 11/30/2017 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value Numher Business Name Business Address BID Area BID Eligible I% of 100A Total) 269 COLLEEN O'HARA'S BEAUTY ACADEMY 109 W 4TH ST UNIT! B Yes Yes 0.295996% 270 SOUTHWEST FAMILY 2004 TRUST 110 W 4TH ST Yes Yes 0.017622% 271 CAMLLA LAS ROSAS WEDDING CHPL 130 W 4TH ST Yes Yes 0.148944% 272 LA MODA 110 W 4TH ST Yes Yes 0.160493% 273 CHANTHAPANYA,PHO U NSACK(112-116 112 W 4TH ST Yes Yes 0.035245% 274 BANDOLERO 112 W 4TH ST Yes Yes 0.170847% 275 YCU LLC 113 W 4TH ST Yes Yes 0.014636% 276 HISPANOAMERICAN SERVICES 313 W 4TH ST UNIT#A Yes Yes 0.075268% 277 SERVI CENTRO 114 W 4TH ST Yes Yes 0.0557547 278 CASSANDRA'S BRIDAL BANQUETS 114 W 4TH ST Yes Yes 0.104539% 279 W DJRC, LLC 115 W 4TH ST Yes Yes 0.015532% 280 CENTRO LATINO 116 W 4TH ST Yes Yes 0.057746% 281 VALENCIA, MEDARDO & VICTORIA 116 W 4TH ST Yes Yes 0.032457% 282 VALENCIAJEWELRY 116 W4TH ST Yes Yes 1.118871% 283 PRO DUCTOS VI ENESTAR H ERBAU FE 116 W 4TH ST UNIT#12 Yes Yes 0.083632% 284 REVOLUTION BEAUTY SALON 316 W 4TH ST UNIT# 7 Yes Yes 0.086021% 285 VALENCIA & ASSOCIATES APC 116 W 4TH ST UNIT#A Yes Yes 0.215849% 286 FAI N BARG V LP 117 W 4TH ST Yes Yes 0.036738% 287 THE PIZZA PRESS 117 W 4TH ST UNIT# 101 Yes Yes 0.077658% 288 KID AVENUE 117 W 4TH ST UNIT# 102 Yes Yes 0.154121% 289 SALON SYCAMORE, LLC 117 W 4TH ST UNIT# 103 Yes Yes 0.0645165i 290 YUM RESTAURANT SERVICES GROUP, LLC 117 W 4TH ST UNIT#200 Yes Yes 0.624449% 291 SANTAANASALON 118 W 4TH ST Yes Yes 0.096375% 292 FRUTAS LA PLACITA 118 W 4TH ST UNIT# PE Yes Yes 0.258063% 293 BMA INVESTMENT LLC 120 W 4TH ST Yes Yes 0.032258% 294 DON ROBERTO JEWELERS 120 W 4TH ST Yes Yes 0.573474% 295 FAINBARG & FRIEDMAN I, LP 201 W 4TH ST Yes Yes 0.040820% 296 FALLAS PAREDES, #105 201 W 4TH ST Yes Yes 1.006565% 297 COCTELES HUERTA 201 W 4TH ST UNIT# PE Yes Yes 0.258063% 298 CM PROPERTIES (202-212) 202 W 4TH ST Yes Yes 0.039028% 299 HOPPER & BURR 202 W 4TH ST Yes Yes 0.164276% 300 D & D SNACK FOOD 202 W 4TH ST UNIT# PE Yes Yes 0.258063% 301 VACATION 204 W 4TH ST Yes Yes 0.114695% 302 RHOMBUS INDUSTRIES 206 W4TH ST UNIT11201 Yes Yes 0.185981% 303 GRACE'S ENTERPRISES 206 W 4TH ST UNIT# 203 Yes Yes 0.084030% 304 AL DRAFTING SERVICES 206 W 4TH ST UNIT# 217 Yes Yes 0.057746% 305 POMADE, INC 206 W 4TH ST UNIT#220 Yes Yes 0.077658% 306 MENARCH 206 W 4TH ST UNIT#226 Yes Yes 0.086021% 307 MTAEN, LLC (209-211) 209 W 4TH ST Yes Yes 0.034408% 308 FIESTAJUICE 209 W 4TH ST Yes Yes 0.206689% 309 MI CELULLAR 209 W 4TH ST UNIT# A Yes Yes 0.087813% 310 LEMUS'SHOP 209 W 4TH ST UNIT#A Yes Yes 0.133213% 311 J& F CALIFORNIA MULTISERVICES 209 W 4TH ST UNIT#D Yes Yes 0.060533% 312 SEXY BRA 211 W 4TH ST Yes Yes 0.019713% 313 UNITED LEGAL SERVICES 213 W 4TH ST Yes Yes 0.054161% 314 RODRIGUEZ INCOME TAX 211 W 4TH ST Yes Yes 0.054161% 315 NATURAL SUPPLEMENTS 211 W 4TH ST Yes Yes 0.080047% 316 ROLEX DOLLAR EXPRESS INC 211 W 4TH ST Yes Yes 0.068498% 317 JESSICA'S BRIDAL 212 W 4TH ST Yes Yes 0.112305% 318 ANGELS 213 W 4TH ST Yes Yes 0.184585 319 DUEL, EBRAHIM MD - INC 214 W 4TH ST Yes Yes 0.026384% 320 SHELSY'S BRIDAL 214 W 4TH ST Yes Yes 0.122460% 321 ROBBINS, ROSALIND K (235-217) 215 W 4TH ST Yes Yes 0.021306% 322 LA PARISINA 215 W4TH ST Yes Yes 0.1959377 323 MKTINC/METRO PCS 217 W4TH ST Yes Yes 0.114695% 324 DECORADISIMO EVENT PLANNER 218 W 4TH ST Yes Yes 0.114695% 325 CASTROPRODUCTION 218 W 4TH ST Yes Yes 0.077658% 326 HISPANOAMERICA JEWELERS (102) 218 W 4TH ST UNIT#A Yes Yes 0.140979% 327 219 W 4TH ST TRUST 219 W 4TH ST Yes Yes 0.0194145 328 VIANNEY CATALOG LLC 219 W 4TH ST Yes Yes 0.205495% 329 HWANG, THOMAS 220 W 4TH ST Yes Yes 0.017523% 330 JASHEL BRIDAL & PARTY PLANNERS 220 W 4TH ST Yes Yes 0.0842297 331 ELIAS,JOSEPH 221 W 4TH ST Yes Yes 0.015830% 332 BOTANICA IATINA 222 W 4TH ST Yes Yes 0.0973717 333 HOLIDAY TRAVEL &TOURS II 222 W4TH ST Yes Yes 0.083233% 334 1 CHAPALA'S BEAUTY SALON 1222 W 4TH ST UNIT#A Yes Yes 0.060932% 335 JALFA INSURANCE SERVICES 1222 W 4TH ST UNIT#A Yes Yes 0.063719% 75H-13 Page 5 of 10 DATA AS OF 11130/2017 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value Number Business Name &nine Add-. nm We roa of Mnoc Tntall 336 FRUTAS ACAPULCO 222 W 4TH ST UNIT# PE Yes Yes 0.258063% 337 VALLEJO, ANTONIO(223 W 4TH ST& 409 N BROADWAY ST) 223 W 4TH ST Yes Yes 0.036639% 338 TERESA'S JEWELERS 223 W 4TH ST Yes Yes 0.404418% 339 PHILLIPS HUTTON PARTNERS LLC 301 W 4TH ST Yes Yes 0.037833% 340 STARSUCKS COFFEE #8941 301 W 4TH ST Yes Yes 0.601550% 341 LEDWIN,BRUNO&RAQUEL(302-306) 302 W 4TH ST Yes Yes 0.022800% 342 PANAMERICANA TRAVEL#665 302 W4TH ST Yes Yes 0.083632% 343 RIA FINANCIAL SERVICES / RIA ENVIOS DE DINERO 302 W 4TH ST Yes Yes 0.143767% 344 CARTER BOWL 302 W 4TH ST UNIT# PE Yes Yes 0.258063% 345 ANA'S EVERYTHING STORE 304 W 4TH ST Yes Yes 0.101553% 346 AKORN ENTERTAINMENT LLC 305 W4TH ST Yes Yes 0.229788% 347 THE KEBAB PLACE 306 W 4TH ST Yes Yes 0.169055% 348 BODYSHAPERS 308 W 4TH ST Yes Yes 0.114695% 349 TODD SERVICES 308 W 4TH ST Yes Yes 0.055757/. 350 HUGO'S BEAUTY SALON 3081/2 W 4TH ST Yes Yes 0.073675% 351 THE GOOD BEER COMPANY, INC 309 W 4TH ST Yes Yes 0.205495% 352 RSG, INC 309 W 4TH ST Yes Yes 0.596970% 353 CHA, WON (310-318) 312 W 4TH ST Yes Yes 0.01334191 354 DOWNTOWN I&L 312 W 4TH ST Yes Yes 0.053365% 355 US FINANCING 314 W 4TH ST Yes Yes 0.073675% 356 DOWNTOWN JEWELRY AND LOAN 314 W 4TH ST Yes Yes 0.516126% 357 MONTE DE PIEDAD 318 W 4TH ST Yes Yes 0.099760% 358 CM PROPERTIES (322-326) 322 W 4TH ST Yes Yes 0.021207% 359 THE BARREL ROOM 324 W 4TH ST UNIT#B Yes Yes 0.077658% 360 CAFE CALACAS: CONTERMPORARY MEXICAN CAFETERIA 324 W 4TH ST UNIT# B Yes Yes 0.280166% 361 GUNTHER'S 324 W 4TH ST UNIT# E Yes Yes 0.262245% 362 RASPADOS ESTILO JALISCO 324 W 4TH ST UNIT#PE Yes Yes 0.258063% 363 FLEENOR'S RESTAURANT, LLC 400 W 4TH ST UNIT# A Yes Yes 0.077658% 364 BARBERIA EL CATRIN, INC 400 W 4TH ST UNIT# B Yes Yes 0.051772% 365 THE COMB SALON 402 W 4TH ST Yes Yes 0.086021% 366 THEATRE OUT 402 W 4TH ST Yes Yes 0.077658% 367 BROADWAY IMPROVEMENT CO INC 404 W4TH ST Yes Yes 0.030267% 368 CAMPSITE MEDIA HOUSE 404 W 4TH ST UNIT#A Yes Yes 0.264833% 369 ASAP LEGAL SOLUTION 404 W 4TH ST UNIT# B Yes Yes 0.051772% 370 HAIR ATELIER BY KARLY GI5ELLE 404 W 4TH ST UNIT#E Yes Yes 0.058144% 371 CAZZELL& ASSOCIATES, ATTORNEYS 406 W 4TH ST Yes Yes 0.086021% 372 OASIS DENTAL SANTA ANA 408 W 4TH ST Yes Yes 0.112305% 373 CRAVE 410 W 4TH ST Yes Yes 0.701310% 374 KNOWLWOOD CAFE AT THE REAGAN COURTHOUSE 411 W 4TH ST Yes Yes 0.152926% 375 DOWNTOWN 414 414 W4TH ST Yes Yes 0.114695% 376 LET PROPERTY MANAGMENT, LLC 414 W 4TH ST Yes Yes 0.037933% 377 SHOFFNER, GARY E 414 W 4TH ST UNIT#A Yes Yes 0.086021% 378 PREMIERE ASSOCIATION MGMT 414 W4TH STUNIT#0 Yes Yes 0.059339% 379 VELVET LOUNGE 416 W 4TH ST Yes Yes 0.765826% 380 TRANSFORMING LIFE CENTER, INC 45OW4THSTUNIT#250 Yes Yes 0.164077% 381 COPETE LAW FIRM 450 W 4TH ST UNIT# 250 Yes Yes 0.086021% 382 RAMONA BUILDING LLC (118-120) 118 W STH ST Yes Yes 0.045300% 383 ESPORTSARENA 120 W 5TH ST UNIT# 100 Yes Yes 0.051772% 384 SVN/VANGUARD 120 W 5TH ST UNIT#210 Yes Yes 0.0517757 385 FINANCIALADVOCATES, INC 120 W STH ST UNIT#220 Yes Yes 0.224610% 386 LA RINCONADA RESTAURANT 300 W 5TH ST Yes Yes 0.1397842 387 BROADWAY IMPROVEMENT CO (300-322) 306 W 5TH ST Yes Yes 0.011748% 388 LOCKOUT MUSIC STUDIOS 310 W STH ST Yes Yes 0.077658% 389 NINJA5 WITH APPETITE 318 W STH ST Yes Yes 0.123655% 390 MILJUGOS 320 W 5TH ST Yes Yes 0.217442% 391 CM PROPERTIES 313 N BIRCH ST Yes Yes 0.030864% 392 HALL, TOM IDIS BIRCH ST Yes Yes 0.006471% 393 MATTINGLEY, MIKE 1055 BIRCH ST Yes Yes 0.006471% 394 CASA LINDA FURNITURE INC 116N BROADWAY ST Yes Yes 2.007157% 395 109 BROADWAY, LLC 117 N BROADWAY ST Yes Yes 0.042214% 396 HIPCOOKS 125 N BROADWAY ST UNIT#C Yes Yes 0.190560% 397 GYPSY DEN 125 N BROADWAY ST UNIT#D Yes Yes 0.077658% 398 C4 DELI 200 N BROADWAY ST Yes Yes 0.2867379E 399 CONGREGATION ALE HOUSE 201N BROADWAY ST Yes Yes 0.114695% 400 EMPIRE BROADWAY LLC 1 204N BROADWAY ST Yes Yes 0.0228999 401 LENTZ MORRISSEY ARCHITECTURE, INC 204 N BROADWAY ST UN IT#F Yes Yes 0.275586% 402 HAL BRISCOE FINE ART 1204 N BROADWAY ST UN ITH M Yes Yes 0.078255% 75H-14 Page 6 of 10 DATA AS OF 11 /3 012 01 7 Intent to Levy BID Assessment List EXHIBIT 2 Weighted Protest Value u,mFo, Nwma Business Address BID Area BID Eligible (OA of 100% Total) 403 SANTORA GROUP LLC 207 N BROADWAY Sr Yes Yes 0.060732% 404 ATILANO SALON 207 N BROADWAYSF UNIT# 100 Yes Yes 0.05376357 405 CALENDAR FACTORY INC dba TETHOS CREATIVE 207 N BROADWAYST UNIT#A Yes Yes 0.275586% 406 GENE, ARTIST STUDIO/ GALLERY 207 N BROADWAY ST UNIT#BLL Yes Yes 0.077658% 407 THE ARTBAR 207 N BROADWAYST UNIT#B6 Yes Yes 0.106332% 408 TWEENA'STUNES 207 N BROADWAY ST UNIT#E Yes Yes 0.066109% 409 LAW OFFICES OF FERNANDO LEONE 207 N BROADWAY ST UNIT#F Yes Yes 0.086021% 410 LAW OFFICE OF ROBERT NEWMAN 207 N BROADWAY Sr UNIT#K Yes Yes 0.094782% 411 CRESCENDOH, LLC 207 N BROADWAY Sr UNIT#L Yes Yes 0.077658% 412 ESPARZAAOSEMARY J LAW OFFICES 207 N BROADWAY ST UNIT# N Yes Yes 0.086021% 413 NEXTUNKS 208 N BROADWAY ST Yes Yes 0.086021% 414 DEELUX 209 N BROADWAY ST Yes Yes 0.248505% 415 BLACKMARKET BAKERY SA LLC 211 N BROADWAY Sr Yes Yes 0.285542% 416 BEAUTY DELIVERED OC 214 N BROADWAY ST Yes Yes 0.061728% 417 CORBIZ LLC 214 N BROADWAY ST Yes Yes 0.077658% 418 ELITE FITNESS DOWNTOWN, LLC 214 N BROADWAY ST Yes Yes 0.092393% 419 PROOF 215 N BROADWAY ST Yes Yes 0.077658% 420 CORBIZ LLC (217-221) 217 N BROADWAY ST Yes Yes 0.019414% 421 ARTIST VILLAGE HAIR STUDIO BY BREJHON 217 N BROADWAY ST Yes Yes 0.117482% 422 SUBWAY#26294 220 N BROADWAY ST Yes Yes 0.335721% 423 225 N BROADWAY, LLC 225 N BROADWAY Sr Yes Yes 0.012943% 424 AKINSPARKER CREATIVE, LLC 225 N BROADWAY ST Yes Yes 0.51851657 425 THE COPPER DOOR BAR 225 1/2 N BROADWAY ST Yes Yes 0.077658% 426 RUMORZ KUTZ 225 N BROADWAYST UNIT# 203 Yes Yes 0.0840307 427 THAD VU PHOTOGRAPHY, LLC 225 N BROADWAYST UNIT# 204 Yes Yes 0.060533% 428 LSR BUILDERS, INC 225 N BROADWAYST UNIT# 216 Yes Yes 0.103146% 429 CHAPTER ONE: THE MODERN LOCAL 227 N BROADWAYST Yes Yes 0.850652% 430 COSTA AZULTRAVEL#418-5 300 N BROADWAY ST Yes Yes 0.052967% 431 GILMAKER, DEBORAH (300-306) 300 N BROADWAY ST Yes Yes 0.041617% 432 GIGI'S DANCE STUDIO 310 N BROADWAY ST Yes Yes 0.054161% 433 CENTRO NATURISTA 330 N BROADWAY ST Yes Yes 0.095579% 434 FANTASY BEAUTY SALON 312 N BROADWAY ST Yes Yes 0.062525% 435 ALCATRAZ FLOWERS 323 N BROADWAY ST UNIT# A Yes Yes 0.081242% 436 ARA'S BRIDAL 323 N BROADWAY ST UNIT#B Yes Yes 0.122460% 437 CENTRAL TRAVEL &TOUR SERVICE 324 N BROADWAY ST Yes Yes 0.091198% 438 SAADI, JOSEPH 325 N BROADWAY ST Yes Yes 0.028674% 439 IRENIA 400 N BROADWAY ST Yes Yes 0.215053% 440 GENISES BRIDAL BOUTIQUE 405 N BROADWAY ST UNIT#A Yes Yes 0.147550% 441 THE DEW SALON 405 N BROADWAY ST UNIT#D Yes Yes 0.051772% 442 MANUEL J PENA CONSULTING (#E) 405 N BROADWAY ST UNIT# E Yes Yes 0.051772% 443 PRIVILEGE PHOTOGRAPHY 405 N BROADWAYST UNIT#F Yes Yes 0.066905% 444 B&B TAX SMARTSOLUTION 405 N BROADWAY ST UNIT#G Yes Yes 0.051772% 445 HECTOR'S 93 409 N BROADWAY ST Yes Yes 0.476102% 446 FAINBARG, ALLAN 413 N BROADWAY ST Yes Yes 0.014835% 447 UNISEX BEAUTY SALON 413 N BROADWAY ST Yes Yes 0.076861% 448 RIVAS FOOD CO 413 N BROADWAY ST UNIT#A Yes Yes 0.197729% 449 BEATNIK BANDITO MUSIC EMPORIUM 417 N BROADWAY ST Yes Yes 0.089006% 450 MACRES FLORIST 419 N BROADWAY ST Yes Yes 0.077658% 451 TRUTH & ADVERTISING 454 N BROADWAY ST Yes Yes 0.434486% 452 BARK 454 N BROADWAY ST UNIT#250 Yes Yes 0.074870% 453 DOWNTOWN TIRES AND AUTO REPAIR 119 N BUSH ST UNIT#A Yes Yes 0.114695% 454 SPEEDFORCE AUTO REPAIR 119 N BUSH ST UNIT#Al Yes Yes 0.086021% 455 STANDARD REBUILDERS 119 N BUSH ST UNIT# B Yes Yes 0.107925% 456 AFFORDABLE VIDEO PRODUCTIONS, LLC 204 N BUSH ST Yes Yes 0.071286% 457 HACOM 205 N BUSH ST Yes Yes 0.121863% 458 SPUTENDS SALON 207 N BUSH ST Yes Yes 0.063719% 459 AN IDEAL WORLD 209 N BUSH ST Yes Yes 0.157705% 460 KICKER FISHING BRAND 213 N BUSH ST Yes Yes 0.100955% 461 SM DESIGN ASSOC, INC 220 N BUSH ST Yes Yes 0.159298% 462 PROMETHEAN GAMES, INC 226 N BUSH ST Yes Yes 0.051772% 463 DONALD KROTEE PARTNERSHIP INC 230 N BUSH ST Yes Yes 0.1385897 464 THEMGOODS DISTRIBUTION 243 N BUSH ST 0.072082% 465 GREENMOOR CORP 261N BUSH ST 0.086021% 466 BARBARINO, RICHARD 265 N BUSH ST 0.006471% 467 FORKAN, JOEA 265N BUSH ST =YeYes 0.031063% 468 LA CASA BLANCA BEAUTY SALON 300 N BUSH ST 0.051772% 469 PARKING CO OF AMER CAL 300N BUSH ST 0.056551% 75H-15 Page 7 of 10 DATA AS OF II/30/2017 EXHIBIT 2 Intent to Levy BID Assessment List Number Business Name Ru<�nna e4n.e.� Weighted Protest Value 470 PARKI NG CO OF AM ERICA/CAL 302 N BUSH ST Yes Yes 0.014138% 471 ELMA'S BEAUTY SALON 308 N BUSH ST Yes Yes 0.064914% 472 JALISCO BRIDAL FOTO & VIDEO 310 N BUSH ST Yes Yes 0.085424% 473 LAS CASUELAS 312 N BUSH ST Yes Yes 0.135603% 474 EAT CHOW 313N BUSH ST Yes Yes 0.347071% 475 THE WILCOX GROUP, LLC 712 N BUSH ST Yes Yes 0.017423% 476 CUSTOM AUTO SERVICE 302 N FRENCH ST Yes Yes 0.232974% 477 LOCKOUT MUSIC STUDIOS 320 N FRENCH ST Yes Yes 0.086021% 478 YOSTSTUDIOS 320 N FRENCH ST Yes Yes 0.012943% 479 LEFT OF THE DIAL RECORDS 320 N FRENCH ST UNIT#B Yes Yes 0.114695% 480 LEFT OF THE DIAL RECORDS 320 N FRENCH ST UN IT#0 Yes Yes 0.121266% 481 M & A GABAEE, A CAL LTD PTNERSHIP 102 N MAIN ST Yes Yes 0.051473% 482 CVS/PHARMACY 49583 102 N MAIN 5T Yes Yes 2.129618% 483 SAINTS SOCCER CLUB(SANTA ANA HS GIRLS SOCCER) 111 N MAIN ST Yes Yes 0.086021% 484 RITE AID #5759 111 N MAIN ST Yes Yes 1.722810% 485 DIAMOND PARKING SERVICES LLC #SA58 200 N MAIN ST Yes Yes 0.074472% 486 GAUCHO INVESTMENTS, LLC 200 N MAIN ST Yes Yes 0.03733657 487 SWAIN ARCHITECTS, INC 200 N MAIN ST UNIT# 150 Yes Yes 0.172839% 488 LAW OFFICE OF MATTHEW HICKS 200 N MAIN ST UNIT# 200 Yes Yes 0.086021% 489 THE LAW OFFICE OF CHRISTOPHER MARKER 200 N MAIN ST UNIT# 200 Yes Yes 0.086021% 490 LAW OFFICE OF SARAH KABIR 200 N MAIN ST UNIT# 200 Yes Yes 0.086021% 491 GALLINGER LAW PC 200 N MAIN ST UNIT# 200 Yes Yes 0.086021% 492 LAW OFFICE OF PATRICIA EULLOQUI 200 N MAIN ST UNIT# 200 Yes Yes 0.094782% 493 LAW OFFICE OF JOSEPH E RICHARDS 200 N MAIN ST UNIT# 200 Yes Yes 0.103544% 494 DASCANIO, DENNIS LAW OFFICE 200 N MAIN ST UNIT#200 Yes Yes 0.129828% 495 SACHS BURNS, APC 200 N MAIN ST UNIT#200 Yes Yes 0.172042% 496 KARISH & BOURGUM, PC 200 N MAIN SF UNIT# 217 Yes Yes 0.08602157 497 MELISA FINDS 201N MAIN ST Yes Yes 0.040621% 498 DOING GOOD WORKS 217 N MAIN ST UNIT# 115 Yes Yes 0.416963% 499 REVO CREATION 217 N MAIN ST UNIT# 122 Yes Yes 0.055356% 500 DGWB VENTURES LLC 217 N MAIN ST UNIT# M22 Yes Yes 0.059737% 501 DGWB, INC 217 N MAIN ST UNIT#M22 Yes Yes 1.289121% 502 MIX MIX KITCHEN BAR 300 N MAIN ST Yes Yes 0.077658% 503 3211 E MANDEVILLE, LLC 300 N MAIN ST Yes Yes 0.027081% 504 DUEL, EBRAHIM 301 N MAIN ST Yes Yes 0.027778% 505 WESTERN WOMENS INSTITUTE, INC 301 N MAIN ST Yes Yes 0.121067% 506 SWEETTOOTH DENTAL 3011/2 N MAIN ST Yes Yes 0.086021% 507 TONY'S BASEMENT 302 N MAIN ST Yes Yes 0.145758% 508 GU RAMEN OF DOWNTOWN SANTA ANA 304 N MAIN ST Yes Yes 0.276581% 509 QUAN M TRAN, OD OPTOMETRY 305 N MAIN ST Yes Yes 0.103544% 510 CHARLOTTES BARBER SHOP 306 N MAIN ST Yes Yes 0.052967% 511 ESTRADA, JOSEFINA 315 N MAIN ST Yes Yes 0.110314% 512 WESTERN DENTALSERVICES INC 500 N MAIN ST Yes Yes 0.328951% 513 EDIFICE PRODUCTIONS 501 N MAIN ST Yes Yes 0.055356% 514 LOCKOUT MUSIC STUDIOS 501 N MAIN ST Yes Yes 0.067303% 515 CROSSFIT DOWNTOWN SANTA ANA 503 NMAIN ST Yes Yes 0.086021% 516 CEDARS TOWERS SURGICAL MED GRP 505 NMAIN ST Yes Yes 0.146554% 517 S A CUNICA MEDICA GENERAL 505 NMAIN ST Yes Yes 0.339305% 518 BONE STOCK 515 N MAIN ST Yes Yes 0.114695% 519 ROOSTER REPUBLIC/ MILK MAN ICE CREAM 515 N MAIN ST Yes Yes 0.114695% 520 515 N MAIN LLC 515 N MAIN 5T Yes Yes 0.024393% 521 515 N MAIN LLC 515 N MAIN ST Yes Yes 0.077658% 522 VIKING DOGS 515 N MAIN ST UNIT# B Yes Yes 0.114695% 523 CLINICA MEDICA FAMILIAR OE SANTA ANA 517 NMAIN ST Yes Yes 0.363996% 524 PL3R SYSTEMS, INC(CHEBA) 517 NMAIN ST Yes Yes 0.105734% 525 SOUTH GATE ROSE PHARMACY INC 517 N MAIN ST UNIT# 101 Yes Yes 0.480881% 526 RAPLISA MEDICAL MANAGEMENT, INC 517 N MAIN ST UNIT# 200 Yes Yes 0.383909% 527 MAIN OPTICAL 517 N MAIN ST UNIT# 201 Yes Yes 0.074870% 528 CACERES, JULIO DDS 517 N MAIN ST UNIT#300 Yes Yes 0.103544% 529 AQUEVEQUE, JOSE (& 109 W CAMILE) 520 N MAIN ST Yes Yes 0.008662% 530 AGUILAR, SERGIO DDS 520N MAIN ST Yes Yes 0.086021% 531 APEX HOME CARE LLC 520 N MAIN ST UNIT# 250 Yes Yes 0.086021% 532 APEX HOSPICE CARE, INC $20N MAIN ST UNIT#250 Yes Yes 0.086021% 533 APEX HOME HEALTHCARE SERVICES 520 N MAIN ST UNIT#250 Yes Yes 0.086021% 539 THE BNS FUND, LLC 601 N MAIN 5T Yes Yes 0.027977% 535 IJACK IN THE BOX #3380601 N MAIN ST Yes Yes 0.8261605 536 WORLD TRAVEL BUREAU INC 618N MAIN ST Yes Yes 0.335323% 7§agHot 16 DATA AS OF II/30/2017 EXHIBIT 2 Intent to Levy BID Assessment List Numher Business Name Business Address BID Area BBD Elieihle Weighted Protest Value I% of 100°•6 Total) 537 PALM ER INSURANCE AGENCY 631 N MAIN ST Yes Yes 0.149740% 538 PALMER INCOME TAX 631N MAIN ST Yes Yes 0.172042% 539 POLADIAN, JACQUELINE 700N MAIN ST Yes Yes 0.026563% 540 SUBWAY # 63685 700 N MAIN ST Yes Yes 0.296295% 541 7 -ELEVEN STORE #37101A 700 N MAIN ST UNIT# B Yes Yes 0.576460% 542 POLADIAR, JACQUELINE 700 N MAIN ST UNIT#C Yes Yes 0.041418% 543 BURGER KING (4309/4916) 701 N MAIN ST Yes Yes 0.077658% 544 ORG CO CENTER OF LEGAL SVCS 711 N MAIN ST Yes Yes 0.103544% 545 SANCTUARYSOUND 713 NMAIN ST Yes Yes 0.020908% 546 TRANG, CHARLIE 715 N MAIN 5T Yes Yes 0.016129% 547 ME GUSTA A MEXICAN TACOJOINT 715N MAIN ST Yes Yes 0.112305% 548 SOMBRERO STREET 719N MAIN ST Yes Yes 0.543008% 549 100 SOUTH MAIN STREET LLC 1005 MAIN ST Yes Yes 0.021505% 550 SANTA ANA HS CROSS COUNTRY(SAINTS RUNNING CLUB) 1005 MAIN ST Yes Yes 0.086021% 551 ORIGINAL MIKE'S RESTAURANT 1005 MAIN ST Yes Ves 0.905610% 552 FIRESTONE COMPLETE AUTO CARE#271F 101S MAIN ST Yes Yes 0.486855% 553 W NC REAL ESTATE PARTNERS LP 100 N ROSS ST Yes Yes 0.223316% 554 EMILIO GONZALEZ PAINTING 300 E SANTA ANA BLVD UNIT#214 Yes Yes 0.063719% 555 ACE PARKING MANAGEMENT 200 W SANTA ANA BLVD Yes Yes 0.082835% 556 SURD&NAYLOR 200 W SANTA ANA BLVD Yes Yes 0.189565% 557 CF SANTANA LLC 200 W SANTA ANA BLVD Yes Yes 0.166566% 558 RASOI CURRY POINT 200 W SANTA ANA BLVD UNIT# 175 Yes Yes 0.1146957 559 THE REEVES LAW GROUP 200 W SANTA ANA BLVD UNIT# 630 Yes Yes 0.518516% 560 BAGGY, GAJDOS & ZACHARY, LLP 200 W SANTA ANA BLVD UNIT# 950 Yes Yes 0.483470% 561 WILSON AND PESOTA, LLP 200 W SANTAANA BLVD UNIT# 970 Yes Yes 0.242133% 562 HITPROS INC 520 W SANTAANA BLVD Yes Yes 0.051772% 563 BEST CONSTRUCTION SERVICES, I N C 520 W SANTA ANA BLVD Yes Yes 0.103146% 564 M C D G EN ERAL SERVICES 600 W SANTA ANA BLVD Yes Yes 0.073675% 565 BASCH INVESTIGATIONS 600 W SANTAANA BLVD Yes Yes 0.074472% 566 IMMIGRATION 4 U 600 W SANTAANA BLVD Yes Yes 0.075268% 567 SUNNY HILLS PALLADIUM 600 W SANTAANA BLVD Yes Yes 0.115889% 568 ORANGE COUNTY REPO RTER 600 W SANTA ANA BLVD Yes Yes 0.307645% 569 CIVIC CENTER LLC 600 W SANTAANA BLVD Yes Yes 0.172540% 570 DANTE'S COFFEE &TEA 600 W SANTA ANA BLVD U N IT#100 Yes Yes 0.215650% 571 SANTA ANA LEGAL SUPPO RT, INC 600 W SANTA ANA BLVD U N IT#101 Yes Yes 1.256863% 572 ONLINE VOCATIONAL ACADEMY, I N C 600 W SANTA ANA BLVD U N IT#102 Yes Yes 0.051772% 573 NATIONAL TRANSLATION & PHOTOCOPY 600 W SANTA ANA BLVD U N IT#102 Yes Yes 0.052967% 574 PLAZA CAFE & DELI 600 W SANTAANA BLVD UNIT# 103 Yes Yes 0.129032% 575 PES -EBS, INC 600 W SANTAANA BLVD UNIT# 107 Yes Yes 0.058542% 576 PES -EBS, INC 600 W SANTAANA BLVD UNIT# 108109 Yes Yes 0.279170% 577 PES -EBS, INC 600 W SANTAANA BLVD UNIT# 110 Yes Yes 0.072082% 578 FREEDOM MAILBOX 600 W SANTAANA BLVD UNIT# 114 Yes Yes 0.052170% 579 SIMPLE LEGAL SOLUTIONS 600 W SANTAANA BLVD UNIT# 114 Yes Yes 0.086818% 580 LAW OFFICE OF MACIEL & ASSOCIATES 600 W SANTAANA BLVD UNIT# 1160 Yes Yes 0.088410% 581 LAW OFFICES OF STEPHEN 1 RIGGS 600 W SANTAANA BLVD UNIT# 202 Yes Yes 0.086021% 582 ON POINTTRACKING SERVICES 600 W SANTAANA BLVD UNIT# 208 Yes Yes 0.076861% 583 PRIORITY ONE HEALTH RESOURCES 600 W SANTAANA BLVD UNIT# 214 Yes Yes 0.086021% 584 PROHEALTH PARTNERS, A MEDICAL GROUP, INC 600 W SANTAANA BLVD UNIT#214A Yes Yes 0.103544% 585 PATRICIO, HERMANSON & GUZMAN, APC 600 W SANTAANA BLVD UNIT#700 Yes Yes 0.241337% 586 BETTER HEALTH NETWORK MANAGEMENT, INC 600 W SANTAANA BLVD UNIT#802 Yes Yes 0.301472% 587 PERSONALCOURT REPORTERS 600 W SANTA ANA BLVD UNIT#805 Yes Yes 0.051772% 588 BARTONE, GREGORY LEE ATTORNEY 600 W SANTA ANA BLVD UNIT#814 Yes Yes 0.086021% 589 ROLNICKI, ROLF ATTORNEY 600 W SANTA ANA BLVD UNIT#814 Yes Yes 0.094782% 590 LAW OFFICES OFIESSE A MARINO 600 W SANTA ANA BLVD UNIT#816 Yes Yes 0.190361% 591 LAW OFFICE OF RENEE GARCIA 600 W SANTA ANA BLVD UNIT#910 Yes Yes 0.086021% 592 OSAIIMA, GLENN K LAW OFFICES O 600 W SANTAANA BLVD UNIT# 910 Yes Yes 0.086021% 593 MUNOZ & ASSOCIATES 600 W SANTA ANA BLVD UNIT#910 Yes Yes 0.094782% 594 CRAFTS LAW FIRM, LLP 600 W SANTAANA BLVD UNIT# 925 Yes Yes 0.172042% 595 H&H LAW 600 W SANTAANA BLVD UNIT# 950 Yes Yes 0.112305% 596 LAW OFFICE OF DEBORAH M VASQUEZ 600 W SANTAANA BLVD UNIT# 955 Yes Yes 0.086021% 597 SCHULMAN, THOMAS L 600 W SANTAANA BLVD UNIT# 955 Yes Yes 0.094782% 598 WEB GROUP CLUB, INC 600 W SANTAANA BLVD UNIT# 960 Yes Yes 0.047789% 599 CHLOE M STATON TRUST (219 E IST ST) 116 N SPURGEON ST Yes Yes 0.015233% 600 FIESTA MARKETPLACE PARTNERS 301 N SPURGEON ST Yes Yes 0.031262% Ffi0fi01 EL MERCADO MODERN CUISINE 301 N SPURGEON ST Yes Yes 0.276581% 2 YOIIE JAPANESE FONDUE 1303 N SPURGEON ST Yes Yes 0.232376% fiO3 The 1912 1305 N SPURGEON ST Yes Yes 1 0.077658% 75H-17 Page 9 of 10 DATA AS OF 11/30/2017 EXHIBIT 2 Intent to Levy BID Assessment List Number Business Name Rusinecc Addrecc Weighted Protest Value .In m cneikie Im^11 nnu TTtan 604 THE YOST 307 N SPURGEON ST Yes Yes 0.086021% 605 YOSTTHEATER 307 N SPURGEON ST Yes Yes 0.686973% 606 QARTSALON 205 NSYCAMORE ST Yes Yes 0.094987% 607 WESTCLIFF PROPERTIES 211 N SYCAMORE ST Yes Yes 0.068896% 608 THE ACE AGENCY 221 N SYCAMORE ST Yes Yes 0.153325% 609 1MACH INC 231 N SYCAMORE ST Yes Yes 0.086021% 610 CREACIONES ALEJANDRA FOTO ESTUDIO Y BRIDAL SHOP 318 N SYCAMORE ST Yes Yes 0.091397% 611 LOMELI, ARTURO1 415 N SYCAMORE ST Yes Yes 0.015532% 612 LOMELI, ARTURO DDS 415 N SYCAMORE ST Yes Yes 0.086021% 613 DIAMOND PARKING SERVICES LLC NSA01 416 N SYCAMORE ST Yes Yes 0.099163% 614 VITARELLI 511 N SYCAMORE ST Yes Yes 0.087216% 615 SON I, NEIL(701-703) 1701 N SYCAMORE ST Yes Yes 0.009757% 100% 75H-18 Page 10 of 10 Exhibit 3 DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT 2018 ASSESSMENT REPORT Background On February 6, 1984, the City Council adopted Ordinance No. NS -1715 pursuant to Section 36500, et seq., of the 1979 State of California Streets and Highways Code, creating a Business Improvement District (BID) in Downtown Santa Ana. On October 6, 2003, the City Council appointed the Community Redevelopment and Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement District Advisory Board. As the BID Advisory Board, the CRHC is responsible for making recommendations to the City Council on the expenditure of revenues derived from the levy of assessments, on the classification of businesses, as applicable, and on the method and basis of levying the assessments (including the annual budget). The BID was established as a means of providing the Downtown business community with the funding to promote the Downtown through events and advertising pieces; funding to increase security and enhance the overall aesthetics of the area; and also to maintain the downtown shopping corridors. Improvement Area Boundaries The geographic boundaries of the district remain unchanged from the original 1984 area, and they include over 600 retail, service, and professional members (Attachment A). Assessment Formula The formula for the BID tax levy also remains unchanged from the original 1984 ordinance and is based on the category and/or sales volumes of the business (Attachment B). 2018 Budget Plan Based on the feedback from the two associations, Downtown Inc. and the Santa Ana Business Council, the 2018 BID Budget focuses on the continuation of promotions and marketing of the BID. Some of the promotion and marketing will be focused on Downtown events and advertising pieces, which are all designed to enhance the overall aesthetics of the area and also to maintain the downtown shopping corridors. Detailed breakdowns of the two groups' budgets are attached (Attachment C). The assessments from the 2018 BID are estimated at $200,000 to be split evenly by Downtown Inc. and the Santa Ana Business Council—the two business groups that have spearheaded this BID process. Any remaining funds from the previous year will be incorporated into a reserve fund for the groups' 2018 budgets. This reserve funding may be used for additional events and promotions throughout the year. 75H-19 In 2018, the two representative business associations are proposing to host and/or sponsor a variety of community events and promotions, including: Art Walk (12x) Patchwork Savor Santa Ana Weekly live music on Calle Cuatro Weekend matinees Sidewalk Sales Flashmob Contests Other programming for the associations will include ongoing social media marketing, funding for the Downtown Restaurant Association, holiday promotions, website development and maintenance, and ongoing support for small businesses. 75H-20 I ATTACHMENT A BUSINESS IMPROVEMENT DISTRICT BOUNDARY ST. Z� MAIN ST. F-1 BUSH ST. 1-1 BIRCH ST. FIX a —1 F771 F-1 1 7111" ST. SYCAMORE ST. IF] F I Fl El F-1 1-1 Fl F SPSPVR❑ 75H-21 F-1 D ST. a � n a 9 D FRENCH ST. fl -1 9�\v MORTIMCR ST. / 75H-22 ATTAGn:'�NT B 2018 ANNUAL ASSESSMENT FORMULA The following businesses located within the boundaries of the Business Improvement District (BID), classified under City Ordinance NS 1690 as Amusement Services, Pawnbrokers, Service Station and Classification A, including, but not limited to Retail Sale of Goods, Hotel and Motels, Theaters and Food Establishments, shall pay an amount equal to one and one-half times their annual business license fee. Businesses classified as Commercial Rental Property, Rental Property, Residential and Rooming House shall pay an amount equal to one-quarter times their annual business license fee. All other businesses, including Professions, Trades and Services within the boundaries of the proposed Business District, shall pay an amount equal to their annual business license fee. Once the assessment formula is established, it cannot be changed without written notice to all businesses within the boundaries of the proposed Business Improvement District and a public hearing held by the City of Santa Ana. 75H-23 ATTACHMENT C DOWNTOWN BUSINESS IMPROVEMENT DISTRICT PROPOSED BUDGETS SUMMARY 2018 OPERATING FUND REVENUE 2018 BID Assessments — Projected Prior Year Carry Forward (Estimated) TOTALREVENUE Downtown Inc. (DTI) Tax Revenue Assessment Tax Expenses Personnel Cost -- Director, Administrative Support Contractors/Professional Services -- Event Producers, Program Coordinators, Production Staff Meetings/Stakeholders Groups/Trainings $200,000 A $200,000 --Restaurant Assoc., Arts Meetings, staff and Stakeholders Development Marketing/Promotions/Events --Maps, Guides, Savor Santa Ana, Artwork Communication --Newsletter, Social Media, Translation, Design, Videos, Photos Office/Operation/Technology --Office Supplies, Web Hosting, Subscription Technology/Software DTI TOTAL EXPENDITURES (2018) 75H-24 $100,000 $42,500 $15,000 $7,500 $15,000 $12,500 $7,500 $100,000 Santa Ana Business Council (SABC) Tax Revenue Assessment $100,000 Tax Expenses Administration/Personnel Cost $37,000 Education, PR & Communication Consulting, Insurance, Accounting Contractors/Professional Services/Sponsorships $21,454 -- General Labor, Sub -Contract Services Meetings/Stakeholders Groups/Trainings $8,500 --Media Summit, Downtown Open Forum, Bi -Weekly Meetings, Other Marketing/Promotions/Events $10,500 --Music, Entertainment, Contract Services, Contests, Collaborative Events Communication $18,200 --Newsletter, Social Media, Translation, Design, Videos, Photos, Postcards, Flyers, T -Shirts Office/Operation/Technology $4,346 Office Supplies, Web Hosting, Subscription Technology/Software SABC TOTAL EXPENDITURES (2018) TOTAL BID EXPENDITURES 75H-25 $100,000 $200,000 75H-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING - ADOPT A RESOLUTION AMENDING THE FEE FOR THE REGISTRATION OF FORECLOSED PROPERTIES TO INCLUDE FEE FOR CONSULTANT COSTS FOR SERVICES AND ENTERING INTO AN AGREEMENT WITH PROPERTY REGISTRATION CHAMPIONS LLC TO ADMINISTER FORECLOSURE COLLECTION PROGRAM (STRATEGIC PLAN NO. 5,4) E WiY4 1 C MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 7s' Reading ❑ Ordinance on 2o° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution amending the fee for the registration of foreclosed and abandoned properties to include fee for the consultant's costs for services associated with the program. 2. Authorize the City Manager and the Clerk of the Council to execute a two-year agreement with Property Registration Champions LLC for the administration and collection of the City- wide Foreclosure Program, subject to non -substantive changes approved by the City Manager and City Attorney. On October 3, 2017, the City Council adopted an ordinance for the registration of abandoned and defaulted residential/commercial properties. Along with Council approval, authorization was granted to solicit the services of qualified companies through a Request for Qualification (RFQ) process to expedite the registration program. These companies specialize in helping cities search for defaulted/foreclosed properties and contact financial institutes to advise them of the foreclosure program and collection process. Foreclosure Registration entities have immediate real estate foreclosure data and finance/bank information that expedite this type of program. Conducting abatement enforcement on hard to reach financial institutions has been a challenge for the Code Enforcement Division. A partnership with a professional business that will receive a fee not to exceed of approximately $100 for each registration fee collected will assist the City in establishing a successful program. 751-1 Resolution Amending Fee for the Registration of Foreclosed Properties and Agreement with Property Registration Champions LLC December 19, 2017 Page 2 On October 4, 2017, Foreclosure Registration Program Services RFQ #17-079 was released. The deadline for submission was October 18, 2017 by 5:00 p.m. After the submittal date had expired, the City received two vendor applications from Property Registration Champions LLC (PROCHAMPS) and 1St Advantage Business Solution. An evaluation committee of three was established within our division to review two companies' proposals and rate each entity using the following criteria: Firm and Team Experience, Understanding of Need, Relevant Project Experience, Schedule, References, and Fee. PROCHAMPS was selected as the most qualified vendor. The Code Enforcement Division proposes to enter into a two-year agreement with PROCHAMPS with the option to extend the agreement for one additional year. Since this is a new program and a new vendor, staff will evaluate the program in six months to determine if there are additional cost related and the fee charged should be modified. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement and Sustainability; Objective #4 (Support neighborhood vitality and livability). FISCAL IMPACT PROCHAMPS cost for the administration and collection of the Foreclosure Program will be an annually flat rate of $100 per each property. PROCHAMPS will issue a property status report and a check for funds collected from this program to the City on a monthly basis. The total approved city foreclosure registration fee is $513 (see Exhibit 1). The funds received will be deposited in the Foreclosure Registration Program (Account No. 01116002-53628) and a 10% Administration fee will be deducted from the foreclosure registration fee per each property and deposited into Foreclosure Registration Administrative fee (Account 751-2 Team/ Firm Understanding Relevant Project Total Proposer Experience of Need Experience Schedule References Fee Points Property Registration Champions, LLC (PRC) DBA: Pro Champs 20 20 20 20 10 10 100 Advantage Business Solutions 11.667 13.333 6.667 11.667 5 6.667 55 PROCHAMPS was selected as the most qualified vendor. The Code Enforcement Division proposes to enter into a two-year agreement with PROCHAMPS with the option to extend the agreement for one additional year. Since this is a new program and a new vendor, staff will evaluate the program in six months to determine if there are additional cost related and the fee charged should be modified. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement and Sustainability; Objective #4 (Support neighborhood vitality and livability). FISCAL IMPACT PROCHAMPS cost for the administration and collection of the Foreclosure Program will be an annually flat rate of $100 per each property. PROCHAMPS will issue a property status report and a check for funds collected from this program to the City on a monthly basis. The total approved city foreclosure registration fee is $513 (see Exhibit 1). The funds received will be deposited in the Foreclosure Registration Program (Account No. 01116002-53628) and a 10% Administration fee will be deducted from the foreclosure registration fee per each property and deposited into Foreclosure Registration Administrative fee (Account 751-2 Resolution Amending Fee for the Registration of Foreclosed Properties and Agreement with Property Registration Champions LLC December 19, 2017 Page 3 No. 01116002-53629) specifically designed to supplement city costs relating to foreclosure, abandoned, substandard compliance inspections, costs of after hour emergencies, weekend enforcement inspections, staff equipment and staffing personnel. Candida Neal Acting Executive Director Planning and Building Agency SV:rb S:RFCAk12-19-17\PBA Foreclosed Property Registration Pgm 12.19.17 APPROVED AS TO FUNDS AND ACCOUNTS: :kzz, Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Calculation of Miscellaneous Fee Foreclosure Registration Program 2. Agreement 3. Resolution 751-3 751-4 City of Santa Ana Miscellaneous Fee Calculation Department Information Department: Planning and Building Agency- Code Enforcement Miscellaneous Fee Title: Foreclosure Registration Fee Instructions for Calculating the Fee T) Lonslaer au versonnei Losrs mvoivea in mis Tee p.e. saiary, insurance, renremenr, worKers comp, etc.) 2) Add all Miscellaneous Costs involved in the fee (i.e. supplies, rents, contracts), only allocate the relevant portion of each cost related to the fee 3)Input the current/proposed fee that is charged Contractual: Consultant Fee ( (Specify) Overhead 12.98% Independent Audit $ 100.00 $ 47.21 $ 2.00 Total Expenses $ 513.00 Current/Proposed Fee $ - Full Cost Recovery $ 513.00 Please explain if not full cost recovery... Independent Audit - $2 per property C.E. Officer -4 inspections a year EXH7 5115 Personnel Costs Salary Employee Costs % of Employment Job Title Current Annual Salary Annual Benefit Cost Dedicated to Total Salary& Miscellaneous Benefit Cost Fee Activity Hourly Employee Costs Hours of Employment Job Title Hourly Rate Hourly Benefit Cost Dedicated to Total Wage& Benefit Cost Miscellaneous Fee Activity C.E. Officer, 42.53 26.28 4.00 $ 275.24 C.E. Supervisor 50.08 30.93 0.50 $ 40.51 Senior Office Assistant 27.15 20.85 1.00 $ 48.00 MiscellaneousCosts• ;.,. Office Supplies $ 0.04 Rent $ - Utilities $ - Contractual: Consultant Fee ( (Specify) Overhead 12.98% Independent Audit $ 100.00 $ 47.21 $ 2.00 Total Expenses $ 513.00 Current/Proposed Fee $ - Full Cost Recovery $ 513.00 Please explain if not full cost recovery... Independent Audit - $2 per property C.E. Officer -4 inspections a year EXH7 5115 751-6 AGREEMENT TO ADMINISTER FORECLOSURE COLLECTION PROGRAM WITH PROPERTY REGISTRATION CHAMPIONS LLC THIS AGREEMENT is made and entered into this 19`h day of December, 2017 by and between _Property Registration.Champions, LLC,.a Florida limited liability company, ("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 October 4, 2017, the City issued Request for Qualification ("RFQ") #17-079 to find a vendor to assist with the administration, registration and maintenance of abandoned and defaulted mortgage properties and collection of the City's foreclosed vacant property registration fee. B. Contractor submitted a responsive proposal and statement of qualifications 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: f1•YK1]_9DLII MIA tAv [�T i Contractor shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Contractor under the term of this Agreement, including any extension periods exercised per Section 3. Contractor shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B. The total compensation for foreclosure collection is determined upon registration of each property by the property owner and submission of the foreclosure registration fee to the City. b. Per the terms of Exhibit A, Contractor will receive and process all registrations, including payments, and provide monthly remittance of the City's portion of the registration fees by the 10`h of each month, along with a report as to the properties and payments to the City. x 01:1 N IPM 751-7 Page I of 10 3. TERM This Agreement shall commence on the date first written above for a two (2) year term, with the option for the City to grant up to two one (1) 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 Page 2of10 751-8 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, 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 (3 0) 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 Page 3 of 10 751-9 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, 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 Page 4 of 10 751-10 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 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 Page 5 of 10 751-11 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 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. 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(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 Page 6 of 10 751-12 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, 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: Executive Director, Planning and Building Sonia R. Carvalho Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-647-5897 To Contractor: Property Registration Champions, LLC Attn: President/CEO 2725 Center Place Melbourne, FL 32940 Fax: 321-396-7776 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 751-13 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. 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: Candida Neal Interim Executive Director Planning and Building Agency CITY OF SANTA ANA Raul Godinez II City Manager PROPERTY REGISTRATION CHAMPIONS LLC: David Mulberry President/CEO 751-14 Page 8 of 10 EXHIBIT " A" Scope of Work (Also known as "2. Firm Profrle" of PRC's Response to RFQ# 17-0079 Foreclosure Registration Program Services) Property Registration Champions LLC (PRC) was incorporated April 29, 2009 under the name of Federal Property Registration Corporation (F.P.R.C.). F.P.R.C. underwent a name change filed on March 31, 2014 and subsequently became Community Champions Corporation with no changes in corporate structure with respect to the organization. On March 9, 2015, Mr. David Mulberry became the CEO/President of Community Champions Corporation with the Managing Director Mr. Thomas Darnell becoming the Chief Financial Officer. This structure remains in place today with PRC operating the core business of Community Champions as our property registration company. To summarize, we're certain you'll find PRC is rich in government, banking and technology experience notwithstanding our proven expertise in serving our Government partners (customer service) with nearly 170 Government agencies partnering with us in the administration of their property registration programs. Our work with our Government partners is closely aligned with the requirements set forth in this RFQ, Section III. Scope of Services. As we do with our other Government partners, the following is intended to address those requirements: 1. As with our other Government partners, PRC will follow the requirements of the City of Santa Ana enacting legislation for foreclosed property registration. The PROCHAMPS team works closely with key staff (Public Officer included) to ensure all deliverables and strategies are supported and implemented to include collaboration on notifications to Responsible Parties and enforcement initiatives if required. 2. PRC will provide a web link to the City, directing responsible parties to PROCHAMPS for registering abandoned real properties. PRC provides a web based automated property registration platform ("PROCHAMPS") designed to facilitate ease of registration, requests for Inspections and uploading of documents/photos allowing for seamless transactional functionality between responsible parties, PRC and City staff. The PROCHAMPS application will meet or exceed City anti-virus and security requirements. 3. Please see response to No. 2 above. 4. PRC will routinely, systematically and proactively review property records for the purpose of assigning and notifying responsible parties of the Ordinance 751-15 requirements to include recent conveyances to another party. Once all responsible parties are identified a repetitive and automated notification is provided to all parties that are linked to the property. PRC will capture all abandoned real properties with obligations to register pursuant to the City's ordinance to include the following strategies: a. Utilize Public Record Land File Data, Public Record Tax Collector/Assessor Data, County Clerk Official Record Filings, 31d party real estate data and other related filings to ensure all obligations are assigned for registration. b. Once identified PRC will notify the appropriate parties of their need to comply with the City's ordinance. 6. PRC will pay for all expenses related to registration of all foreclosed properties, and all administrative costs and fees related thereto. It should be noted the following items, (if applicable) are required before entering into a contract with the City of Santa Ana, California: a. In the event registration fees charged per property by the City of Santa Ana exceeds 1K in any given year Property Registration Champions LLC will ask the City of Santa Ana to acknowledge that said fees are not recommended by our company. PRC will administer the program with this acknowledgement in place. 7. PRC will provide monthly reporting of registration activities via PROCHAMPS comprehensive reporting capabilities, monthly remittance reporting and manual reports if required. PRC will routinely, systematically and proactively review all pertinent available data sources to identify abandoned property located within the CITY subject to registration pursuant to Ordinance No. 2017-064. All public records will be utilized including, but not limited to; property appraiser data, tax collector data, Public Court records, Utility data, postal data, and 3'd party vendor data. Once this data is reviewed and verified a determination Is made to with respect to an obligation to register as required by Ordinance No. 2017- 064. Once all responsible parties are identified a repetitive and automated notification is provided to all parties that are linked to the property. s. PRC will charge a fee per registration as set forth in this RFQ. The fee will include both city staff costs and consultant costs. City staff costs are $413.00 per property (Exhibit 2 — City of Santa Ana Miscellaneous Fee Calculation). Consultant costs will be added into the fee not to exceed $100 per registration annually. Our team will receive and process all registrations, including the payments, and provide monthly remittance of the City's portion of the registration fees by the 10th of each month along with a report showing the properties and related 751-16 payments to the City of Santa Ana. The PROCHAMPS application is 100% transparent and anyone in the Santa Ana organization can view all registrations and payment status at any time. 10. See response to No. 9 above. Also, the PROCHAMPS application provides automated reporting of all property subject to the applicable legislation with reports easily attained by staff and can be exported to Excel for additional reporting functionality. 11. The prior months report will be sent no later than the tenth (10th) day of the following month and shall be delivered to the following address: City of Santa Ana Code Enforcement 20 Civic Center Plaza — M19 Santa Ana, CA 92701 12. PRC understands and agrees that all documents, records, application, files, and other materials provided in connection with the services rendered under this agreement shall be the property of the City of Santa Ana and shall be provided to the City within seven (7) business days, upon City's request and/or upon termination of written agreement. 13. PRC understands that the City has the right to audit the books, records, and accounts that are related to this agreement. 751-17 EXHIBIT A SCOPE OF SERVICES 751-18 1*14 : COMPENSATION Fee Schedule Page 10 of 10 751-19 EXHIBIT "B" Fee Schedule (Also known as "4. Rate Structure" of PRC's Response to RFQ# 17-0079 Foreclosure Registration Program Services) I Santa Ana 1 PRC Notal �I Rate I $413.00 (Per Exhibit 2 - City of Santa Ana Miscellaneous Fee Calculation $100 1 $513.00 ____j It should be noted the following items, (if applicable) are required before entering into a contract with the City of Santa Ana, California: a. In the event registration fees charged per property by the City of Santa Ana exceeds $1K in any given year Property Registration Champions LLC will ask the City of Santa Ana to acknowledge that said fees are not recommended by our company. PRC will administer the program with this acknowledgement in place. 751-20 LS 12.19.17 RESOLUTION NO. 2017 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE FORECLOSED VACANT PROPERTY REGISTRATION FEE TO INCLUDE CONSULTANT COSTS FOR ASSISTING TO MANAGE THE FORECLOSED VACANT PROPERTY PROGRAM IN ACCORDANCE WITH ARTICLE 3 OF DIVISION 3 OF CHAPTER 8 OF THE SANTA ANA MUNICIPAL CODE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On October 3, 2017, the City Council of the City of Santa Ana adopted Ordinance No. NS -2927 adding Division 3 to Article 3 to Chapter 8 of the Santa Ana Municipal Code regarding the registration and maintenance of abandoned and defaulted mortgage property. B. Section 8-1989 of the Santa Ana Municipal Code authorizes an administrative fee related to the registration, inspection and enforcement regarding such abandoned and defaulted mortgage property that is to be established by resolution. C. Based on analysis and evaluation of staff time, equipment, and materials, this fee is recommended as set forth below, adjusted to include consultant costs to assist and manage the program. D. This amended fee shall become effective immediately and shall be incorporated into the City's Uniform Schedule of Miscellaneous Fees for Fiscal Year 2017-18, as updated annually. Section 2. The City Council hereby amends the annual administrative fee relating to the registration, inspection and enforcement regarding such abandoned and defaulted mortgage property. The fee shall include both City staff costs and consultant costs and is hereby amended to $513 per property. Section 3. Without further action of the City Council, the above -referenced fee amended by this Resolution shall be incorporated into the City's Uniform Schedule of Miscellaneous Fees for Fiscal Year 2017-18 and updated annually. Exhibit 3 Resolution No. 2017 -XXX Page 1 of 2 751-21 LS 12.19.17 Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _ day of 2017. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By:i Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Resolution No. 2017- to be the original resolution adopted by the City Council of the City of Santa Ana on .2017. Date: Clerk of the Council City of Santa Ana 751-22 Resolution No. 2017 -XXX Page 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: DECEMBER 19, 2017 TITLE: PUBLIC HEARING—ZONING ORDINANCE AMENDMENT NO. 2017-05 TO AMEND PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO SMALL LOT SUBDIVISIONS — CITY OF SANTA ANA, APPLICANT {STRATEGIC PLAN NO. 3,2; 5,3) SWI iY9 7 RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 011=161TA:4 ❑ As Recommended ❑ As Amended ❑ Ordinance on V Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt an ordinance approving Zoning Ordinance Amendment No. 2017-05. PLANNING COMMISSION ACTION At its regular meeting on November 13, 2017, the Planning Commission by a vote of 6:0 (Verino absent) recommended that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2017-05 to amend Chapter 41 of the Santa Ana Municipal Code (SAMC) to allow the creation of small lot subdivisions in certain zoning districts. The Planning Commission recommended adoption of the proposed zoning ordinance amendment with no changes to the proposed ordinance outlined in the attached staff report (Exhibit A). The City is proposing to add Article XX. — Small Lot Subdivisions to Chapter 41 of the SAMC to allow the creation of small lot subdivisions in certain zoning districts. The ordinance will promote affordable housing ownership opportunities by providing flexible development standards and maintenance instruments. Staff is recommending approval of the ZOA to create flexible housing construction and ownership opportunities in areas of the city already identified for infill or medium - density housing. Background As the State's economy recovers, affordable housing supply still remains an issue. In an effort to address this, the City of Los Angeles adopted an innovative small lot subdivision ordinance in 2004; aimed to increase moderately priced homeownership housing. Understanding constricted lending practices and fixed development standards, flexible development standards were adopted to make 75J-1 Zoning Ordinance Amendment No. 2017-05 — Amend Chapter 41 of the SAMC Relating to Small Lot Subdivisions December 19, 2017 Page 2 financing of such projects more feasible for developers by requiring minimum standards rather than maximum development standards. Since the adoption of the Los Angeles ordinance, several Southern Californian cities such as Costa Mesa, Long Beach, Westminster and Irvine have adopted similar ordinances as a form to address the lack of affordable homeownership housing development. As this type of fee -simply ownership promotes entry level housing, makes efficient use of scarce developable land and increases housing availability, staff is proposing a similar ordinance to address the homeownership housing needs in Santa Ana. What is a small lot subdivision? A small lot subdivision is a project that constructs single-family dwelling units on lots that are smaller than conventional single-family development sites. The dwelling units in a small lot subdivision have separate foundations and walls, and each unit sits on its own private lot. These projects can resemble those of townhomes and condominium developments; however, unlike townhomes and condominiums that may require association fees, the houses in a small lot subdivision are owned fee -simple, meaning each unit is owned individually. Common areas like driveways or open space are typically governed by a maintenance agreement. By avoiding condo fees, small lot subdivisions make home ownership more feasible and affordable. Proposed Ordinance Staff is proposing to add Article XX. — Small Lot Subdivisions to Chapter 41 of the SAMC to allow small lot subdivisions in Specific Development No. 84 (Transit Zoning Code); Specific Plan No. 2 (Harbor Mixed Use Transit Corridor); Overlay Zone No. 1 (Metro East Mixed Use Overlay Zone); and through the establishment of a Specific Development (SD). The intent of this article is to establish a reasonable and uniform regulatory framework for the subdivision of land into small lots. The subdivision of small lots will be permitted subject to compliance with the standards identified in the following table. Table 1: Proposed Small Lot Subdivision Standards Sub 00IRTT=_' Standard — _ Lot Frontage and Access Each lot will have frontage off a public street or alley and/or access to a street or an alley by an easement. Minimum Lot Size 1,000 square feet Maximum Lot Coverage 70 percent Required Yards As required by the underlying zoning district. Separation between None required. However, if the development is adjacent to common or private open Buildings space of the adjacent lot, then a 5 -foot setback will be applicable. Private 300 square feet of private open space per unit/small lot. Open Space For projects of 10 or more small lots, common open space will be required to equal i Common not less than 5 percent of the total development size, but not less than 100 square I feet per unit/small lot. 75J-2 Zoning Ordinance Amendment No. 2017-05 - Amend Chapter 41 of the SAMC Relating to Small Lot Subdivisions December 19, 2017 Page 3 Sub set ti , „`�'�Standard"'� Landscaping All required yards and areas not designated for walkways, parking, drive aisles, or private open sace will be required to have landscape. 20 feet if parking will be located in front of garage, otherwise, 3 feet will be required Driveway Length in order to prevent vehicles from parallel parking in front of garages and encroaching into dedicated walkways. Service Standards Trash area/location will be required. 5 or less A maintenance agreement will be required in lieu of an association. small lots Maintenance More than A reciprocal access and/or maintenance easement agreement will be required and Agreement 5 small lots be maintained by an association. In addition to the standards identified in Table 1, small lot subdivision projects will need to comply with the development standards identified in the underlying zoning district. The zoning districts in which small lot subdivisions will be allowed per the proposed ordinance have standards that govern the form of the proposed development. Furthermore, these projects will still be subject to the city's citywide design guidelines. Due to the comprehensive nature of the guidelines, no additional design standards are being applied. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities development through new General Plan Community Health, Livability, Engagement housing opportunities and support efforts to neighborhoods). FISCAL IMPACT for business/job growth and encourage private and Zoning Ordinance policies); and Goal #5 - & Sustainability, Objective #3 (facilitate diverse preserve and improve the livability of Santa Ana There is no fiscal impact associated with this action. -Candida Neal, AICP Acting Executive Director Planning & Building Agency JCG:rb SARFCA\12-05-17\Z0A17-05 Small Lot Subdivision= Exhibit: A. Planning Commission Staff Report B. Ordinance 75J-3 75J-4 ORDINANCE NO. NS -XX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO SMALL LOT SUBDIVISIONS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The Santa Ana Municipal Code (SAMC) requires updates periodically in order to address current housing trends. B. The intent of the small lot subdivision ordinance is to promote affordable ownership housing opportunities for Santa Ana residents by providing flexible development standards and maintenance instruments, and to establish a reasonable and uniform regulatory framework for the subdivision of land into small lots. C. On November 13, 2017, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2017-05. D. The City Council, on December 19, 2017, held a duly noticed public hearing regarding this ordinance and has considered all testimony presented thereto. Section 2. The proposed ordinance has been reviewed with respect to applicability of the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 et seq.). The project is exempt from CEQA as it can be seen with certainty that there is no impact on the environment [Section 15061(b) (3)] and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Article XX. — Small Lot Subdivisions is hereby added to Chapter 41 of the Santa Ana Municipal Code to read as follows: ARTICLE XX. — SMALL LOT SUBDIVISIONS Sec. 41-2100. — Purpose. The purpose of this article is to establish a reasonable and uniform regulatory framework for the subdivision of land into small lots. Small lot subdivisions are intended to provide an alternative to the traditional single-family subdivision, increasing options for fee -simple home ownership opportunities. 75J-5 Sec. 41-2101. — Definitions. Unless the particular provision or the context otherwise requires, the definitions and provisions contained in this section shall govern the construction, meaning, and application of words and phrases used in this article: (a) "Development site" shall mean the total land area of a small lot subdivision project after all required dedications for public improvements. (b) "Drive Aisle" shall mean the paved area which has been designated as a vehicle passageway to provide access to a small lot. (c) "Driveway" shall mean the paved area which has been designated to provide access to a dwelling or live -work unit's required parking, starting at a public street or alley, or at the ultimate right-of-way of a common access drive aisle that serves the lot, leading to a garage or uncovered parking space. (d) "Interior lot line" shall mean all lot lines created within the development site for the purpose of subdividing and creating small lots. (e) "Small lot" shall mean a parcel of land created through a small lot subdivision for the purpose of developing it with a single-family residence or live -work unit. (f) "Small lot subdivision" shall mean a residential development containing detached single-family residences or live -work units on land that is subdivided into fee simple parcels containing each unit. Sec. 41-2102. — Applicability. The subdivision of small lots is permitted subject to compliance with the following standards: (a) Eligibility. Small lot subdivisions are permitted in the following districts: (1) In any sub -zone within Specific Development No. 84 (Transit Zoning Code), Specific Plan No. 2 (Harbor Mixed Use Transit Corridor Specific Plan), and Metro East Mixed Use Overlay Zone (OZ -1) where single- family and live -work uses are allowed. (2) Small lot subdivisions may be permitted through the establishment of a specific development district that is established in accordance with the provisions of Division 26 of this code. 75J-6 (b) Small Lot Frontage and Access. (1) Each individual small lot containing a dwelling or live -work unit shall have frontage on a public street or alley, or be provided with direct access to a public street or alley by an easement for access through the recorded subdivision map. (2) Small lots are exempt from frontage requirements set forth in Section 34- 56 of this Code. (3) Areas within the small lot subdivision identified as points of shared access, walkways, drive aisles shall not be restricted by the construction of fences or walls, or other such barriers. (c) Minimum Lot Size. (1) Each small lot containing a dwelling unit shall have at minimum one thousand (1,000) square feet of lot area. (2) The calculation for minimum lot size shall not include any portion of the small lot that is designated or used as shared space. (d) Lot Coverage. No more than seventy (70%) percent of the small lot shall be covered by structures. (e) Required Yards. (1) The front, side, and rear yard building setback requirements of the underlying zone, specific plan, or overlay shall apply to the required yards of the development site. (2) No minimum separation between buildings shall be required along interior lot lines created within an approved subdivision. (3) Buildings on small lots that are placed in such a manner that they abut common open space or the private open space of an adjacent lot shall be set back a minimum of five (5) feet and provide an appropriate stepback to preserve privacy and reduce the massing of multi -story buildings. (f) Open Space. (1) Individual small lots shall provide, at minimum, three hundred (300) square feet of private open space per dwelling unit as follows: 75J-7 a. Private open space shall have a minimum dimension of fifteen (15) feet in each direction. b. Private open space may be provided on the rooftop of dwelling units provided building massing and architectural features serve to screen the open space from neighboring properties that are not part of a small lot subdivision development site and that are used or zoned for single-family residential. (2) In addition to the private open space requirement of subsection (1), small lot subdivisions of ten (10) or more lots shall provide accessible common open space in the amount not less than five (5) percent of the total development size, but shall in no case be less than one hundred (100) square feet per unit. (g) Landscaping. All required yards and areas not designated for walkways, parking, drive aisles, or private open space, shall be landscaped and irrigated in accordance with an approved landscape plan. (h) Driveway Length. (1) A driveway that leads directly to a garage shall have a minimum length of twenty (20) feet if parking will be located in front of the garage. (2) No driveway shall be more than three (3) feet in length if parking is not provided in front of the garage. (i) Service Standards. Developments providing individual trash containers shall provide an area that is screened outside of required setbacks and yards for container storage. Individual trash containers located in a garage shall not encroach into the required parking area. Q) Maintenance Agreement. (1) All areas of a small lot subdivision with five (5) or more parcels subject to a reciprocal access and/or maintenance easement shall be maintained by an association that may be incorporated or unincorporated. (2) Small lot subdivisions with four (4) or less parcels subject to a reciprocal access and/or maintenance easement may execute a maintenance agreement in lieu of requiring an association. (3) A Maintenance Agreement shall be formed, composed of and executed by all property owners, to maintain all common areas and appurtenances such as trees, landscaping, water treatment facilities, trash, parking, driveways, drive aisles, walkways, private water lines, meters, etc. Each owner and future property owners shall automatically become members of the agreement and shall be subject to a proportionate share of the maintenance and related costs. The Maintenance Agreement shall be recorded as a Covenant and Agreement to run 75J-8 with the land. The subdivider shall submit a copy of this Agreement, once recorded, to the Planning Division for placement in the tract file. (k) Construction. Each unit in a small lot subdivision shall be constructed on an individual parcel with no common foundation, walls or footings. (1) Paving. No asphalt shall be permitted for paved areas. Driveways, drive aisles, and unenclosed parking areas shall consist of decorative concrete, pavers, or other materials as deemed appropriate by the Planning Manager. (m) Mechanical Equipment. Roof mounted equipment is prohibited unless completely screened from public rights-of-way and adjacent properties. Sec. 41-2103. — Modification of Standards. Development standards applied to small lot subdivisions pursuant to section 41- 2102 may be modified by an application for a minor exception, which shall be heard by the zoning administrator pursuant to Article V of this chapter, in order to achieve a good project design, privacy, livability, and compatibility with surrounding uses. The decision of the zoning administrator on such applications may be appealed to the Planning Commission pursuant to Article V of this chapter. Sec. 41-2104. — Applicability to other regulations. The provisions of this article are not intended to provide exclusive regulation of the development of small lots. Small lots must comply with any and all applicable regulations imposed in other articles of the zoning code, other city ordinances, and state and federal law. Should a conflict exist between the provisions of this article and the provisions of other articles of this Code, the provisions of this article shall prevail. Section 4. 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 2017. Miguel A. Pulido Mayor 75J-9 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney ... Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify 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 75J-10 REQUEST FOR COUNCIL/ HOUSING AUTHORITY ACTION CITY COUNCIL MEETING DATE: 19, 2017 TITLE: RECEIVE AND FILE HOUSING SUCCESSOR ANNUAL REPORT FOR FY 2016-17 — LOW AND MODERATE INCOME HOUSING ASSET FUND (STRATEGIC PLAN NO. 5, 1) CITY MANA ER EXECUTIVE C I ECTOR RECOMMENDED ACTION CITY COUNCIL ACTION Receive and file HOUSING AUTHORITY ACTION Receive and file. DISCUSSION 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 Pursuant to the Dissolution Act, the City Council on January 9, 2012, designated the Housing Authority as the Successor Housing Agency to the dissolved Community Redevelopment Agency of the City of Santa Ana (RDA). Effective February 1, 2012, the Housing Authority retained the housing assets, duties, functions and obligations of the former RDA and continued to complete the housing development projects encumbered prior to the dissolution of the RDA. Senate Bill (SB) 341, signed by the Governor on October 1, 2013, amended the Health & Safety Code Section 34176 and addresses functions to be performed by the Housing Successor Agencies. This bill, effective January 2014, requires all housing successor agencies to provide an annual report to its governing body within six months after the end of the fiscal year, starting with FY 2013-14. Among the requirements is an independent financial audit of the Low and Moderate Income Housing Asset Fund (LMIHAF), and information regarding specific housing financial data and activities. The independent financial audit of the LMIHAF is included in the City's Comprehensive Annual Financial Report (CAFR) for FY 2016-17, as prepared by the Finance and Management Services Agency and posted on the City's website at http://www.santa-ana.org/finance/cafr/defauIt.asp. 80A-1 Housing Successor Annual Report FY 2016-17 December 19, 2017 Page 2 During FY 16-17, the Housing Authority Board approved a pre -loan commitment of $8,522,740 from the LMIHAF for the First Street Apartments project to be located at 1440 E. 1st Street. With the pre -commitment, AMCAL Multi -Housing, Inc., the developer, was successful in applying for and being awarded 9% low-income housing tax credits and was able to secure all necessary financing and funding for the construction and operation of the project. Upon completion, this project will provide 69 units of affordable workforce housing. At the close of the fiscal year, the Housing Authority owned four developable sites as listed in Section VII of the report (Exhibit 1). The development of a policy to allocate housing development funds and criteria for selection of projects began in FY 16-17. The adoption by City Council and Housing Authority of this policy is anticipated during the current fiscal year, and will enable staff to initiate a request for proposals for the development and/or sale of these real properties. 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. Robert M. Zur S h iede Interim Executive ctor Community Development Agency SG/tg Exhibit: 1. Housing Successor Annual Report FY 2016-17 80A-2 Exhibit 1 HOUSING SUCCESSOR ANNUAL REPORT REGARDING THE LOW AND MODERATE INCOME HOUSING ASSET FUND FOR FISCAL YEAR 2016-2017 PURSUANT TO CALIFORNIA HEALTH AND SAFETY CODE SECTION 34176.1(f) FOR THE HOUSING AUTHORITY OF THE CITY OF SANTA ANA This Housing Successor Annual Report (Report) regarding the Low and Moderate Income Housing Asset Fund (LMIHAF) has been prepared pursuant to California Health and Safety Code Section 34176.1(f) and is dated as of December 19, 2017. This Report sets forth certain details of the Housing Authority of the City of Santa Ana (Housing Successor) activities during Fiscal Year 2016-2017 (Fiscal Year). The purpose of this Report is to provide the governing body of the Housing Successor an annual report on the housing assets and activities of the Housing Successor under Part 1.85, Division 24 of the California Health and Safety Code, in particular sections 34176 and 34176.1 (Dissolution Law). The following Report is based upon information prepared by Housing Successor staff and information contained within the independent financial audit of the Low and Moderate Income Housing Asset Fund, as incorporated in the City of Santa Ana Comprehensive Annual Financial Report for Fiscal Year 2016-2017 (Fiscal Year) as prepared by White Nelson Diehl Evans LLP (Audit), which Audit is separate from this annual summary Report; further, this Report conforms with and is organized into sections I. through XI., inclusive, pursuant to Section 34176.1(f) of the Dissolution Law: Amount Deposited into LMIHAF: This section provides the total amount of funds deposited into the LMIHAF during the Fiscal Year. Any amounts deposited for items listed on the Recognized Obligation Payment Schedule (ROPS) must be distinguished from the other amounts deposited. It. Ending Balance of LMIHAF: This section provides a statement of the balance in the LMIHAF as of the close of the Fiscal Year. Any amounts deposited for items listed on the ROPS must be distinguished from the other amounts deposited. Ill. Description of Expenditures from LMIHAF: This section provides a description of the expenditures made from the LMIHAF during the Fiscal Year. The expenditures are to be categorized. IV. Statutory Value of Assets Owned by Housing Successor: This section provides the statutory value of real property owned by the Housing Successor, the value of loans and grants receivables, and the sum of these two amounts. HOUSING AUTHORITY OF THE CITY OF SANTA 810*236/17 Page 1 V. Description of Transfers: This section describes transfers, if any, to another housing successor agency made in previous Fiscal Year(s), including whether the funds are unencumbered and the status of projects, if any, for which the transferred LMIHAF will be used. The sole purpose of the transfers must be for the development of transit priority projects, permanent supportive housing, housing for agricultural employees or special needs housing. VI. Project Descriptions: This section describes any project for which the Housing Successor receives or holds property tax revenue pursuant to the ROPS and the status of that project. VII. Status of Compliance with Section 33334.16: This section provides a status update on compliance with Section 33334.16 for interests in real property acquired by the former redevelopment agency prior to February 1, 2012. For interests in real property acquired on or after February 1, 2012, provide a status update on the project. VIII. Description of Outstanding Obligations under Section 33413: This section describes the outstanding inclusionary and replacement housing obligations, if any, under Section 33413 that remained outstanding prior to dissolution of the former redevelopment agency as of February 1, 2012 along with the Housing Successor's progress in meeting those prior obligations, if any, of the former redevelopment agency and how the Housing Successor's plans to meet unmet obligations, if any. IX. Income Test: This section provides the information required by Section 34176.1(a)(3)(B), or a description of expenditures by income restriction for five year period, with the time period beginning January 1, 2014 and whether the statutory thresholds have been met. However, reporting of the Income Test is not required until 2019. X. Senior Housing Test: This section provides the percentage of units of deed -restricted rental housing restricted to seniors and assisted individually or jointly by the Housing Successor, its former redevelopment Agency, and its host jurisdiction within the previous 10 years in relation to the aggregate number of units of deed -restricted rental housing assisted individually or jointly by the Housing Successor, its former Redevelopment Agency and its host jurisdiction within the same time period. For this Report the ten-year period reviewed is January 1, 2006 to January 1, 2016. XI. Excess Surplus Test: This section provides the amount of excess surplus in the LMIHAF, if any, and the length of time that the Housing Successor has had excess surplus, and the Housing Successor's plan for eliminating the excess surplus. This Report is to be provided to the Housing Successor's governing body by December 31, 2017. In addition, this Report and the former redevelopment agency's pre -dissolution HOUSING AUTHORITY OF THE CITY OF SANTA(yP�yfY 2j�16117 Page 2 Implementation Plans are to be made available to the public on the City's website (hftp://wvvw.santa-ana.or,q/cdaloversight.asp.) AMOUNT DEPOSITED INTO LMIHAF A total of $138,585 was deposited into the LMIHAF during the Fiscal Year. Of the total funds deposited into the LMIHAF, a total of $0 was held for items listed on the ROPS. II. ENDING BALANCE OF LMIHAF At the close of the Fiscal Year, the ending balance in the LMIHAF was $13,746,606 of which $244,309 is held for items listed on the ROPS. III. DESCRIPTION OF EXPENDITURES FROM LMIHAF The following is a description of expenditures from the LMIHAF by category: 67 Homeless Prevention and Rapid Rehousing Services Expenditures $ 0 0 Housing Development Expenditures ➢ Expenditures on Low Income Units $ 98,746 ➢ Expenditures on Very -Low Income Units $ ➢ Expenditures on Extremely -Low Income Units $ 0 D Tnfnl Mnucinn nniminnmcn4 Fvncnrli6,roc @ AA AA7 2 Total LMIHAF The independent financial audit of the LMIHAF includes an additional $2,520,441 for bad debt expenses for loans receivable, for a total expenditure of $2,687,817. The independent financial audit of the LMIHAF includes: (1) an additional $131,591 for the loss on sale of land for properties transferred to the developer as required by the disposition and development agreement, (2) an additional $789,853 for the transfer of funds to the Successor Agency for remaining balances from completed housing obligations from the ROPS, and (3) $34,846 expended on moderate income units, for a total expenditure of $1,055,036. Including the additional items from footnotes 1 and 2 above, the total LMIHAF per the audit is $3,742,853. HOUSING AUTHORITY OF THE CITY OF SANTAJ%\Yft/FY 6/17 Page 3 IV. STATUTORY VALUE OF ASSETS OWNED BY HOUSING SUCCESSOR IN LMIHAF Under the Dissolution Law and for purposes of this Report, the "statutory value of real property" means the value of properties formerly held by the former redevelopment agency as listed on the housing asset transfer schedule approved by the Department of Finance as listed in such schedule under Section 34176(a)(2), the value of the properties transferred to the Housing Successor pursuant to Section 34181(f), and the purchase price of property(ies) purchased by the Housing Successor. Further, the value of loans and grants receivable is included in these reported assets held in the LMIHAF. The following provides the statutory value of assets owned by the Housing Successor. V. DESCRIPTION OF TRANSFERS The Housing Successor did not make any LMIHAF transfers to other Housing Successor(s) under Section 34176.1(c)(2) during the Fiscal Year. VI. PROJECT DESCRIPTIONS The following is a description of project(s) for which the Housing Successor receives or holds property tax revenue pursuant to the ROPS as well as the status of the project(s): Habitat for Humanity 4110 W. McFadden was transferred to the developer and construction of the five homes is currently underway._ VII. STATUS OF COMPLIANCE WITH SECTION 33334.16 Section 34176.1 provides that Section 33334.16 does not apply to interests in real property acquired by the Housing Successor on or after February 1, 2012; however, this Report presents a status update on the project related to such real property. With respect to interests in real property acquired by the former redevelopment agency prior to February 1, 2012, the time periods described in Section 33334.16 shall be deemed to have commenced on the date that the Department of Finance approved the property as a housing asset in the LMIHAF; thus, as to real property acquired by the former redevelopment agency HOUSING AUTHORITY OF THE CITY OF SANTA ANA. —,6/17 Page 4 now held by the Housing Successor in the LMIHAF, the Housing Successor must initiate activities consistent with the development of the real property for the purpose for which it was acquired within five years of the date the DOF approved such property as a housing asset. The following provides a status update on the real property or properties housing asset(s) that were acquired prior to February 1, 2012 and compliance with five-year period: The following provides a status update on the project(s) for property or properties that have been acquired by the Housing Successor using LMIHAF on or after February 1, 2012: VIII. DESCRIPTION OF OUTSTANDING OBLIGATIONS PURSUANT TO SECTION 33413 Replacement Housing: According to the FY 2010 — FY 2015 Implementation Plan for the former redevelopment agency, the following replacement housing obligations were transferred to the Housing Successor: HOUSING AUTHORITY OF THE CITY OF SANTA.QIM-IIY 276/17 Page 5 Deadline Date of Initiate Development Address.. Remnant parcels at 10/30/02 02/14/18 Tentative plan to initiate a Spurgeon 8 E. 22nd St. Request for Proposals for the development and/or sale of the site 542 E. Central Ave. 04/10/06 02/14/18 Sold to the Our Lady of Guadalupe Church in September 2016 for church expansion 801, 809 8 809'/2 E. 07/29/09 02/14/18 Tentative plan to initiate a Santa Ana Blvd. Request for Proposals for the development and/or sale of the site 826 N. Lacy 07/29/09 02/14/18 Tentative plan to initiate a Request for Proposals for the development and/or sale of the site 1126 81146 Washington 09/05/07 02/14/18 Tentative plan to initiate a Request for Proposals for the development and/or sale of the site The following provides a status update on the project(s) for property or properties that have been acquired by the Housing Successor using LMIHAF on or after February 1, 2012: VIII. DESCRIPTION OF OUTSTANDING OBLIGATIONS PURSUANT TO SECTION 33413 Replacement Housing: According to the FY 2010 — FY 2015 Implementation Plan for the former redevelopment agency, the following replacement housing obligations were transferred to the Housing Successor: HOUSING AUTHORITY OF THE CITY OF SANTA.QIM-IIY 276/17 Page 5 One (1) very -low income five -bedroom unit was removed in 2005. The replacement housing obligation transferred to the Housing Successor was fulfilled in a previous fiscal year with the WBBB project that accommodated a five -bedroom unit within the site. At the end of Fiscal Year 2016-2017, the Housing Successor has met all replacement housing obligations transferred from the former redevelopment agency. Inclusionary/Production Housing. According to the FY 2010 — FY 2015 Implementation Plan for the former redevelopment agency, no Section 33413(b) inclusionary/production housing obligations were transferred to the Housing Successor. The former redevelopment agency's Implementation Plans are posted on the City's website at http://www.santa- ana.ora/cda/oversig ht.aso. IX. EXTREMELY -LOW INCOME TEST Section 34176.1(a)(3)(B) requires that the Housing Successor must require at least 30% of the LMIHAF to be expended for development of rental housing affordable to and occupied by households earning 30% or less of the AMI. If the Housing Successor fails to comply with the Extremely -Low Income requirement in any five-year report, then the Housing Successor must ensure that at least 50% of the funds remaining in the LMIHAF be expended in each fiscal year following the latest fiscal year following the report on households earning 30% or less of the AMI until the Housing Successor demonstrates compliance with the Extremely -Low Income requirement. This information is not required to be reported until 2019 for the 2014 — 2019 period. X. SENIOR HOUSING TEST The Housing Successor is to calculate the percentage of units of deed -restricted rental housing restricted to seniors and assisted by the Housing Successor, the former redevelopment agency and/or the City within the previous 10 years in relation to the aggregate number of units of deed -restricted rental housing assisted by the Housing Successor, the former redevelopment agency and/or City within the same time period. If this percentage exceeds 50%, then the Housing Successor cannot expend future funds in the LMIHAF to assist additional senior housing units until the Housing Successor or City assists and construction has commenced on a number of restricted rental units that is equal to 50% of the total amount of deed -restricted rental units. The following provides the Housing Successor's Senior Housing Test for the 10 year period of January 1, 2006 to January 1, 2016: HOUSING AUTHORITY OF THE CITY OF SANTA(ybk 16/17 Page 6 XI. EXCESS SURPLUS TEST Excess Surplus is defined in Section 34176.1(d) as an unencumbered amount in the account that exceeds the greater of one million dollars ($1,000,000) or the aggregate amount deposited into the account during the Housing Successor's preceding four Fiscal Years, whichever is greater. The following provides the Excess Surplus test for the preceding four Fiscal Years: HOUSING AUTHORITY OF THE CITY OF SANTA Y t�i16/17 Page 7 The LMIHAF does not have an Excess Surplus. (Refer to calculation below.) Fund Balance — June 30, 2016 $42,936,847 Less Unavailable Amounts: Advance to private -purpose trust fund ( 532,601) Community development ( 39,549,196) Land held for resale ( 2,855,050) Available Low Income Housing Funds Limitation (Greater of $1,000,000 or Four Years Deposits): Aggregate amounts deposited for preceding four fiscal years 2013-2014 1,496,182 2014-2015 2,329,877 2015-2016 312,837 2016-2017 138,585 Total deposits for the preceding four fiscal years 4,277,481 Base limitation 1,000,000 Greater Amount 4,277,481 Computed Excess Surplus — June 30, 2017 4 The FY 2015116 beginning balance is restated due to the reclassification of the long-term loans receivable from deferred inflows of resources, unavailable revenue, to an allowance for uncollectible accounts. HOUSING AUTHORITY OF THE CITY OF SANTjtP V fjy17 Page 8 Beginning Balance $25,736,346 $17,996,580 $48,615,116 $46,541,115 Add: Deposits $1,496,182 $2,329,877 $312,836 $138,585 (Less) Expenditures $9,235,948 $950,279 $2,386,837 $3,742,853 Ending Balance $17,996,580 $19,376,178 $46,541,115 $42,936,847 The LMIHAF does not have an Excess Surplus. (Refer to calculation below.) Fund Balance — June 30, 2016 $42,936,847 Less Unavailable Amounts: Advance to private -purpose trust fund ( 532,601) Community development ( 39,549,196) Land held for resale ( 2,855,050) Available Low Income Housing Funds Limitation (Greater of $1,000,000 or Four Years Deposits): Aggregate amounts deposited for preceding four fiscal years 2013-2014 1,496,182 2014-2015 2,329,877 2015-2016 312,837 2016-2017 138,585 Total deposits for the preceding four fiscal years 4,277,481 Base limitation 1,000,000 Greater Amount 4,277,481 Computed Excess Surplus — June 30, 2017 4 The FY 2015116 beginning balance is restated due to the reclassification of the long-term loans receivable from deferred inflows of resources, unavailable revenue, to an allowance for uncollectible accounts. HOUSING AUTHORITY OF THE CITY OF SANTjtP V fjy17 Page 8