Santa Ana City Council
March 1, 2022

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firms were Edelstein Gilbert Robson & Smith and Jose A. Gonsalves & Son (a joint submittal), Townsend Public Affairs, and Buchalter. The evaluation of the proposals was not limited to price alone. Some of the criteria used in the assessment of the proposals included the following:

Overall ability to provide the services based upon the responses to the RFQ Technical qualifications and experience of key members of the firm Experience with similarly sized governmental agencies in providing the types of services outlined in this RFQ
Capability of handling all aspects of the engagement as defined as well as providing support and technical assistance
Fees and charges related to the level of work proposed Below is a summary of the proposals received, along with their average annual cost for the proposed three-year term:

Firm Location Average Annual Price
Buchalter Sacramento, CA $108,000
Edelstein Gilbert Robson
& Smith and Joe A.

Gonsalves & Son
Sacramento, CA $108,000
Townsend Public Affairs Sacramento, CA $62,000
A panel composed of staff from the City Manager’s Office reviewed the proposals. After considering both proposals, staff recommends that the City Council approve an agreement with TPA (Exhibit 2). This decision was based on their submittal’s responsiveness to the RFQ, the firm’s experience, the firm’s availability of their staff to discuss legislative matters with City Councilmembers and City staff as issues arise, and the overall satisfaction of the City utilizing this firm since 2004. It is important to note that Townsend Public Affairs has served the City of Santa Ana as the state legislative advocate for more than 22 years. During their tenure, TPA has demonstrated its commitment to advocating on the City’s behalf using the City’s legislative priorities, and helping secure over $79.4 million in funding for the City.

The proposed agreement was presented to the Legislative Affairs Subcommittee at their February 17, 2022 meeting. The Legislative Affairs Subcommittee concurred with staff’s recommendation to present the proposed agreement to the City Council to recommend its approval.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

City Council 22 – 3 3/1/2022
State Legislative Advocacy Services
March 1, 2022

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FISCAL IMPACT
Funds are available in Fiscal Year 2021-22 in the following accounts from March 1, 2022 through June 30, 2022:

Department Fund Account Townsend
Public Affairs
Public Works
Agency
Fund 101 10117601-
62300
$5,000
Police Department General Fund 01114400-
62300
$5,000
City Manager’s
Office
General Fund 01104012-
62300
$5,000
TOTAL: $15,000
Funds will be budgeted and available in Fiscal Year 2022-23 in the following accounts from July 1, 2022 through June 30, 2023:

Department Fund Account Townsend
Public Affairs
Public Works
Agency
Fund 101 10117601-
62300
$20,000
Police Department General Fund 01114400-
62300
$20,000
City Manager’s
Office
General Fund 01104012-
62300
$20,000
TOTAL: $60,000
Funds will be budgeted and available in Fiscal Year 2023-24 in the following accounts from July 1, 2023 through June 30, 2024:

Department Fund Account Townsend Public
Affairs
Public Works Agency Fund 101 10117601-62300 $20,500
Police Department General Fund 01114400-62300 $20,500
City Manager’s OfficeGeneral Fund 01104012-62300 $20,500 TOTAL: $61,500
Funds will be budgeted and available in Fiscal Year 2024-25 in the following accounts from July 1, 2024 through June 30, 2025:

Department Fund Account Townsend Public
Affairs
City Council 22 – 4 3/1/2022
State Legislative Advocacy Services
March 1, 2022

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Public Works Agency Fund 101 10117601-62300 $22,000
Police Department General Fund 01114400-62300 $22,000
City Manager’s OfficeGeneral Fund 01104012-62300 $22,000 TOTAL: $66,000
Funds will be budgeted and available in Fiscal Year 2025-26 in the following accounts from July 1, 2025 through March 31, 2025:

Department Fund Account Townsend Public
Affairs
Public Works Agency Fund 101 10117601-62300 $16,500
Police Department General Fund 01114400-62300 $16,500
City Manager’s OfficeGeneral Fund 01104012-62300 $16,500 TOTAL: $49,500

EXHIBIT(S)

1. Request for Qualifications for State Legislative Advocacy Services

2. Agreement
Submitted By: Kristine Ridge, City Manager
Approved By: Kristine Ridge, City Manager
City Council 22 – 5 3/1/2022

REQUEST FOR QUALIFICATIONS (RFQ) NO. 22-005

FOR

STATE LEGISLATIVE ADVOCACY SERVICES

CITY OF SANTA ANA
CITY MANAGER’S OFFICE

Daniel A. Soto
Management Assistant, City Manager’s Office
Phone: (714) 647-5234
Email: [email protected]

KEY RFQ DATES:

The schedule below is tentative and subject to change at the discretion of City, with appropriate notice to prospective Respondents.

Issue Date: December 23, 2021
Deadline for Questions about RFQ: January 14, 2022 at 2:00 PM Statement of Qualifications Due Date: January 21, 2022, by 6:00 PM Review of Statement of qualifications: on or about January 24-28, 2022 Projected Award Date : on or about March 2022

City Council 22 – 6 3/1/2022

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RFQ No. 22-005 State Legislative Advocacy Services Page 2 of 29

RFQ NO. 22-005 FOR LEGISLATIVE ADVOCACY SERVICES

TABLE OF CONTENTS

PAGE
1) BACKGROUND 3
2) PROJECT PURPOSE 3
3) SCOPE OF SERVICES 3
4) TERM OF AGREEMENT 3
5) RFQ SCHEDULE OF EVENTS 4
6) RESPONSE TO RFQ 4
7) SELECTION PROCEDURES & CRITERIA 8
8) WITHDRAWALS 9
9) PROTESTS 9
10) GENERAL TERMS AND CONDITIONS 9
11) AWARD OF AGREEMENT 14
12) IMPLEMENTATION 14

EXHIBIT A – SCOPE OF SERVICES 15
EXHIBIT B – SAMPLE AGREEMENT 17

ATTACHMENT A – REFERENCES 24
ATTACHMENT B – RESPONDENT’S STATEMENT 25
ATTACHMENT C – NON-COLLUSION AFFIDAVIT 26
ATTACHMENT D – NON-LOBBYING CERTIFICATION 27
ATTACHMENT E – NON-DISCRIMINATION CERTIFICATION 28

City Council 22 – 7 3/1/2022

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I. BACKGROUND
The City of Santa Ana is a 27- square mile, ethnically diverse city located 35 miles south of Los Angeles and roughly ten miles inland from the Pacific Ocean. Wi th a total population of over 335,000, Santa Ana is Orange County’s second largest city and serves as the county seat. The City comprises more than 60 distinct neighborhoods. The Santa Ana Unified School District is the local school district that serves the majority of our community.

Additionally, there are six neighboring school districts that serve portions of the City including Garden Grove, Tustin, Orange, Irvine, Newport -Mesa, and Huntington Beach Unified School Districts.

Incorporated in 1886, Santa Ana has established itself as Orange County’s government powerbase and is colloquially known as Downtown Orange County. Santa Ana's centralized location places the City less than 30 minutes from most Southern California destinations, including four airpor ts. Its density and transportation infrastructure enable residents and employees to embrace a sustainable lifestyle by commuting to work via bus, train, bicycle, or on foot. This convenience attracts a diverse population that appreciates Santa Ana's distinctive housing choices, energetic nightlife, and cultural amenities like the Artist’s Village, Discovery Cube Orange County, Heritage Museum of Orange County, the Santa Ana Zoo at Prentice Park, and more. Santa Ana has a large and diverse business base, with over 30,000 businesses who employ over 150,000 people. Santa Ana is the corporate headquarters of several large companies, including Behr Paint and First American Financial Corporation. In 2016, Standard and Poor’s assigned the City of Santa Ana an AA is suer credit rating.

Although Santa Ana has proven to be resilient and adaptable, i t is prudent that the City of Santa Ana continue to carefully leverage its legislative priorities for the purpose of advocacy efforts at the local, regional, state and federal level to assist with recovery efforts and to continue to improve service delivery.

II. PROJECT PURPOSE
The City of Santa Ana is seeking statements of qualifications from qualified firms to provide state legislative advocacy services. The firm works under the policy direction of the Mayor and City Council and is administratively responsible to the City Manager. The principal responsibility of the firm will be to provide state legislative advocacy services on the City’s behalf and achieve positive outcomes as outlined in the Scope of Services below.

III. SCOPE OF SERVICES
The services are fully described in Exhibit A, Scope of Services, which is attached hereto and incorporated herein.

IV. TERM OF AGREEMENT
The term of the agreement is three (3) years. The City may, at its discretion, extend the agreement with the same or more limited scope of required services for up to one (1) additional three-year term, contingent upon direction of the City Manager.

City Council 22 – 8 3/1/2022

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V. RFQ SCHEDULE OF EVENTS
The schedule below is tentative and subject to change at discretion of City, with appropriate notice to prospective Respondents.

Issue Date: December 22, 2021
Deadline for Questions about RFQ: January 10, 2022 at 2:00 PM Statement of qualifications Due Date: January 21, 2022, by 6:00 PM Review of Statement of qualifications: on or about January 24-28, 2022 Projected Award Date : on or about March 2022

VI. RESPONSE TO RFQ

A. SUBMITTAL INSTRUCTIONS
It is the responsibility of the Respondent to ensure that any statement s of qualifications submitted have been uploaded to PlanetBids prior to the statement of qualifications due date and time. Statements of qualifications, including all required sections and forms, shall be submitted electronically via the City’s Bid Management System, PlanetBids . No other form of submittal will be accepted.

PlanetBids will not accept late bids and no exceptions shall be made. Respondent s will receive an e- bid confirmation number with a time stamp from PlanetBids indicating that their statement of qualifications was submitted successfully. The City will only receive and consider those statements of qualifications that were transmitted successfully. Submit statement of qualifications online at:
http://www.planetbids.com/portal/portal.cfm?CompanyID=20137.

Respondent shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service.

Failure of the Respondent to successfully submit an electronic statement of qualifications shall be at the Respondent’s sole risk and no relief will be given for late and/or improperly submitted statements of qualifications. Respondents experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992- 1771.

Questions of an operational nature may be directed to the City’s assigned Project Manager. Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline.

Statements of qualifications shall NOT be mailed or sent via t elegraphic, electronic or facsimile means.

All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Respondents shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive statement of qualification.

B. COMMUNICATION / CONTACT WITH CITY STAFF

City Council 22 – 9 3/1/2022

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Unless otherwise authorized herein, Respondent s who are considering submitting a statement of qualifications in response to this RFQ, or who submit a statement of qualifications in response to this RFQ, are only to communicate with the assigned Project Manager, and no other City staff about this RFQ from the date this RFQ is issued until a contract is awarded. The City will provide all official communication concerning this RFQ in writing via the City’s Bid Management System, PlanetBids.

General questions regarding this RFQ may be directed to the City's assigned Buyer utilizing the City's PlanetBids system.

The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the offi cial communication process specified herein, unless confirmed in writing by the designated Project Manager.

C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFQ shall be submitted via PlanetBids by 6:00 PM on January 14, 2022. Responses to all questions will be posted on PlanetBids no later than the date and time shown at the schedule of key RFQ dates above. All prospective Respondent s are advised to visit PlanetBids on a regular basis as the responses may be posted earlier than the date above.

No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFQ.

D. ADDENDA

Any changes in RFQ from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City’s PlanetBids system:
https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Respondents shall be responsible for monitoring the site to obtain information regarding this solicitation.

E. UNDERSTANDING STATEMENT OF QUALIFICATION
It is the responsibility of each Respondent to inquire about any criteria, condition, term, provision, or requir ement of the RFQ that the Respondent does not understand.

Responses to inquiries, if they significantly change or clarify the RFQ requirements or any aspect of the procurement process, will be forwarded by addenda to all Respondents. The City will not be bound by any oral responses to inquiries. By submitting statements of qualifications, Respondents assert that they have fully read the RFQ and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully understood and are acceptable to the Respondent. Each Respondent accepts the terms and conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document should be clearly noted in each Respondent ’s statement of qualification.

Please direct all questions regarding the procurement process to:

City Council 22 – 10 3/1/2022

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RFQ No. 22-005 State Legislative Advocacy Services Page 6 of 29

City of Santa Ana
Finance & Management Services – Purchasing Division
Eva Pierce, Buyer
Email: [email protected]
Phone: (714) 647-6584

F. STATEMENT OF QUALIFICATIONSCONTENTS
Statements of qualifications are to be prep ared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFQ.

Colored displays, promotional materials, etc., are not necessary or desired. Emphasis should be concentrated on conformance to RFQ instructions, responsiveness to the RFQ requirements, and on completeness and clarity of content. Dividers and clear organization of content and material are encouraged.

1. Cover Letter
Statements of qualifications shall include a letter signed by a pri ncipal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. Cover Letter shall not exceed one page.

Cover letter must be addressed to the following:

Daniel A. Soto, Management Assistant
City of Santa Ana – City Manager’s Office
20 Civic Center Plaza
Santa Ana, CA 92701

2. Agreement Statement
Statement of qualifications shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the Standard Agreement attached as as Exhibit A of this RFQ.

3. Firm and Team Experience
Statement of qualifications shall include a profile of the firm’s experience including the following:
i. A general description of the firm, including size, number of employees, number of credentialed actuaries with their affiliations, and any past or contemplated changes in ownership.
ii. Name and contact information of the lead project manager to be assigned to the engagement.
iii. Resumes for the professional staff assigned to the engagement. iv. A description of the firm's experience in providing similar services to those requested in this RFQ.
v. A list of the local office's most significant engagements in the last five (5) years, indicating whether they are public or private sector, and including scope of work, date, supervising actuaries, and name and telephone number of the client contact.

City Council 22 – 11 3/1/2022

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4. Cost Proposal
All Respondents are required to submit a cost breakdown by contract year (including renewal option term if exercised); including estimated hours, hourly rates, expenses, and a total not-to-exceed cost with their statement of qualifications. Pricing instructions should be clearly defined to ensure fees proposed can be compared and evaluated.

Statements of qualifications shall be valid for a minimum of ninety (90) days following statement of qualifications deadline. The cost for developing the statement of qualifications is the sole responsibility of the Respondent . All statements of qualifications submitted become the property of the City.

The proposed fees and rates for this contract will be fixed for the duration of the agreement, including allowable renewal options exercised at the discretion of the City.

5. Certifications (ATTACHMENTS)
The following forms, included in this RFQ, shall be signed and included as part of the statement of qualifications submittal package:
• Attachment A: References
• Attachment B: Respondent’s Statement
• Attachment C: Non-Collusion Affidavit
• Attachment D: Non-Lobbying Certification
• Attachment E: Non-Discrimination Certification

6. References
Contractor shall provide three (3) references from public agency customers for which similar services specified in this RFQ have been performed, including contact names and telephone numbers, and types of services your firm has provided. Use Attachment A – References. The respondent grants permission for the City to contact any individuals listed as references.

City may disqualify a Respondent if:

• References fail to substantiate Respondent’s description of services and deliverables provided; or

• References fail to support that Respondent has a continuing pattern of providing capable, productive, and skilled personnel, or

• City is unable to reach the point of contact with reasonable effort. It is the Respondent’s responsibility to inform the point of contact(s) of normal City working hours.

7. Information provided by the City is solely for the purpose of conducting evalutions and shall not be disclosed to any third party without the City's written permission.

8. Evidence of Financial Capacity
Respondent may be requested to submit its most recent audited financial statement, evidencing Respondent’s financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day City Council 22 – 12 3/1/2022

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period. If said financial statement does not reflect full ninety (90) day operational capacity, Respondent may include a letter of credit as evidence of supplemental capacity.

9. Insurance
The selected Respondent shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City.

Subcontractors must comply with the City’s insurance requirements as stated herein.

Primary Contractor shall not allow any Subcontractor to commence work until all insurance required of Subcontractor is obtained.

Additionally, Contractor shall provide the following insurance coverage:

A warrant that the firm maintains a prudent amount of errors and omissions insurance that covers negligent acts and is applicable to the work requested in this RFQ.

Work on the contract shall not begin until after the awarded Contractor has submitted acceptable evidence of the required insurance coverages.

VII. SELECTION PROCEDURES & CRITERIA
A. The City will establish a statement of qualifications review committee, consisting of City staff designated by the City Manager. The review committee will evaluate statements of qualifications based on the response to the RFQ , which includes adherence to outlined directions and format, and the City evaluation criteria set forth above.

B. Respondents will be ranked by City staff based on the following criteria:

• Overall ability to provide the services based upon the responses to the RFQ (25%)

• Technical qualifications and experience of key members of the firm (15%)

• Experience with similarly sized governmental agencies in providing the types of services outlined in this RFQ
(20%)

• Capability of handling all aspects of the engagement as defined as well as providing support and technical assistance
(15%)

• Fees and charges related to the level of work proposed (25%)

C. A final score will be calculated for each submitted statement of qualifications and used to rank Respondents. The City is under no obligation to accept any statement of qualifications and reserves the right to negotiate with respondents as to fees and terms.

City Council 22 – 13 3/1/2022

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The City may reject statements of qualifications at its sole discretion. If a statement of qualifications fails to satisfy any requirements outlined in this RFQ, it may be considered non-responsive and the statement of qualifications may be rejected.

The City shall not be obligated to accept the low est priced statement of qualification, but will make an award in the best interests of the City of Santa Ana after all factors have been evaluated.

City staff will recommend the top ranked consulting firm to the City Manager or City Council for award of contract.

VIII. WITHDRAWALS
Respondents are responsible for verifying all prices and information before submitting a statement of qualification. Prior to the statement of qualifications due date, the Respondent or Respondent’s representative may withdraw the statement of qualifications by providing written notice of the statement of qualifications withdrawal to the Project Manager. Verbal or telephonic withdrawals are not permissible.

IX. PROTESTS

Respondents may file a “protest” to an RFQ with the City’s Purchasing Division. In order for a Bidder’s protest to be considered valid, the protest must:

1. Be filed in writing within five (5) business days of either the RFQ issued date or before 5:00 p.m. of the 5th business day following the posting of Bid Results/Notice of Intent to Award Contract on the City’s website;

2. Clearly identify the specific irregularity or accusation;

3. Clearly identify the specific City staff determination or recommendation being protested;

4. Specify, in detail, the grounds of the protest and t he facts supporting the protest; and

5. Include all relevant, supporting documentation with the protest at time of filing.

If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City’s Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Purchasing Manager will provide a written decision to the protestor within ten (10) business days from receipt of protest. The decision from the Purchasing Manager, or her/her designee, is final and no further appeals will be considered.

X. GENERAL TERMS AND CONDITIONS
By submitting a statement of qualification, the Respondent acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFQ as described below:

City Council 22 – 14 3/1/2022

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A. AMERICANS WITH DISABILITIES ACT
The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 (“ADA”), 42 USC §§ 12101 et seq., and i ts implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the awarded Contractor (or any subcontract thereof), relating to this RFQ , shall be subject to the provisions of this paragraph.

B. CITY RIGHT TO REJECT
The City reserves the right to reject any or all statements of qualifications submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFQ or otherwise.

The City reserves the right to accept or reject the combined or separate components of this statement of qualifications in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the statement of qualification.

C. CONFLICT OF INTEREST
Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor’s employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor’s efforts shall include, but not be limited to, establi shing precautions to prevent its employees, agents, and Subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City.

Each Respondent must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFQ. Any such relationship that might be perceived or represented as a conflict should be disclosed.

The City reserves the right to disqualify any Respondent on the grounds of actual or apparent conflict of interest.

No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract.

D. CONTRACTOR’S EXPENSE
Pre-Contractual Expenses: The City is not liable for any costs incurred by Respondents prior to entering into a formal contract. Costs of developing a response to this RFQ, are entirely the responsibility of the Respondent, and shall not be reimbursed in any manner by the City. Pre -contractual expenses are not to be included in the cost statement of qualification. Pre-contractual expenses include, but are not limited to, preparation of the statement of qualification, submission of the statement of qualifications and additional information, attendance at pre- statement of qualifications conference, negotiating any matter related to this RFQ with City, and/or any other expenses incurred by the Respondent prior to the date of award and execution, if any, of the contract.

City Council 22 – 15 3/1/2022

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Other Expenses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract.

E. CONTRACTOR’S PROJECT MANAGER/KEY PERSONNEL
Except as formally approved by the City, the key personnel identified in Contractor’s statement of qualificationsshall be the individuals who will actually complete the work.

Changes in staffing must be reported in writing and approved by the City. The City shall have the right to require the removal and replacement of the Contractor’s Project Manager and key personnel under the awarded contract. The City shall notify the Contractor in writing of such action. The City is not required to provide any reason, rationale, or additional factual information if it elects to request any specific key personnel be removed from performing services under the awar ded contract. The City shall review and approve the appointment of the replacement for the Contractor’s personnel. Said approval shall not be unreasonably withheld.

Standards of Conduct: Contractor’s personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City.

Criminal Background Certification: Contractor certifies that all employees working on this contract have had a criminal background check at Contractor’s cost and that said employees are clear of any sexual and drug -related convictions. Contractor further certifies that all employees hired by Contractor or Subcontractor shall be free from any felony convictions. City reserves the right to require Contractor to pay fingerprinting fees for personnel assigned to work in sensitive areas.

F. COST
The price and amount of the Cost Proposal/Fee Schedule must have been arrived at independently and without consultation, communication, agreement or disclosur e with or to any other Subcontractor, Respondent or prospective Respondent.

Prices offered by Respondents in their proposals are an irrevocable offer for the term of the contract and any contract extensions. The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFQ. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal.

G. DATA RETENTION
Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City.

All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times remain the property of the City. Such data or information may not be used or copied for direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract.

All data, documents and other products used, developed, or produced during response preparation of the RFQ will become property of the City. All responses to the RFQ shall City Council 22 – 16 3/1/2022

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become property of the City. Respondent information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act.

H. DRUG-FREE WORKPLACE
The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug -free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts.

I. EXAMINATION
Respondent represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFQ and that it is capable of effectively and efficiently performing quality work to achieve the City’s objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFQ are fully incorporated.

Any irregularities or lack of clarity in the RFQ should be brought to the designated City Contact/Project Manager’s attention as soon as possible so that corrective addenda may be furnished to prospective Respondents.

Statements of qualification s which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected.

J. EXECUTION OF AGREEMENT
Upon successful negotiations, the City and the selected Respondent will enter into an Agreement similar to that as shown in E xhibit A in the Appendix of this RFQ . If a Respondent is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFQ, the City reserves the right to select the next most qualified Respondent or call for new statement s of qualifications, whichever the City deems most appropriate.

K. JOINT OFFERS/SUBCONSULTANTS
Where two or more Respondents desire to submit a single statement of qualifications in response to this RFQ , they should do so on a prime sub- consultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub-consultants be offered, the Respondent shall provide the same assurances of competence for the sub-consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub-consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub-consultants in the same manner as the Respondent.

The City reserves the right to reject, replace and approve any and all Subcontractors.

All Subcontractor(s) shall be identified in the response to the RFQ and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such Subcontractors.

L. INDEPENDENT CONTRACTOR
Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an City Council 22 – 17 3/1/2022

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employee of City. Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers’ compensation or other fringe benefits of any kind through City.

M. LITIGATION STATUS
Each Respondent must include in its statement of qualifications a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Respondent or in which the Respondent has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any statement of qualification. The City reserves the right to reject any statement of qualifications based upon the Respondent’s prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures.

N. NEGOTIATIONS
The City reserves the right to negotiate final contract terms with any Respondent selected. The contract between the parties will consist of the RFQ together with any modifications thereto, and the awarded Contractor’s statement of qualification, together with any modifications and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. I n the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFQ, any modifications and clarifications to the awarded Contractor’s statemen t of qualification, and the awarded Contractor’s statement of qualification. Specific exceptions to this general rule may be noted in the final executed contract.

Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFQ.

O. PROJECT MANAGER
The selected Respondent will assume responsibility for all services in its statement of qualification. The selected Respondent shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement.

P. STATEMENT OF QUALIFICATION SVALIDITY
Services, pricing, and warranties indicated in a Respondent’s statement of qualifications must be valid for a period of 90 days at minimum after the submission of the statement of qualification.

Q. PUBLIC AGENCIES
Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor’s acceptance. The City is not liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency.

City Council 22 – 18 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 14 of 29

R. PUBLIC RECORDS
Statements of qualifications will become public record after the award of a contract unless the statement of qualifications or specific parts of the statement of qualifications can be shown to be exempt by law. Each Respondent may clearly label all or part of a statement of qualifications as "CONFIDENTIAL" provided that the Respondent thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Respondent information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act.

S. SUBCONTRACTORS
Statements of qualifications in response to this RFQ must identify any Subcontractors, and outline the contractual relationship between the Awarded Subc ontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as part of the statement of qualifications submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor’s obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work.

The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFQ , and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors.

XI. AWARD OF AGREEMENT

Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms.

A. EXECUTION OF AGREEMENT
A standard agreement is included as Exhibit A of this RFQ. “ Respondent” will hereinafter be referred to as “Consultant” or “Contractor” in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved.

XII. IMPLEMENTATION

A. KICK-OFF MEETING
A kick-off meeting will be held after award of contract. Contractor and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process.

B. NOTICE TO PROCEED
Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved.

City Council 22 – 19 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 15 of 29

I. DESCRIPTION
The City of Santa Ana is seeking statements of qualifications from a qualified firm to provide legislative advocacy services. The firm works under the policy direction of the Mayor and City Council and is administratively responsible to the City Manager. The principle responsibility of the firm will be to provide legislative advocacy services to augment the City’s existing relationships with federal legislators and policy administrators.

II. SCOPE OF SERVICES

1. HELP SET LEGISLATIVE PRIORITIES: Work with the City Council, the City Manager, and other City staff to discuss goals, objectives, opportunities and priorities.

2. ADVOCATE ON THE CITY’S BEHALF: Advocate the City’s position to members of the State Assembly, State Senate, State agencies, and other interested parties. Identify opportunities for elected officials and City officials to participate in the legislative process and make recommendations. Those opportunities include, but are not limited to, communication to legislators, providing testimony at legislative hearings, and communication with the Governor and the Governor’s staff.

3. LEGISLATIVE RESEARCH AND ANALYSIS: At the request of the City, research, provide information, and prepare written reports on a variety of topics, including, but not limited to, the following:
a. State laws/regulations or proposed legislation
b. Legislative hearings, reports and testimony
c. State funding opportunities
d. Reporting and data that may impact City operations

4. KEEP THE CITY UPDATED ON PERTINENT LEGISLATION: Provide updates on state legislation that affects the City’s legislative priorities. Identify potential future legislative issues or opportunities that may interest the City, and help position the City to benefit from new laws/regulations/policies, programs, or funding opportunities.

5. RELATIONSHIP-BUILDING WITH THE STATE: Support a positive relationship with the Governor's office, State Legislature, Governor’s office, and other State agencies. Assist in establishing relations between councilmembers/City staff and legislative persons, including chairs and consultants of key committees and other important policymakers. Coordinate meetings with State Legislators and state agency leaders to provide the City the opportunity to meet with key decision-makers on pertinent City issues.

6. RELATIONSHIP-BUILDING WITH LOCAL AND REGIONAL PARTNERS ON STATEWIDE ISSUES:

When appropriate, coordinate and cooperate with other organizations, municipalities, companies and firms having similar legislative objectives as the City. Where appropriate, advocate positions on legislation and work to secure language in law that will advance the City’s interests.

7. PREPARE POSITION LETTERS AND DRAFT LEGISLATVE LANGUAGE: At the request of the City, assist with drafting position letters on legislation or language for City policy resolutions.

8. MONTHLY REPORTS: Provide regular updates on the political landscape in Sacramento to help provide context, and identify opportunities and potential issues. Provide monthly reports of activities pursued or

EXHIBIT A

SCOPE OF SERVICES
City Council 22 – 20 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 16 of 29

accomplished on behalf of the City.

9. ANNUAL IN-PERSON MEETING REQUIRED: Arrange for an annual visit to the City of Santa Ana for a legislative committee meeting and/or to meet with the City Manager and/or designated City officials.

10. FPPC FILINGS: Prepare and file all applicable Fair Political Practices Commission lobbying documents and reports within all applicable deadlines, per the provisions of the Political Reform Act of 1974 as amended.

Provide the City notification of any changes or modifications that may be pertinent.

City Council 22 – 21 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 17 of 29

THIS AGREEMENT is made and entered into on this day of , 2022 by and between ___________________________________________________________, (“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 December 23, 2021, the City issued Request for Statement of qualifications No. 22-005, by which it sought statement of qualification s from qualified firms to provide _________________________ in accordance with

B. Consultant submitted a responsive statement of qualificationsthat was selected by the City. Consultant represents that Consultant is able and willing to provide such services described in the scope of services that was included in RFQ No. 22-005

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 those services as collectively describe in Exh ibit A, the scope of services that was included in RFQ No. 20-005, and Exhibit B, Consultant’s statement of qualificationsdated ______, 2020, both of which are attached and incorporated by reference.

2. COMPENSATION

a. City agrees to pay, and Consultant agrees to accept as total payment for its services the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $________ during the intial term of this Agreement. This amount is comprised of (1) the sum of $________ and (2) a 10% contingency of up to $__ ____ for services as may be performed by Consultant at the sole discretion of City.

b. Payment by City shall be made within forty- five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.

3. TERM

This Agreement shall commence on [enter a Start Date or “the date first written above”] and terminate on ________, unless terminated earlier in accordance with Section 14 below. The term of this Agreement may

EXHIBIT B

SAMPLE AGREEMENT
City Council 22 – 22 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 18 of 29

be extended for two additional (2) one -year periods upon a writing executed by the City Manager and th e City Attorney.

4. INDEPENDENT CONTRACTOR

Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar tax es relating to employees and shall be responsible for all applicable withholding taxes.

5. OWNERSHIP OF MATERIALS

This Agreement creates a non -exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, design s, 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 perp etual 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 i n regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

6. INSURANCE

Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant’s operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, 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.

City Council 22 – 23 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 19 of 29

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 s elf-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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. v. 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.

7. INDEMNIFICATION

Consultant agrees to defend, and shall indemnify and hold harmless the C ity, 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 deat h, 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 a grees 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.

8. RECORDS

Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this City Council 22 – 24 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 20 of 29

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. Consu ltant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

9. CONFIDENTIALITY

If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not onl y written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.

10. CONFLICT OF INTEREST CLAUSE

Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.

11. NOTICE

Any notice, tender, demand, delivery, or other communica tion 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:

City Council 22 – 25 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 21 of 29

Daniel Soto
Management Assistant
City Manager’s Office
City of Santa Ana
20 Civic Center Plaza (M-31)
P.O. Box 1988
Santa Ana, California 92702

City Attorney’s Office
City of Santa Ana
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, CA 92702

To Consultant:

A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

12. EXCLUSIVITY AND AMENDMENT

This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms o f 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.

13. ASSIGNMENT

Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City.

14. TERMINATION

First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
City Council 22 – 26 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 22 of 29

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 b. 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. c. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

15. NONDISCRIMINATION

Consultant shall not di scriminate 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.

16. JURISDICTION - VENUE

This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

17. PROFESSIONAL LICENSES

Consultant shall, throughout the term of this Agreement, maintain all necessary lic enses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.

18. MISCELLANEOUS PROVISIONS
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

City Council 22 – 27 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 23 of 29

Daisy Gomez Kristine Ridge
Clerk of the Council City Manager

APPROVED AS TO FORM:

SONIA R. CARVALHO CONSULTANT:

City Attorney

By:

Assistant City Attorney
Tax ID#

RECOMMENDED FOR APPROVAL:

Kathryn Downs
Executive Director
Finance & Management Services Agency

SAMPLE ONLY

(name)
(title)
Tax ID#

City Council 22 – 28 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 24 of 29

List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the statement of qualificationsspecifications.

Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications.

Reference

Customer Name:___________________________ Contact Individual: ____________________________

Address: _________________________________ Phone Number: ______________________________

________________________________ Facsimile Number: ____________________________

Contract Amount: __________________________ Year: ______________________________________

Description of supplies, equipment, or services provided:

________________________________________________________________________________________

Reference

Customer Name:___________________________ Contact Individual: ____________________________

Address: _________________________________ Phone Number: ______________________________

________________________________ Facsimile Number: ____________________________

Contract Amount: __________________________ Year: ______________________________________

Description of supplies, equipment, or services provided:

________________________________________________________________________________________

Reference

Customer Name:___________________________ Contact Individual: ____________________________

Address: _________________________________ Phone Number: ______________________________

________________________________ Facsimile Number: ____________________________

Contract Amount: __________________________ Year: ______________________________________

Description of supplies, equipment, or services provided:
________________________________________________________________________________

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE STATEMENT OF QUALIFICATION.

STATEMENT OF QUALIFICATIONS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT A

REFERENCES
City Council 22 – 29 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 25 of 29

Respondent understands and agrees that this written RFQ (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter C ity) shall constitute the entire agreement between Respondent and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to Respondent or deposited with the United States Postal Service properly addressed to the Respondent with the correct postage affixed thereto.

Respondent further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City’s legal holidays), or the funds, check, draft, or Respondent’s bond substituted in lieu thereof accompanying this statement of qualificationsshall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or Respondent’s bond substituted in lieu thereof shall be returned to the undersigned.

Respondent understands that a statement of qualificationsis required for the entire work, that the estimated quantities set forth in the RFQ schedule are solely for the purpose of comparing statement of qualifications, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed.

All terms contained in the specifications, the certification of nondiscrimination by contractor s, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFQ.

Firm________________________________________________________________________________

Signed and Printed Name: ______________________________________________________________

Title ________________________________________________________________________________

Date _______________________________________________________________________________

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE STATEMENT OF QUALIFICATION.

STATEMENT OF QUALIFICATIONS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT B

RESPONDENT’S STATEMENT
City Council 22 – 30 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 26 of 29

(Title 23 United States Code Section 112 and Public Contract Code Section 7106)

To the CITY OF SANTA ANA

In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the Respondent declares that the statement of qualificationsis not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the statement of qualificationsis genuine and not collusive or sham; that the Respondent has not directly or indirectly induced or solicited any other Respondent to put in a false or sham statement of qualification, and has not directly or indirectly colluded, conspired, connived or agreed with any Respondent or anyone else to put in a sham statement of qualification, or that anyone shall refrain from bidding; that the Respondent has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the statement of qualificationsprice of the Respondent or any Respondent, or to fix any overhead, profit, or cost element of the statement of qualificationsprice, or of that of any other Respondent, 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 statement of qualificationsare true; and, further, that the Respondent has not, directly or indirectly, submitted his or her statement of qualificationsprice 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 statement of qualification.

Note: The above noncollusion affidavit is part of the statement of qualification. Signing this statement of qualificationson the signature portion thereof shall also constitute signature of this noncollusion affidavit.

Respondents are cautioned that making a false certification may subject the certifier to criminal prosecution.

Signed____________________________________________________________________________

State of California, County of __________________________________________________________

Subscribed and sworn to (or affirmed) before me on this________ day of_____________, 20____, by ________________________, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me.

________________________
Notary Public Signature Notary Public Seal

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE STATEMENT OF QUALIFICATION.

STATEMENT OF QUALIFICATIONS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT C

NON-COLLUSION AFFIDAVIT
City Council 22 – 31 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 27 of 29

The prospective participant certifies, by signing and submitting this bid or statement of qualification, 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 under signed 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 statement of qualificationsthat he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly.

Signed:

Title:

Firm:

Date:

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE STATEMENT OF QUALIFICATION.

STATEMENT OF QUALIFICATIONS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

ATTACHMENT D

NON-LOBBYING CERTIFICATION
City Council 22 – 32 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 28 of 29

The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows:

1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretar y 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 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law.

ATTACHMENT E

NON-DISCRIMINATION CERTIFICATION
City Council 22 – 33 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services Page 29 of 29

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 Califor nia Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter.

Signed:

Title:

Firm:

Date:

THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE STATEMENT OF QUALIFICATION.

STATEMENT OF QUALIFICATIONS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE.

City Council 22 – 34 3/1/2022

AGREEMENT WITH TOWNSEND PUBLIC AFFAIRS

FOR STATE LEGISLATION ADVOCACY SERVICES

THIS AGREEMENT is made and entered into this 1st day of March, 2022, by and between Townsend Public Affairs , 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. On December 23, 2021, the City issued Request for Qualifications No. 22-005, by which it sought proposals from qualified firms to provide state legislative advocacy services on the City’s behalf.

B. Consultant submitted a responsive proposal that was selected by the C ity.

Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFQ No. 22-005.

C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.

NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:

1. SCOPE OF SERVICES

Consultant shall perform the services described in the scope of work that was included in RFQ No. 2 2-005, which is attached as Exhibit A, and as further delineated in Consultant’s proposal, which is attached as Exhibit B and incorporated in full.

2. COMPENSATION

a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B for Contract Years 1 through 4. The total annual sum to be expended shall not exceed $60,000 for Contract Years 1 and 2 and $66,000 for Contract Years 3 and 4 (year 4 only if Agreement is extended pursuant to Section 3 below).

b. Consultant shall not be reimbursed for any expenses unless authorized in writing by City.

c. 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.

City Council 22 – 35 3/1/2022

3. TERM

This Agreement shall commence on the date first written above and terminate on February 28, 2025, unless terminated earlier in accordance with Section 1 6, below. The term of this Agreement may be extended for one 1-year period upon a writing executed by the City Manager and City Attorney.

4. INDEPENDENT CONTRACTOR

Consultant shall, during the entire 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 j oint 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 sh all be responsible for all applicable withholding taxes.

5. OWNERSHIP OF MATERIALS

This Agreement creates a non -exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual pr operty 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 sub contractors to agree in writing that City is granted a non- exclusive and perpetual license for any Documents & Data the subcontractors 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 rep resentation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.

6. INSURANCE

Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below:

a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant ’s operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of City Council 22 – 36 3/1/2022

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 b y 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, 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 sh all be furnished to the City upon execution of this Agreement and shall be approved by the City.

(iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City.

(iv) Consultant shall supply City with a fully executed additional insured endorsement.

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.

City Council 22 – 37 3/1/2022

7. INDEMNIFICATION

Consultant 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 Consultant or its Consultant s, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement.

This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by t he 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 t erms 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 of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.

8. INTELLECTUAL PROPERTY INDEMNIFICATION

Consultant 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 Consultant to the City pursuant to this Agreement.

9. RECORDS

Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.

10. CONFIDENTIALITY

If Consultant receives from the City information which due to the nature o f such City Council 22 – 38 3/1/2022

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 u ses 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 tran sferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.

11. CONFLICT OF INTEREST CLAUSE

Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.

12. NOTICE

Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:

To City:

Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988

With courtesy copies to:

City Manager
City of Santa Ana
20 Civic Center Plaza (M-31)
P.O. Box 1988
Santa Ana, California 92702

To Consultant: Townsend Public Affairs, Inc.

Attn: Christopher Townsend, President
925 L Street, Suite 1404
Sacramento, CA 95814

City Council 22 – 39 3/1/2022

A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded.

13. EXCLUSIVITY AND AMENDMENT

This Agreement represents the complete and exclusive statement between the City and Consultant 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 Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein.

14. ASSIGNMENT

Inasmuch as this Agreement is intended to secure the specialized services of Consultant , Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City’s prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City.

15. 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.

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:

City Council 22 – 40 3/1/2022

a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.

b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.

17. NON-DISCRIMINATION

Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender ex pression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations.

18. JURISDICTION-VENUE

This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.

19. PROFESSIONAL LICENSES

Consultant shall, throughout the 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.

City Council 22 – 41 3/1/2022

IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.

ATTEST: CITY OF SANTA ANA

________________________ _________________________
Daisy Gomez Kristine Ridge
Clerk of the Council City Manager

APPROVED AS TO FORM TOWNSEND PUBLIC AFFAIRS
SONIA R. CARVALHO
City Attorney

By: _____________________ ____________________________ John M. Funk Name:

Sr. Assistant City Attorney Title:

City Council 22 – 42 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services
I. DESCRIPTION
The City of Santa Ana is seeking statements of qualifications from a qualified firm to provide legislative advocacy services. The firm works under the policy direction of the Mayor and City Council and is administratively responsible to the City Manager. The principle responsibility of the firm will be to provide legislative advocacy services to augment the City’s existing relationships with federal legislators and policy administrators.

II. SCOPE OF SERVICES

1. HELP SET LEGISLATIVE PRIORITIES: Work with the City Council, the City Manager, and other City staff t
o discuss goals, objectives, opportunities and priorities.

2. ADVOCATE ON THE CITY’S BEHALF: Advocate the City’s position to members of the State Assembly, State Senate, State agencies, and other interested parties. Identify opportunities for elected officials and C
ity officials to participate in the legislative process and make recommendations. Those opportunities include, but are not limited to, communication to legislators, providing testimony at legislative hearings, a nd c
ommunication with the Governor and the Governor’s staff.

3. LEGISLATIVE RESEARCH AND ANALYSIS: At the request of the City, research, provide information, and pr
epare written reports on a variety of topics, including, but not limited to, the following:
a. State laws/regulations or proposed legislation
b. Legislative hearings, reports and testimony
c. State funding opportunities
d. Reporting and data that may impact City operations

4. KE
EP THE CITY UPDATED ON PERTINENT LEGISLATION: Provide updates on state legislation that affects the City’s legislative priorities. Identify potential future legislative issues or opportunities that may interest the City, and help position the City to benefit from new laws/regulations/policies, programs, or funding opportunities.

5. RELATIONSHIP-BUILDING WITH THE STATE: Support a positive relationship with the Governor's office, State Legislature, Governor’s office, and other State agencies. Assist in establishing relations betwee n c
ouncilmembers/City staff and legislative persons, including chairs and consultants of key committees an d ot
her important policymakers. Coordinate meetings with State Legislators and state agency leaders to provide the City the opportunity to meet with key decision-makers on pertinent City issues.

6. R
ELATIONSHIP-BUILDING WITH LOCAL AND REGIONAL PARTNERS ON STATEWIDE ISSUES:

When appropriate, coordinate and cooperate with other organizations, municipalities, companies and firms having similar legislative objectives as the City. Where appropriate, advocate positions on legislation an d
w
ork to secure language in law that will advance the City’s interests.

7. PREPARE POSITION LETTERS AND DRAFT LEGISLATVE LANGUAGE: At the request of the City, assist with drafting position letters on legislation or language for City policy resolutions.

8. MONTHLY REPORTS: Provide regular updates on the political landscape in Sacramento to help provid e c
ontext, and identify opportunities and potential issues. Provide monthly reports of activities pursued or

EXHIBIT A
SC

OPE OF SERVICES

EXHIBIT A
City Council 22 – 43 3/1/2022

CITY OF SANTA ANA
RFQ No. 22-005 State Legislative Advocacy Services
accomplished on behalf of the City.

9. ANNUAL IN-PERSON MEETING REQUIRED: Arrange for an annual visit to the City of Santa Ana for a l
egislative committee meeting and/or to meet with the City Manager and/or designated City officials.

10. F
PPC FILINGS: Prepare and file all applicable Fair Political Practices Commission lobbying documents and r
eports within all applicable deadlines, per the provisions of the Political Reform Act of 1974 as amended.

Provide the City notification of any changes or modifications that may be pertinent.

City Council 22 – 44 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 1 Table of Contents
Proposal for State
Legislative Advocacy Services
January 21, 2022
City Council 22 – 45 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 2 January 21, 2022
Daniel A. Soto, Management Assistant
City of Santa Ana – City Manager’s Office
20 Civic Center Plaza
Santa Ana, CA 92701
Dear Mr. Soto:

Thank you for the opportunity for Townsend Public Affairs, Inc. (“TPA”) to submit our proposal for Legislative Advocacy Services to the City of Santa Ana (“City”).

TPA has been proud and honored to serve as the state legislative advocate for the City over the past 22 years. During our tenure, TPA has demonstrated its focused and unwavering commitment to the legislative platform and funding priorities of the City, securing over $ 79. 4 million in funding for the City, while serving as an extension of the City staff.

Since its inception in 1998, TPA has earned the reputation as Champions for Better Communities by providing the experience, resources, and relationships expected from a premier legislative advocacy and grant writing firm while also giving clients the unique brand of customer service they deserve: personal attention, maximum accessibility, and passion for their mission.

Our strategic approach to advocacy and funding is tailored to meet the individual needs of each client by leveraging the breadth and depth of our team as well as our vast network of relationships with key stakeholders and decision makers.

Utilizing this method on behalf of our clients, TPA has shepherded over 100 legislative and regulatory proposals into law, and secured over $ 2.2 billion in grants from state, federal, and local government agencies as well as nonprofit foundations and private companies.

Thank you again for your interest in our firm and your consideration of this proposal. This statement of qualifications will be valid for ninety ( 90) days. Please contact us if you have any questions or need additional information. We would be honored to continue to serve the City of Santa Ana.

Yours truly,
Christopher Townsend
President
Principal who can make legally binding commitments for TPA City Council 22 – 46 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 3

2. STATEMENT OF AGREEMENT
City Council 22 – 47 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 4

3. FIRM & TEAM EXPERIENCE
i. A GENERALDESCRIPTIONOF THEFIRM, INCLUDINGSIZE, NUMBER OF EMPLOYEES, NUMBER OF

CREDENTIALEDACTUARIESWITH THEIR AFFILIATIONS, AND ANY PAST OR CONTEMPLATED CHANGESIN OWNERSHIP.

TPA is a state and federal legislative advocacy and grant writing firm that provides lobbying and funding services to public agencies and nonprofit organizations throughout California.

Founder/ Owner/ President: Christopher Townsend
Advocacy Success: Shepherded over 100 client- sponsored legislative proposals into law Funding Success: Over $ 2.2 billion in state, federal, and local government grants as well as grants from nonprofit organizations and private companies Longevity: 23 years ( founded in 1998)
Number of Employees: 16
Number of Registered State and Federal Lobbyists and Grant Writers: 13 Number of Offices: Five
o TPA State Capitol Office, Sacramento
o TPA Federal Office, Washington, DC
o TPA Northern California Office, Oakland
o TPA Central California Office, Fresno
o TPA Southern California Office, Newport Beach
Types of Clients:
o City Governments
o County Governments
o Water and Sanitation Districts
o Transportation Districts
o K-12 School Districts
o Community College Districts
o Parks and Recreation Districts
o Fire Protection Districts
o Museums, Science Centers, and Cultural Facilities
Ranking by Revenue Reported to the California Secretary of State:
o 7thof 486 Firms Registered for 2019- 20 Legislative Session o 98thPercentile
Changes in Ownership: None
City Council 22 – 48 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 5

EXPERIENCE
ii. NAME AND CONTACT INFORMATION OF THE LEAD PROJECT MANAGER TO BE ASSIGNED TO THE ENGAGEMENT.

Lead Project Manager: TPA Vice President Casey Elliott
Contact Information:

Address: 925 L Street, Suite 1404, Sacramento, CA 95814 Email Address: celliott@townsendpa. com
Phone Number: ( 916) 447- 4086
iii. RESUMES FOR THE PROFESSIONAL STAFF ASSIGNED TO THE ENGAGEMENT.

CLIENT SERVICE TEAM
With a team of 13 legislative and funding advocates, TPA has the breadth and depth of experience AND the ability to deploy as many advocates as needed to maximize success for the City while minimizing the burden on City staff. TPA proposes a dedicated a team of five advocates to perform state legislative advocacy services for the City:

1. Christopher Townsend
President
Project Role: Senior Strategic Advisor

2. Casey Elliott
Vice President
Project Role: Lead Project Manager and Legislative Advocate

3. Cori Takkinen
Vice President
Project Role: Legislative Advocate

4. Niccolo De Luca
Vice President
Project Role: Legislative Advocate

5. Carly Shelby
Legislative Associate
Project Role: Legislative Advocate
The TPA State Capitol Office is located across the street from the State Capitol building, which allows us to engage with key decision makers in a timely manner. The City may also access the TPA State Capitol office as a venue for advocacy meetings or a temporary work area when City staff visits Sacramento. Additionally, the TPA Southern California Office, located in Newport Beach, gives TPA the ability to meet in-person with City staff and departments with little notice.

Resumes for each member of the client service team are included on the following pages City Council 22 – 49 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 6

EXPERIENCE
Christopher Townsend, President: Christopher founded TPA in 1998 and has 40 years of experience in public affairs, legislative advocacy, and grant writing. Christopher and TPA have represented over 315 clients, including 235 local public agencies, such as cities, counties, transportation agencies, water and sanitation districts, elementary and secondary school districts, community college districts, park and recreation districts, and other special districts, as well as nonprofit organizations.

Townsend Public Affairs, Inc.

President 1998- Present
Christopher provides leadership to a team of 13 advocates and grant writers while managing the development and implementation of strategies for the agendas of each client. His achievements include:

Under Christopher’ s leadership, TPA has become one of the most successful advocacy firms in California ( and is continually recognized as a “top ten” firm registered with the California Secretary of State) while still providing the personalized attention and focus of a small boutique firm.

Under Christopher’ s leadership, TPA has shepherded over 100 legislative and regulatory proposals into law over a wide range of policy areas, including local governance, water and sanitation, transportation, housing and economic development, parks and natural resources, historical and cultural resources, elementary and secondary education, higher education, and public safety. The bipartisan capabilities of the firm are evidenced by legislative and funding successes over the tenure of several federal and state administrations, including: President Bill Clinton, George W. Bush, Barack Obama, Donald Trump, and Governors Pete Wilson, Gray Davis, Arnold Schwarzenegger, Jerry Brown, and Gavin Newsom.

Christopher and his team have secured over $ 2.2 billion in local, regional, state, and federal government grants as well as private and nonprofit grants for a multitude of legacy projects in the policy sectors of water and sanitation, transportation, education, housing and economic development, parks and natural resources, historical and cultural resources, and public safety.

Maintains close bi-partisan relationships with several members of the California Congressional delegation, including Senators Feinstein and Padilla, and Representatives Correa, Torres, Lowenthal, Porter, Levin, Lee, Swalwell, Napolitano, Garamendi, Carbajal, Desaulnier, Sanchez, Lieu, Harder, McNerney, Calvert, Garcia, Steel, and Kim.

Christopher and TPA have participated in the development and implementation of several California bond propositions for the statewide ballot to provide capital funding for major infrastructure projects, including water and sanitation, transportation, education, housing and economic development, parks and natural resources, and historical and cultural resources, including Propositions 1, 1B, 1C, 1D, 1E, 12, 13, 14, 40, 47, 50, 55, 68 and 84. Most recently, Christopher worked closely with the State Legislature and the Governor’s office on the drafting of SB 5 ( De Leon), which authorized a $ 4 billion park bond that was approved on the November 2018 statewide ballot as Proposition 68.

City Council 22 – 50 3/1/2022
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EXPERIENCE
In 1999, Christopher was appointed by Assembly Speaker Antonio Villaraigosa to serve on the Speaker’s Commission on State and Local Government Finance.

In 1997, Christopher was appointed by Assembly Speaker Cruz Bustamante to serve on the California Film Commission.

PepsiCo/ Taco Bell Corp., Irvine, CA
Senior Director, Government & Community Affairs 1992- 1998 Christopher managed and directed government and media relations, crisis management, internal communications, and marketing publicity. Christopher also managed the political action committee for state and federal political races. Additionally, Christopher managed community relations initiatives, corporate philanthropy, and the Taco Bell Foundation.

Stein- Brief Group, Inc., Dana Point, CA
Vice President, Public Affairs 1982- 1992
Christopher directed government, community, and media relations at the level, state, and federal levels, including the management of all political, civic, charitable, and cultural activities.

Christopher provided land- use planning and entitlement process analysis for domestic and international projects. Christopher also managed activities with numerous state and federal agencies to ensure compliance with all applicable laws and regulations governing land use.

Finally, Christopher created and directed a political action committee that supported various local, state, and federal candidates and ballot initiatives.

JFK School of Government, Harvard University, Cambridge, MA Master of Public Administration 1991
Claremont McKenna College, Claremont, CA
Bachelor of Arts, Political Science, Magna cum Laude, Political Science Honors Prize 1982 Coro Fellow
Southern California 1981
Harry S Truman Scholar
California 1980
City Council 22 – 51 3/1/2022
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EXPERIENCE
Casey Elliott, Vice President: Casey brings 20 years of legislative and public policy experience to TPA. Casey develops and implements legislative strategies for local public agency clients throughout California. Casey maintains relationships with key members and staff of the State Legislature, the Administration, and select state agencies. Casey has expertise in the policy sectors of municipal finance, budget, redevelopment, education, local governance, water resources, parks and recreation, and cultural resources.

Townsend Public Affairs, Inc.

Vice President 2006- Present
As Vice President, Casey oversees a team of 13 TPA lobbyists registered with the California Secretary of State. Casey provides timely expert analysis of legislative and budget proposals introduced each legislative session for their potential effect on TPA clients. Some of Casey’s accomplishments include:

Working with the City of Santa Ana and the City of Oakland, Casey helped advance legislation and state budget requests to secure funding for California’s largest cities to help address issues surrounding homelessness. These efforts culminated in the creation of the Homeless Emergency Aid Program ( HEAP). Approved as part of the 2018 state budget, HEAP provided a $ 500 million block grant program designed to provide direct assistance to cities and counties to address the homelessness crisis. HEAP contained a specific pot of funding for large cities, including a combined $ 12. 3 million for Oakland and Santa Ana.

Building on the success of the HEAP program, in 2019 the State Budget created the Homeless Housing, Assistance and Prevention ( HHAP) Grant Program, a $ 650 million grant that provides local jurisdictions with funds to support regional coordination and expand or develop local capacity to address their immediate homelessness challenges.

The HHAP program maintained dedicated funding for California’s largest cities, including a combined $ 28.1 million for the cities of Oakland and Santa Ana.

Through his work with the Department of Finance, the Legislature, and the Office of the Governor, Casey has been able to lessen the impact of RDA dissolution on TPA clients.

Specific outcomes include: having over $ 35 million in projects in Santa Ana, Lafayette, Brea, and Hayward recognized as enforceable obligations; facilitating accelerated transfer of former RDA assets in Buena Park to allow for new development; and the passage of legislation to allow expenditure of certain development agency bond proceeds.

Casey helped the Rancho Santiago Community College District and Coast Community College District secure over $ 68 million in funding through the State Budget for three capital outlay facilities projects. Casey worked with the districts’ legislative delegation, budget committee staff, and the Community College Chancellor’ s Office to advocate for the priority budget items, including having the projects recommended for funding by the Board of Governors of the California Community Colleges. The funding for these three projects will allow for the design and construction of three new buildings that will provide state of the art learning environments for community college students in Orange County.

Casey worked closely with the City of Lafayette to establish a small business assistance program to help local businesses and non- profits lessen the economic impacts from the City Council 22 – 52 3/1/2022
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EXPERIENCE
coronavirus. Casey was able to work with the City to promote the program, work directly with program participants to connect them with available state and federal resources, and work with businesses to secure funding. Ultimately, the small business assistance program worked with nearly 100 small businesses, which employed nearly 400 workers, and were able to secure over $ 1.5 million in direct funding for the businesses.

Casey helped the Newhall County Water District co-sponsor SB 634 ( Wilk) which established a new water district to serve as the primary water wholesaler and retailer for the Santa Clarita Valley. Casey coordinated efforts with the other impacted water agencies and stakeholders to develop a coalition of local support for the legislation. The legislation, which contained the enabling act for the new district as well as provisions that allowed for a modified LAFCO process, was approved by the Legislature and signed into law by Governor Brown.

Assemblyman Tom Umberg
Legislative Assistant 2006
Casey managed legislation for the Member, including education, workers’ compensation, and school facilities measures. Casey staffed the Member on the Assembly Education committee. He also worked closely with legislative staff, committee consultants, state agencies, and interested parties on legislation. In addition, he advised the Member and Chief of Staff on pending legislation.

Secretary of State
Legislative Coordinator 2005- 2006
Casey briefed the Secretary of State and senior staff members on legislation affecting the agency.

Casey worked with Division Chiefs, senior staff members, and the Secretary of State to develop legislative positions for the agency. Casey also worked with Department of Finance, state agencies, and other interested parties on issues that affected the Secretary of State. In addition, he researched and drafted legislative proposals for the agency.

Secretary of State
Legislative Analyst 2003- 2005
Casey assisted in the research and development of legislation. In addition, Casey worked closely with the State Legislature, Governor’s Office staff, committee consultants, Department of Finance, state agencies, and other interested parties on issues that affected the Secretary of State. Some of Casey’s special projects included staffing various taskforces, assisting in the development of spending plans for legislatively mandated programs, and election- night support.

Office of the Governor
Senior Legislative Assistant 2000- 2003
Casey chaptered all bills that the Governor signed and he processed all vetoed measures. Casey worked closely with the Secretary of State, Chief Clerk of the Assembly, and the Secretary of the Senate throughout the bill chaptering process. Casey also supervised a staff of 10 personnel during the creation and assembly of up to 1500 bill files presented to the Governor.

University of California, Davis
Bachelor of Arts, Political Science 2000
City Council 22 – 53 3/1/2022
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EXPERIENCE
Cori Takkinen, Vice President: Cori brings 12 years of legislative advocacy and public policy experience to TPA. Cori has extensive experience writing grants for various local, regional, state, and federal opportunities. Cori has expertise in the policy sectors of transportation, water resources, infrastructure, sanitation, local governance, parks and recreation, and economic development.

Townsend Public Affairs, Inc.

Vice President 2011- Present
Throughout her tenure at TPA, Cori has been responsible for securing millions in competitive grant funds for local public agency clients. In addition to her expertise on municipal and water infrastructure issues, Cori has a strong network of relationships with State Legislators, key staff, and various state agencies. Some of Cori’s accomplishments include the following:

In the last three years, leveraging relationships with the Orange County legislative delegation, Los Angeles delegation, and Assembly and Senate Leadership, Cori has secured over $ 20 million in State Budget funding for the Discovery Science Foundation.

That funding includes millions of dollars to create parking opportunities in Santa Ana as well as money to fund the continuing operations of the Discovery Cube Orange County through the impacts of COVID- 19. Cori continues to work with the Cube to identify and create state funding opportunities that will bring monies back to Santa Ana.

Cori worked with the City of Santa Ana to secure a direct funding allocation in the FY 2018- 19 State Budget in the amount of $ 4 million to upgrade water infrastructure within the City. TPA worked with the City’s legislative delegation, staff from the Assembly and Senate Budget Committees, and the Department of Finance to ensure funding was included in the State Budget for this critical project to allow the City’s water customers to have real- time access to their water usage, which will help facilitate water conservation and reduce customers’ utility bills.

Cori worked with the Orange County Water District and the Orange County Sanitation District to sponsor AB 2022 ( Gordon). The bill allowed for limited bottling of the highly treated and recycled GWRS water for educational purposes. The bill was the first legislation in the nation that allowed for the direct bottling of advanced treated recycled water. TPA secured bi-partisan support for the legislation and it was signed into law.

Worked closely with the State Legislature and Administration on the development and implementation of Proposition 68, the California Drought, Water, Parks, Climate, Coastal Protection, and Outdoor Access For All Act of 2018. Cori worked in support of a variety of clients to create specific funding opportunities to achieve desired results. In addition to securing funding opportunities for municipalities, Cori’s efforts with Proposition 68 resulted in $ 4.8 million to fund a conservation program at West Coyote Hills in Fullerton as well as $3.46 million to fund science education at the Discovery Cube Orange County.

In the FY 2019- 20 State Budget, Cori worked with 5 municipal clients and 1 nonprofit client to secure $ 20.2 million in budget earmarks for priority projects, including funding for a City Council 22 – 54 3/1/2022
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EXPERIENCE
stormwater treatment facility, historical renovations, park and trail improvements, fire prevention, and children’s science education.

Leveraging relationships with the State Legislature, Cori secured an earmark in the FY17- 18 State Budget in the amount of $ 20 million to form the North Orange County Public Safety Task Force. This Task Force will serve six TPA clients: the cities of Anaheim, Brea, Buena Park, Fullerton, Placentia, and Stanton. These cities will be able to facilitate regional collaborative efforts to combat homelessness, youth violence, and other critical public safety issues in the region.

Cori has been actively engaged in State fire prevention legislation to reduce the risk of fires caused by above ground utilities as well as to provide opportunities for local jurisdictions located in high fire hazard severity zones to receive priority for fire mitigation measures.

Cori worked with the City of Brea to secure over $ 10 million from local, state, and federal sources for the Tracks at Brea project. The project is a four- mile multi- use rail to trail project that will traverse the City. Funding sources include: the US Environmental Protection Agency, California Natural Resources Agency, Strategic Growth Council, California Transportation Commission, and the Southern California Association of Governments.

Cori worked with the City of Laguna Beach to secure $ 59,628 through the FEMA Assistance for Firefighter Grant program. Cori worked closely with FEMA program staff to secure funding for mobile radios and programming equipment that brought the Laguna Beach Fire Department up to P-25 compliance. Bringing the Fire Department into compliance has allowed increased coordination and activity with the California Office of Emergency Services and the State’s Master Mutual Aid Plan.

County of Orange, Board of Supervisors
Policy Advisor for Supervisor John Moorlach 2010
Cori served as a policy advisor for, then- County of Orange Supervisor ( and who is now a Senator in the State Legislature). Cori was responsible for research, analysis, and subsequent recommendations of all policy issues relating to Orange County Public Works as well as state and federal legislation. Cori served as a liaison between the Supervisor and County staff, constituents, and community groups.

Tom Campbell for US Senate Campaign 2010
Chapman University, Orange, CA
Master of Public Administration 2014
Claremont McKenna College, Claremont, CA
Bachelor of Arts Economics and Government with Leadership Sequence 2011 City Council 22 – 55 3/1/2022
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EXPERIENCE
Niccolo De Luca, Vice President: Niccolo brings 24 years of legislative and public policy experience to TPA. Niccolo has expertise in the policy sectors of local governance, parks and recreation, public safety, natural resources, cultural resources, cannabis, and consumer affairs.

Townsend Public Affairs, Inc.

Vice President 2008- Present
Throughout his tenure at TPA, Niccolo has been responsible for dozens of legislative proposals that have been signed into law and secured millions in competitive grant funds for local public agency clients. In addition to his public policy expertise, Niccolo has widespread bi-partisan relationships with Members and staff of the State Legislature, Governor Newsom Administration, and relevant agencies. Some of Niccolo’s accomplishments include:

Niccolo led the TPA efforts to secure $ 33. 1 million in critically needed park funding for cities and nonprofits in the Bay Area, Central Valley, and Southern California. These efforts included working on the funding guidelines, drafting the applications, lobbying for the applications, and working hand in hand with the funding agency. Niccolo was the team lead and instrumental in the many victories of our clients.

Niccolo, in recognizing the need for additional tools to protect public and private infrastructure from natural disasters such as earthquakes, championed legislation to allow cities to create a special assessment district to provide low- cost earthquake retrofit loans in areas with vulnerable housing stock. In addition, Niccolo worked with the City of Oakland and the City of Los Angeles to create the first ever state loan program for seismic retrofits of multi- unit buildings.

Niccolo was a major part of the coalition to help pass the state’s first ever medicinal cannabis regulatory framework legislation. A comprehensive, thorough approach to statewide medicinal cannabis guidelines has been needed for several years. Niccolo served as an instrumental member of the statewide coalition that supported the views of both local government and the industry. Niccolo actively drafted language and advocated with legislators and staff to ensure statewide regulations would be in the best interest of cities. Due to these efforts, Niccolo has been recognized as a policy expert on cannabis policy and has testified before numerous legislative committees on issues related to the statewide implementation of cannabis regulations.

Niccolo assisted the City of Oakland in securing $ 2.2 million in State Budget earmarks in FY14 and FY16. Niccolo coordinated with the Oakland Mayor, State Legislature, Governor’s Office, and appropriate Administration officials to draft the language for inclusion into both budgets. Niccolo’s strategy and execution led to two significant financial wins for the City and their various public safety efforts.

Niccolo worked closely with the City of Oakland to secure four grants in the combined amount of $ 18. 9 million from the Community Oriented Policing Services ( COPS) Hiring Program. Niccolo developed the applications and shepherded them through the grant City Council 22 – 56 3/1/2022
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EXPERIENCE
process, including leveraging relationships with the US Department of Justice and COPS staff, which resulted in critical federal funding for the City to hire additional police officers.

Niccolo worked with the City of Emeryville to secure $ 600, 000 in federal funding from the Pre- Disaster Mitigation Grant Program to finance the cost of seismic retrofitting of the City’s one and only emergency community gathering and housing facility. Niccolo worked closely with the City and Congresswoman Barbara Lee on the application as well as development and execution of an advocacy strategy, including the defeat of a hostile amendment that would have taken the grant away from Emeryville and reverted the funds back to FEMA.

City of Oakland
Deputy City Administrator 2004- 2007
Niccolo was responsible for the daily operations and decision making for the two largest departments ( public works and police department), overseeing a combined annual budget of $323 million. Niccolo also directly supervised four different divisions with 45 employees.

Niccolo provided direct organizational leadership to create a standard operating procedure for a multi- faceted crime reduction initiative, which was adopted by the City Council and resulted in crime reduction. Additionally, Niccolo expanded the number of organized neighborhood public safety gatherings for three consecutive years, with an average of nearly 100 percent annual increase. Furthermore, Niccolo served as lead administrative staff member for three City Council committee, providing expertise and support to the Mayor and City Council in the formulation, interpretation, and application of public policy.

City of Oakland
Assistant Director, Public Works Agency 2001- 2004
Niccolo was responsible for three divisions of the public works department ( including finance and human relations), five direct reports, and 40 staff members. Niccolo oversaw the financial operations of the entire public works department, including revenues and expenditures. Niccolo implemented procedures to reduce the number of worker’s compensation claims subsequently adopted for the entire City.

Niccolo also served as the spokesperson of the public works department and maintained all media relations. Niccolo built strong media relations and served as hearing officer for union grievances, ultimately helping to improve key relationships with affected unions.

City of Oakland
Assistant to Councilmember Richard Spees 1998- 2001
Niccolo served as lead spokesperson for the Council Member within the district. Niccolo improved the overall district- wide public approval rating of the Council Member through grass roots marketing campaigns and new information dissemination strategies. Additionally, Niccolo led constituent services for the district, ensuring proper and efficient service delivery for 58, 000 residents.

University of Oregon
Bachelor of Arts, American History 1997
City Council 22 – 57 3/1/2022
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EXPERIENCE
Carly Shelby, Legislative Associate: Carly brings over three years of government affairs experience to TPA. Carly has state legislative experience in areas such as water, solid waste and recycling, revenue and taxation, housing and land use, community services, pension reform, and budget. Carly has strong relationships with legislative committee staff, members of the legislature, and municipal representatives.

Townsend Public Affairs, Inc.

Legislative Associate 2021 – Present
Since joining TPA, Carly has worked with clients to develop their legislative advocacy agenda In Sacramento. Some of her work includes:

Carly has worked to build advocacy tools for clients such as legislative tracking matrices, policy issue summaries, and fact sheets. These tools allow clients to develop a successful advocacy strategy to achieve positive government actions in Sacramento.

Carly has provided expert analysis and feedback on a variety of policy issues for our clients. She has written letters and official correspondence to bring client concerns to the attention of decision makers in Sacramento while helping navigate the legislative process.

League of California Cities
Legislative and Policy Development Assistant 2017- 2020 Carly was responsible for analyzing legislation and developing strategic policy positions to benefit cities throughout California. Carly also maintained stakeholder relations with various government agencies and government- proxy organizations to implement policy agendas crucial to local government clients.

Press Office of Assembly Speaker Anthony Rendon
Press Intern 2017
Carly worked for Assembly Speaker Anthony Rendon and was responsible for maintaining communications between the legislature and major news outlets as well as communicating the Speaker and Democratic Caucus’ policy agendas.

The California Building Industry Association ( CBIA)
Government Affairs Intern 2016
Carly worked to implement CBIA’s policy agenda with emphasis on the issue areas of housing and land use. Carly also provided strategic campaign support on the CBIA sponsored school bond initiative.

California State University, Sacramento
Bachelor of Arts, Political Science 2021
City Council 22 – 58 3/1/2022
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EXPERIENCE
iv. A DESCRIPTION OF THE FIRM' S EXPERIENCE IN PROVIDING SIMILAR SERVICES TO THOSE REQUESTED IN THIS RFQ.

TPA EXPERIENCE PROVIDING ADVOCACY SERVICES
TPA is one of the largest advocacy firms in California and is continually recognized as a “top ten” firm registered with the California Secretary of State. TPA has provided customized legislative and funding advocacy for 235 local public agencies throughout the State of California including the Big 13 cities of Santa Ana, Oakland, Fresno, Anaheim, and Bakersfield.

TPA’s proven methods providing legislative and funding advocacy have generated significant victories on behalf of our clients. Since 1998, TPA has worked with the Legislature and Executive branches to shepherd over 100 client- sponsored bills into law and secure over $ 2.2 billion in funding for our clients’ priority projects. Our policy expertise includes, but not limited to transportation, cultural and historical resources, housing, economic development, public safety, parks and recreation, water and sanitation, and education.

TPA EXPERIENCE WITH THE CITY OF SANTA ANA
TPA was born in Santa Ana and has worked for over 20 years to be an effective legislative advocate, shepherding City sponsored bills into law and securing funding for legacy projects.

TPA has been privileged to work not only with the City of Santa Ana, but with many of the public and non- profit institutions that deliver services to residents. In addition to the City, TPA has provided advocacy and/ or grant funding services to:

Rancho Santiago Community College District
Orange County Water District
Discovery Cube Orange County
Santa Ana Unified School District
Orange County High School of the Arts
Orange County Educational Arts Academy
Bowers Museum
Latino Health Access
Our work with these clients has resulted in hundreds of millions of dollars being delivered to the City of Santa Ana to create new facilities, expand existing operations, and deliver increased levels of service to the residents of Santa Ana and the surrounding region.

City Council 22 – 59 3/1/2022
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EXPERIENCE

TPA FUNDING ACHIEVEMENTS ON BEHALF OF THE CITY OF SANTA ANA In additional to state legislative advocacy, TPA has also provided information and advocated on behalf of City funding applications at the state level, securing over $ 83.4 million Funding Program and City Project Amount Awarded
Project Grant: Delhi Community Center $ 2,200, 000
Project Grant: Delhi Community Center $ 800, 000
Proposition 84 Statewide Parks Program: Jerome Park Community Center $ 500, 000 Madison Park Batting Cage $ 50, 000
Vans for Underserved Kids $ 60, 000
Santa Ana Zoo Commissary $ 40, 000
El Salvador Community Center: Proposition 12 Murray- Haden Grant Program $ 681, 000 Santiago Park: Proposition 12 Riparian and Riverine Habitat Grant Program $ 150, 000 Santiago Park: Proposition 12 Urban Recreational and Cultural Centers Grant Program $ 742, 500 Healthy Community Fund – Eddie West Field $ 900, 000
Land and Water Conservation Fund: Prentice Park $ 75, 000 Land and Water Conservation Fund: Santa Ana Zoo Exhibit Development Project $ 150, 000 Santa Ana Zoo Commissary: Anteaters Exhibit $ 150, 000
Bicycle Transportation Account Grant $ 1,000, 000
Habitat Conservation Program: Santiago Nature Reserve $ 100, 000 Habitat Conservation Fund: Centennial Park Waterfowl Sanctuary $ 62, 500 Habitat Conservation Fund: Cienega de las Ranas Habitat Restoration $ 60, 000 Habitat Conservation Fund: McFadden Triangle Habitat Restoration $ 75, 000 Recreational Trails Grant: Fairview Triangle Habitat Restoration $ 132, 000 Recreational Trails Grant: Santa Ana Golden Loop Rehabilitation Project $ 253, 440 California Gang Reduction, Intervention and Prevention Program $ 400, 000 Proposition 84 Statewide Parks Program: Willard Intermediate Park $ 4,400, 000 Department of Water Resources Grant: Infrastructure Improvements Related to Diamond Park Mutual Water Company $ 2,000, 000
Proposition 84 Statewide Parks Program: Roosevelt Elementary Park Development $ 5,000, 000 Redevelopment Agency Dissolution Enforceable Obligation $ 22, 000, 000 Active Transportation Program Grant: Civic Center Bike Boulevard $ 3,729, 000 Active Transportation Program Grant: Edinger Protected Bike Lanes Project $ 2,366, 000 Active Transportation Program Grant: Santa Ana and Fifth Protected Bike Lane $ 5,424, 000 West Willits Street Protected Bike Lanes $ 2,970, 000
Safe Routes to School Davis Elementary ADA Compliance $ 5,754, 000 Youth Soccer and Recreation Development Grant $ 1,000, 000 Advanced Water Metering Infrastructure $ 4,000, 000
Homeless Emergency Aid Grant Program: Large Cities fund $ 3,690, 885 Homeless Housing, Assistance and Prevention Grant Program: Large City Allocation $ 8,579, 777 Youth Facilities Funding: State Budget Directed Spending $ 4,000, 000 TOTAL FUNDING ACHIEVEMENTS ON BEHALF OF THE CITY OF SANTA ANA $ 83, 495, 102 City Council 22 – 60 3/1/2022
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EXPERIENCE

TPA LEGISLATIVE ADVOCACY ACHIEVEMENTS
Policy Sector Issue Description
Local Governance
Local Control and Finance
Public Facilities and Finance
Public Employee Programs
Contractual Assessment Programs
Infrastructure Financing Opportunities
Public Employee Benefits
PEPRA Compliance
JPA Benefits
Medical Benefits Vesting
Cannabis •
Drafting Local and State Cannabis Regulations
Local Control
Transportation
Local Streets and Roads •
State Highway Relinquishments
Local Venue Signage on State Highways
State Highway System •
State Bond Funding for Highway Projects
Expansion of Toll Lanes/ Toll Roads
Water and Sanitation
Water Quality
Drinking Water Public Health Regulations
Groundwater Pollution Liability
Groundwater Management Plans
Direct/ Indirect Potable Reuse
Water Infrastructure
State Bond Funding for Water Projects
Local Reliability Projects
Water Conservation Programs
Sanitation Infrastructure •
Integrated Regional Watershed Projects
Advanced Water Treatment Facilities
Housing and
Community Development
Affordable Housing •
Developing Funding for Affordable Housing
Expanding Affordable Housing Eligibility
Economic Development
Capital Investment Incentive Program Expansion
Enterprise Zone Program Regulations
Military Base Re- Use Land Planning
Redevelopment
Agency Dissolution Process
Developing Post- RDA Funding Sources
State Liability Reduction
Recreation and Natural
Resources
Park Facilities
Joint- Use Projects with Schools Districts
State Bond Funding for Local Park Projects
Propositions 11, 68, and 84)
Greenhouse Gas Reduction •
TOD Housing to Support Cap and Trade Objectives
Increase Transit Accessibility for Active Transportation Cultural and Historical
Resources
Cultural Facilities •
CA Cultural and Historical Endowment
CA Nature Education Facilities Program
Public Safety
Public Health
Air Pollution Reduction Methods
Treatment of the Remains of a Deceased
Veteran Resources
Crime Reduction •
Sex Trafficking Control
Gun Control
Local Law Enforcement
Increasing Local Police Presence/ COPS
Police Body Cameras
Regional Public Safety Task Force Initiatives
Education
Community College Districts
Veterans Resources
Alternative Energy Job Training
ADA Reform
K-12 School Districts •
K- 12 Safety Planning Programs
Joint Use Projects with Civic Agencies
School Facilities
Charter School Facilities Funding
Community College Facilities Funding
K- 12 School District Facilities Funding

A DETAILED SCHEDULE OF OUR STATE, FEDERAL, AND LOCAL LEGISLATIVE

ADVOCACY ACHIEVEMENTS CAN BE PROVIDED UPON REQUEST
City Council 22 – 61 3/1/2022
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EXPERIENCE
TPA FY 2021- 22 STATE BUDGET EARMARKS
This table provides an overview of the direct budget allocations secured on behalf of our clients from the 2021- 22 State Budget. TPA worked closely with our clients to identify priority projects for each funding request. TPA then worked with members of the Assembly and Senate Budget Committee, as well as the Governor’s Administration, to ensure our client’s projects were included in the final budget approved by the Legislature.

Client Name Project Amount Awarded
City of Costa Mesa Regional Fire and Rescue Facility
Improvements $ 2,500, 000
City of Del Mar Del Mar Fairgrounds Operating Shortfall $ 3,500, 000 City of Emeryville Affordable Housing Site Remediation $ 2,500, 000 City of Farmersville Fire Engine Acquisition $ 750, 000 City of Fremont Mission Boulevard Interchange Modernization Project $ 7,200, 000
City of Fullerton Hunt Library Restoration $ 2,750, 000 Homelessness Recuperative Center $ 4,000, 000
City of Half Moon Bay Carter Park Renovation Project $ 4,750, 000 City of Hayward Hayward Navigation Center $ 662, 000
South Hayward Youth Family Center Project $ 1,000, 000
City of Irvine Bommer Canyon Fire Prevention Efforts $ 1,000, 000 City of Lafayette Safe Pathway for Children Trail $ 238, 000 City of Modesto Infrastructure Improvements to County Islands $ 5,000, 000 City of Oakland
Oakland Fund for Public Innovation for the
California Entrepreneurship Capital in the
Community Initiative
8,000, 000
Local Jurisdiction Assistance for Cannabis
Equity Program $ 9,905, 020
Oakland MACRO Project $ 10, 000, 000
Port of Oakland Freight and Passenger
Enhancements $ 280, 000, 000
City of Pismo Beach Public Safety Communications Equipment $ 470, 000 City of Reedley Olson/ Kings River Sewer Main Replacement $ 2,800, 000 City of San Leandro Memorial Park Rehabilitation Project $ 2,750, 000 City of San Pablo Alternative Policing and Mental Health Program $ 2,000, 000 City of Santa Ana Youth Facilities Improvements $ 4,000, 000 City of South San
Francisco Vehicle License Fee Adjustment $ 3,000, 000
City of Tracy Multi- Generational Recreation Center $ 5,000, 000 City of Tustin New Emergency Backup Generator $ 1,500, 000 Discovery Science
Foundation
Discovery Cube of Orange County Re- Opening
Operating Expenses $ 2,040, 000
Discovery Cube of Los Angeles Re- opening
Operating Expenses $ 2,600, 000
North Orange County
Public Safety Task Force
North Orange County Public Safety Task Force
Extension $ 7,800, 000
TOTAL FY 2021- 22 STATE BUDGET EARMARKS $ 377, 715, 020 City Council 22 – 62 3/1/2022
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EXPERIENCE
TPA FY 2019- 20 STATE BUDGET EARMARKS
This table provides an overview of the direct budget allocations secured on behalf of our clients from the 2019- 20 State Budget. TPA worked closely with our clients to identify priority projects for each funding request. TPA then worked with members of the Assembly and Senate Budget Committee, as well as the Governor’s Administration, to ensure our client’s projects were included in the final budget approved by the Legislature.

Client Name Project Amount Awarded
City of Agoura Hills Stormwater Treatment Project $ 1,000, 000 City of Avalon Underground Fuel Tank Removal and
Replacement $ 500, 000
City of Buena Park Historical Renovations $ 500, 000
City of Costa Mesa Lions Park $ 1,000, 000
City of Dinuba Water Well Replacement $ 1,000, 000
City of Huntington Beach Multi- Use Blufftop Path $ 1,700, 000 City of Laguna Beach Laguna Canyon Road Fuel Modification $ 1,000, 000 City of Oakland
Public Safety Projects $ 4,000, 000
Bus Services $ 1,000, 000
City of Selma Storm Drain, Storage and Recharge $ 1,500, 000 Discovery Cube of
Los Angeles Natural Resources Pavilion $ 5,000, 000
Discovery Cube of
Orange County Property Acquisition/ Parking Structure $ 10, 000, 0000 East Contra Costa Fire
Protection District
Equipment, Vehicles, and Facilities
Acquisitions and Improvements $ 500, 000
North County
Transit District Del Marr Bluffs Stabilization Project $ 6,130, 000 Tri Valley Cities Coalition Dublin Sports Grounds All Abilities Playground $ 1,400, 000
TOTAL FY 2019- 20 STATE BUDGET EARMARKS $ 36, 230, 000
City Council 22 – 63 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 20

EXPERIENCE
v. A LIST OF THE LOCAL OFFICE' S MOST SIGNIFICANT ENGAGEMENTS IN THE LAST FIVE ( 5) YEARS, INDICATING WHETHER THEY ARE PUBLIC OR PRIVATE SECTOR,

AND INCLUDING SCOPE OF WORK, DATE, SUPERVISING ACTUARIES, AND NAME AND TELEPHONE NUMBER OF THE CLIENT CONTACT.

The following list includes the City’s project manager, TPA State Capitol Director Casey Elliott, located in the TPA State Capitol Office in Sacramento, most significant engagements ( all of which are public sector) of over the past five years:

City of Santa Ana
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy
o Date of Contract: 1999 to Present
o Contact Name and Title: Daniel Soto, Management Assistant o Telephone Number: ( 714) 647- 5234
City of Cupertino
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy Services
o Date of Contract: 2019 to Present
o Contact Name and Title: Katy Nomura, Deputy City Manager o Telephone Number: ( 408) 777- 4844
City of Lafayette
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy and Grant Writing o Date of Contract: 2019 to Present
o Contact Name and Title: Niroop Sirvatsa, City Manager o Telephone Number: ( 925) 299- 3206
City of Modesto
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy Services
o Date of Contract: 2020 to Present
o Contact Name and Title: Edgar Garcia, Management Analyst o Telephone Number: ( 209) 571- 5101
City of Santa Clara
o TPA Project Manager: Casey Elliott and Ben Goldeen
o Scope of Work: State and Federal Legislative Advocacy o Date of Contract: 2020 to Present
o Contact Name and Title: Deanna Santana, City Manager
o Telephone Number: ( 408) 615- 2210
City Council 22 – 64 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 21

EXPERIENCE
City of Temecula
o TPA Project Manager: Casey Elliott and Cori Takkinen
o Scope of Work: State Legislative Advocacy and Grant Writing o Date of Contract: 2019 to Present
o Contact Name and Title: Randi Johl, Legislative Director o Telephone Number: ( 951) 694- 6421
City of Tracy
o TPA Project Manager: Casey Elliott and Andres Ramirez o Scope of Work: State Legislative Advocacy
o Date of Contract: 2019 to Present
o Contact Name and Title: Karin Schnaider, Director of Finance o Telephone Number: ( 209) 831- 6800
City of Walnut Creek
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy
o Date of Contract: 2014 to Present
o Contact Name and Title: Carla Hansen, Deputy City Manager o Telephone Number: ( 925) 943- 5899
Rancho Santiago Community College District
o TPA Project Manager: Casey Elliott and Ben Goldeen
o Scope of Work: State and Federal Legislative Advocacy o Date of Contract: 2010 to Present
o Contact Name and Title: Marvin Martinez, Chancellor
o Telephone Number: ( 714) 480- 7450
Coast Community College District
o TPA Project Manager: Casey Elliott and Ben Goldeen
o Scope of Work: State and Federal Legislative Advocacy and Grant Writing o Date of Contract: 2011 to Present
o Contact Name and Title: John Weispfenning, Chancellor o Telephone Number: ( 714) 438- 4600
East Contra Costa Fire Protection District
o TPA Project Manager: Casey Elliott and Cori Takkinen
o Scope of Work: State Legislative Advocacy and Grant Writing o Date of Contract: 2018 to Present
o Contact Name and Title: Brian Helmick, Fire Chief
o Telephone Number: ( 925) 240- 2130
Innovative Integrated Health, Inc.
o TPA Project Manager: Casey Elliott and Sean McReynolds o Scope of Work: State Legislative Advocacy
o Date of Contract: 2020 to Present
City Council 22 – 65 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 22

EXPERIENCE
o Contact Name and Title: Phil Tsunoda, Executive Director, Public Policy & Public Affairs
o Telephone Number: ( 714) 981- 7596
Port of Hueneme
o TPA Project Manager: Casey Elliott
o Scope of Work: State Legislative Advocacy
o Date of Contract: 2015 to Present
o Contact Name and Title: Kristen Decas, CEO and Port Director o Telephone Number: ( 805) 488- 3677
City Council 22 – 66 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 23

4. FEE SCHEDULE

STATE LEGISLATIVE ADVOCACY SERVICES
CONTRACT YEAR MONTHLY FEE* NOT- TO- EXCEED ANNUAL FEE
Contract Year 1 $ 5,000 $ 60,000
Contract Year 2 $ 5,000 $ 60,000
Contract Year 3 $ 5,500 $ 66,000
Optional Contract Extension: Year 4 $ 5,500 $ 66,000
Optional Contract Extension: Year 5 $ 6,000 $ 72,000
Optional Contract Extension: Year 6 $ 6,000 $ 72,000
The monthly fee includes all anticipated hours, hourly rates, and all reasonable business and travel expenses. At the request of the City, TPA will provide a detailed hourly rate schedule.

City Council 22 – 67 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 24

5. CERTIFICATIONS
City Council 22 – 68 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 25

CERTIFICATIONS
City Council 22 – 69 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 26

CERTIFICATIONS
City Council 22 – 70 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 27

CERTIFICATIONS
City Council 22 – 71 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 28

6. REFERENCES
City Council 22 – 72 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 29

7. CITY INFORMATION: SCOPE OF SERVICES
TPA has NOT and will NOT disclose the information provided by the City for the purpose of conducting the scope of services to any third party without the City’s written permission.

City Council 22 – 73 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 30

8. EVIDENCEOFFINANCIALCAPACITY
If requested, TPA will provide its most recent audited financial statement evidencing the firm’s financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety ( 90) day period.

City Council 22 – 74 3/1/2022
Proposal for State Legislative Advocacy Services | City of Santa Ana Page 31

9. INSURANCE
If selected, TPA will provide the required evidence of insurance coverage as set forth in the standard agreement within ten ( 10) business days after the receipt of Notice of Intent to Award.

TPA will maintain the insurance coverage required by the City for the duration of the contract.

City Council 22 – 75 3/1/2022
Parks, Recreation, and Community Services
www.santa-ana.org/parks
Item # 23
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
March 1, 2022
TOPIC: School Collaboration City Council Subcommittee
AGENDA TITLE:

Discuss and Provide Input Regarding the Structure of the School Collaboration City Council Subcommittee

RECOMMENDED ACTION
Discuss and provide input regarding the structure of the School Collaboration City Council Subcommittee that will add an element for joint meetings with Santa Ana Unified School District Governing Board.

DISCUSSION
The City Council established a Joint Santa Ana Unified School District (SAUSD) and City Council Committee in January 2013 and then disbanded it in February 2020, along with all other subcommittees. On March 2, 2021, the Mayor appointed several councilmembers to ad hoc committees to discuss discrete policy issues: Solid Waste Ad Hoc Committee, Housing Ad Hoc Committee, Homeless Ad Hoc Committee and School Collaboration Ad Hoc Committee. In particular, the School Collaboration Ad Hoc Committee met five times to review and discuss opportunities to collaborate with the various educational institutions in Santa Ana, including all of the public school districts that serve Santa Ana.

On August 27, 2021, the School Collaboration Ad Hoc Committee recommended the City Council disband the Ad Hoc Committee and consider a resolution to establish a standing subcommittee that could jointly meet with the SAUSD Governing Board and legislative bodies from other educational institutions. On September 7, 2021, the City Council received direction from the School Collaboration Ad Hoc Committee and adopted Resolution 2021-051 establishing a standing subcommittee, the School Collaboration City Council Subcommittee (Subcommittee).

The Subcommittee held their first meeting on October 12, 2021. The Subcommittee, by majority vote, approved the bylaws for the Subcommittee on November 9, 2021 (Exhibit 1) and elected the Chair and Vice Chair officers of the Subcommittee. The Subcommittee City Council 23 – 1 3/1/2022
School Collaboration City Council Subcommittee
March 1, 2022

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held three additional meetings: on December 14, 2021, January 11, 2022, and February 8, 2022.

At the January 18, 2022 City Council meeting, the Mayor directed the City Manager to bring an item to the City Council regarding revisiting the Subcommittee structure and adding an element for joint meetings specifically with SAUSD Governing Board for City Council consideration at a future meeting.

On February 8, 2022, the Subcommittee members discussed and provided input regarding the structure of the Subcommittee that will add an element for joint meetings with SAUSD Governing Board as follows:
Two Subcommittee members were in favor of establishing a separate subcommittee between the SAUSD and City that was in place in the past. In addition, they did not want to disband the current Subcommittee structure. They recommend two subcommittees.
One Subcommittee member was in favor of keeping the structure as is and invite other educational intuitions to the meetings as appropriate.
One Subcommittee member noted there was outreach (Exhibit 2) to other educational institutions and the only interest received was from SAUSD.

At this time, staff seeks direction from the City Council on this matter.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

FISCAL IMPACT
There is no fiscal impact associated with this action.

EXHIBIT(S)

1. School Collaboration Subcommittee Bylaws

2. Educational Institution Letter
Submitted By: Lisa Rudloff, Executive Dir. of Parks, Recreation and Community Services
Approved By: Kristine Ridge, City Manager
City Council 23 – 2 3/1/2022

SCHOOL COLLABORATION CITY COUNCIL

SUBCOMMITTEE BYLAWS
Approved November 9, 2021

1.0 NAME
The name of this advisory body of the City of Santa Ana shall be the School Collaboration City Council Subcommittee (hereinafter “Subcommittee”).

2.0 RESPONSIBILITIES AND DUTIES OF SUBCOMMITTEE

2.1 Create opportunities to collaborate with educational institutions that serve Santa Ana, including public school districts (such as the Santa Ana Unified School District, Garden Grove Unified School Districts, and others), private schools, charter schools, higher education institutions, and others to improve service delivery; and

2.2 Identify existing and future joint -use agreements for City -owned and school district owned facilities to streamline and modernize service delivery; and

2.3 Seek to convene Subcommittee meetings jointly with legislative bodies from other educational institutions; and

2.4 Report to the City Council on its goals and accomplishments.

3.0 MEMBERSHIP
The members of the subcommittee (two or three) shall be appointed, and may be removed, by the city council, subject in both appointment and removal by the affirmative votes of a majority of the members. Each member of the subcommittee will serve a two-year term commencing with the first meeting of the newly installed City Council following a general election.

3.1 VACANCIES
Vacancies arising from whatever cause shall be filled by a majority vote of the City Council.

3.2 REMOVAL
A Subcommittee member may be removed by the city council from the subcommittee in the following circumstances:

3.2.1 Absent from two (2) regular meetings consecutively without permission of the subcommittee expressed in its official minutes; or

3.2.2 Fails to attend at least one -half of the regular meetings within a calendar year; or
Exhibit 1
City Council 23 – 3 3/1/2022
School Collaboration City Council Subcommittee Bylaws
Approved November 9, 2021

3.2.3 Is convicted of a crime involving moral turpitude; or

3.2.4 Ceases to be a resident of the city.

4.0 OFFICERS

The subcommittee shall elect from its members a chairperson and vice chairperson, each of whom shall serve in such position for the term of one (1) year. No member shall serve in the position of chairperson for more than one (1) term.

4.1 ELECTION
The election of each chairperson and vice -chairperson shall be held annually at the July meeting and officers assume their elected positions at the August meeting.

4.2 CHAIR
The Chair shall be responsible for the general supervision, direction, and control of the business and affairs of this Subcommittee. The Chair shall preside over all meetings and represent the Subcommittee, the City Council and City staff.

4.3 VICE CHAIR
In the absence or resignation of the Chair, the Vice Chair shall perform all of the duties of the Chair, and in so acting, shall have all of the authority of the Chair. The Vice Chair shall have such other powers and perform such other duties as may be prescribed by the Subcommittee.

5.0 MEETINGS

All meetings shall be open to the public and shall conform to the provisions of the “Ralph M. Brown Act”.

5.1 AGENDA
Agenda items may be submitted thirty -days in advance by any member upon notification to the Chair or City liaison. The agenda shall be established with items as coordinated by the Chair and Recording Secretary.

5.2 PROCEDURES
Robert’s Rules of Order shall govern the general conduct of meetings.

5.3 QUORUM
A majority of the Subcommittee Members shall constitute a quorum. A majority vote of Subcommittee Members present at a duly constituted meeting shall be required to carry a motion and/or proposal.

5.4 REGULAR MEETINGS
Exhibit 1
City Council 23 – 4 3/1/2022
School Collaboration City Council Subcommittee Bylaws
Approved November 9, 2021

Regular meetings of the Subcommittee are scheduled for the second Tuesday of the month. All regular meeting agendas shall be posted in a location accessible to the public at least 72 hours before the time of the meeting and must describe the business to be transacted.

6.0 BYLAWS

Amendments to these bylaws are subject by the affirmative votes of a majority of the members.

Exhibit 1
City Council 23 – 5 3/1/2022
MAYOR
Vicente Sarmiento

MAYOR PRO TEM
David Penaloza

COUNCILMEMBERS
Phil Bacerra
Johnathan Ryan Hernandez
Jessie Lopez
Nelida Mendoza
Thai Viet Phan

CITY OF SANTA ANA

SCHOOL COLLABORATION

CITY COUNCIL SUBCOMMITTEE
20 Civic Center Plaza ● P.O. Box 1988
Santa Ana, California 92702
www.santa-ana.org

CITY MANAGER
Kristine Ridge

CITY ATTORNEY
Sonia R. Carvalho

CLERK OF THE COUNCIL
Daisy Gomez
October 18, 2021
RE: City of Santa Ana School Collaboration City Council Subcommittee Dear Educational Institution,
The Santa Ana City Council established a standing subcommittee, the School Collaboration City Council Subcommittee (Subcommittee). The responsibilities of the Subcommittee is to c reate opportunities to collaborate with educational institutions that serve Santa Ana, including public school districts, private schools, charter schools, higher education institutions, and others to improve service delivery.

The Subcommittee is inviting you to a future meeting to discuss opportunities for collaboration between the City of Santa and your educational institution. Please let us know if you are interested and we will set up a meeting.

Thank you for your commitment and contributions to help educate our community. Please know we want to be dedicated partners in that vision if there are joint opportunities that wi ll continue to serve Santa Ana.

Sincerely,
Subcommittee Members
Jessie Lopez, Ward 3 [email protected]
Johnathan Ryan Hernandez, Ward 5 [email protected] Nelida Mendoza, Ward 6 [email protected]
Exhibit 2
City Council 23 – 6 3/1/2022
Finance and Management Services Agency
www.santa-ana.org/cm
Item # 24
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
March 1, 2022
TOPIC: Ordinance Amending City Manager’s Contracting Authority for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations AGENDA TITLE:

Ordinance Amending City Manager’s Contracting Authority for Non-Public Works and Public Works Contracts Under Chapter 2, Article VII and Public Works Construction Rules and Regulations Under Chapter 33, Article VIII of the Santa Ana Municipal Code

RECOMMENDED ACTION
Approve first reading of an ordinance amending City Manager’s contracting authority for non-public works and public works contracts under Chapter 2, Article VII, Sections 2-748, 2-800 to 2-808 and public works construction rules and regulations under Chapter 33, Article VIII, Sections 33-200 to 33-203 of the Santa Ana Municipal Code as follows:
i) Amending Section 2-748 of Chapter 2, Article VII concerning the City Manager’s contract authority:
(1) non-public works contracts to increase from $50,000 to $250,000; (2) emergency public works construction to increase from $100,000 to $750,000; (3) non-public works and public works contracts change orders authority increase from 10 percent or $25,000, whichever is greater, to 15 percent or $50,000, whichever is greater; and
(4) add language codifying contract limits will be applied on a fiscal year basis by departments.
ii) Amending Section 2-800 to 2-808 of Chapter 2, Articles VII.II concerning the Purchasing Rules and Regulations:
(1) clarifying language administrative in nature;
(2) extending local vendor preference to increase from procurement involving $5,000 and one $100,000 to procurement involving $10,000 and $100,000; (3) for reporting requirements to increase from $500 to $1,000; (4) for administrative contracts to increase from $5,000 to ten $10,000; (5) for informal contracts to increase from $5,000 and $25,000 to $10,000 and $50,000);
(6) for formal contracts to increase from $25,000 to $50,000; (7) add language to coincide with current practices for awarding services contracts; and
City Council 24 – 1 3/1/2022
Amend City Manager Contracting Authority, Procurement Requirements for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations March 1, 2022

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(8) for non-bid purchases add City-owned software upgrades, maintenance, or additional licenses.
iii) Amending Sections 33-200 to 33-203 of Chapter 33, Article VIII concerning the Public Works Construction Rules and Regulations:
(1) housekeeping language administrative in nature; and (2) for non-emergency public works construction incorporate informal procurement process:
a) administrative contracts up to $50,000
b) informal construction bid for contracts between $50,000 and $250,000 c)formal for bid for contracts in excess of $250,000
Executive Summary
Revisions to both the City Manager’s contract authority and purchasing requirements regarding its informal and formal bidding process is recommended to modernize the City’s procurement process, while increasing the pool of companies who bid on City projects, including local vendors. If approved, the City Manager will have authority to enter into non-public works and public works contracts up to $250,000. Bidding requirements will increase (formal bid process) to $50,000 for both non-public works and public works contracts.

If approved, revisions to both the City Manager’s contract authority and bidding requirements will closely align the City’s purchasing requirements with newly enacted federal and state guidelines.

Quarterly report of contracts will continue to be required to be submitted and include contracts entered into that exceed $1,000, an increase from the current requirement of contracts that exceed $500.

Revisions to the City’s local preference is not recommended at this time. The City’s current local preference of seven percent matches the State’s local preference percentage amount.

DISCUSSION
Background
The City’s Municipal Code includes authority for the City Manager to bind contracts, purchasing thresholds for informal bids and formal bids, and local preference allowances.

The City Council last updated the City Manager’s contracting authority in March 2019, increasing it from $25,000 to $50,000 for non-public works contracts, and from $25,000 to $250,000 for public works contracts. The City Council last updated the purchasing (i.e. informal and formal bid requirements) thresholds in 2012.

City Council 24 – 2 3/1/2022
Amend City Manager Contracting Authority, Procurement Requirements for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations March 1, 2022

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Comparison to Other Cities and Proposed Thresholds
The following table summarizes the contracting and purchasing authority for charter cities in Southern California with populations from 300,000 to 500,000. The table includes the current and proposed thresholds for Santa Ana.

City CM Authority Informal Bids Formal Bids Local Preference Anaheim All:

Up to $200,000
Public Projects:
$10,000-$50,000
require up to 3 quotes
All Other:
>$500-$20,000
Public Projects:

Over $100k
All Other:
>$20,000
5% maximum $2,000
Irvine All:

Up to $1,000,000
Public Projects:
>$60,000-$200,000
All Other:
$10,000 – $45,000
Public Projects:
>$200,000
All Other:
$45,000-$200,000
5% maximum $2,000
Long
Beach
All:

Up to $200,000
None Required Public Projects:
$25,000
All Other:
>$100,000
10% maximum $10,000
Riverside All:

Up to $50,000
Public Projects:

Up to $25,000
All Other:

Up to $50,000
Public Projects:
>$50,000
All Other:
>$50,000
5%
Santa Ana
Current
Public Works
Contracts:

Up to $250,000
All Other:

Up to $50,000
Public Works
Construction:

Not Applicable
All Other:
>$5,000-$25,000
Public Works
Construction:
>$500
All Other:
>$25,000
7% small Santa Ana
business or 4%
Orange County
business, for
purchases up to
$100,000
Santa Ana
Proposed
Public Works
Contracts:

Up to $250,000
All Other:

Up to $250,000
Public Works
Contracts:
>$50,000-$250,000
All Other:
>$10,000-$50,000
Public Works
Contracts:
>$250,000
All Other:
>$50,000
No Change
City Manager Contracting Authority
Staff publishes a quarterly report of all contracts issued by the City Manager in excess of $500, as required by SAMC 2-804, to ensure full transparency and accountability. The quarterly report includes vendor name, issuing department, and description of items or services, and amount of the contract. The only recommended change to the quarterly report is to increase the reporting threshold from $500 to $1,000.

Agenda process time is the primary reason behind the recommended change to the City Manager’s contract authority. Departments must submit proposed City Council staff reports two weeks prior to the City Council meeting, then execution of City Council approved contracts is coordinated with the Mayor’s schedule. The proposed ordinance would increase efficiency, reduce staff time, and allow the City Manager to issue small contracts up to three weeks faster.

City Council 24 – 3 3/1/2022
Amend City Manager Contracting Authority, Procurement Requirements for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations March 1, 2022

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If the City Manager had previously had the authority to sign contracts up to $250,000, staff identified 102 contracts, totaling $11.8 million (an average of $115,700 each), that could have been signed by the City Manager in FY 2020-21.

The FY 2021-22 citywide budget is $758 million, with approximately $300 million subject to contracts for purchase of services, construction, and commodities.

Formal and Informal Bid Threshold
The City has a formal process to advertise for and collect bids and proposals for purchases of goods and services over $25,000, and public projects over $500.

To ensure the City acquires goods and services at the best price, staff documents at least three informal quotes gathered via phone or email for purchases in excess of $5,000 and up to $25,000, unless unique circumstances dictate the goods or services are only available from less than three vendors.

Staff recommends increasing the threshold requiring formal procurement procedures for all other purchases (non-public works contracts) to $50,000. It is time-consuming and costly for vendors to submit bids and proposals via a formal process. Increasing the threshold would enable more local small vendors to compete for the City’s business.

The City does not have an informal procurement process for public works construction projects. Adopting the proposed informal bid procedure will streamline the process to execute public works contracts and agreements involving expenditures up to $250,000, thereby expediting delivery of maintenance, repairs and services to public assets such as streets, sewer, water facilities, parks, etc.

Local Preference
Most cities have a very limited local preference program. To support a significant preference or a preference for large contracts, a vendor would need to demonstrate a disadvantage by operating in the jurisdiction.

At this time, staff does not recommend changes to the City’s current local preference program, as it is very competitive with other comparable cities. Furthermore, in November 2018 the State increased the local preference from five percent to seven percent, matching the City’s current preference amount awarded to Santa Ana based business.

The recommendation to increase the threshold for formal bids will help small local vendors compete for City business. In addition, staff has developed an outreach program on the City’s website to educate local vendors about the City’s competitive procurement process and opportunities to participate.

City Council 24 – 4 3/1/2022
Amend City Manager Contracting Authority, Procurement Requirements for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations March 1, 2022

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During April 2021, staff called 400+ Santa Ana businesses registered with Planet Bids.

Businesses were invited to participate in the upcoming virtual workshop, which included training on how to register in the City’s bid management system.

On July 22, 2021, the City conducted a virtual workshop to show Santa Ana businesses how to submit bids to the City. Staff also expanded the information presented on the “Doing Business with the City” webpage on the City’s website to include the video and updated FAQs.

The City’s bid platform, Planet Bids, allows the City to solicit bids by invitation only based on geographic location, with direct communications going to those vendors. The City’s Buyers encourage departments to solicit informal bids from local vendors whenever practical. When departments ask the Buyers where to procure goods or services, the Buyers respond with Santa Ana vendors first. Finally, as part of the formal bid process, Buyers use Planet Bids to contact local vendors if they have not submitted a bid three days prior to bid closing.

Housekeeping Adjustments
Revisions are proposed to Section 2-748 and Section 2-800 thru 2-803 (Article VII.11 Purchasing Rules and Regulations of the Santa Ana Municipal Code clarifying the City’s current practice and additional clean-up language, which is administrative in nature.

Specifically, additional language regarding how the City Manager’s contract authority is applied on both a fiscal year and department basis. Multiple Departments can enter into a contract with the same vendor who may or may not be providing different type of services. Splitting of contracts for avoiding the City purchasing requirements is prohibited.

The rationale is the City Council authorizes a new budget each Fiscal Year and through that budget provides policy direction on the work it desires the City Manager to complete.

FISCAL IMPACT
There is no quantifiable fiscal impact associated with the proposed ordinance. However, the City would be able to utilize staff resources more efficiently for other public services.

City Council 24 – 5 3/1/2022
Amend City Manager Contracting Authority, Procurement Requirements for Non-Public Works and Public Works Contracts and Public Works Construction Rules and Regulations March 1, 2022

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EXHIBIT(S)

1. Ordinance including Santa Ana Municipal Code Chapter 2, Article VII, Sections 2- 748 and 2-800 to 2-808 and Chapter 33, Sections 33-200 to 33-203, red-line Submitted By: Kathryn Downs, Executive Director Finance and Management Services Approved By: Kristine Ridge, City Manager
City Council 24 – 6 3/1/2022
Ordinance No. NS-XXX

ORDINANCE NO. NS-XXX

AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AMENDING ARTICLES VII AND VII.II OF
CHAPTER 2 OF THE SANT A ANA MUNICIPAL CODE
REGARDING CITY MANAGER’S CONTRACTING

AUTHORITY AND CITY PURCHASING RULES AND
REGULATIONS, AND ARTICLE VIII OF CHAPTER 33 OF

THE SANTA ANA MUNICIPAL CODE REGARDING PUBLIC

WORKS CONSTRUCTION RULES AND REGULATIONS

THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS:

Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows:

A. Sections 421 and 422 of the Santa Ana City Charter prov ide that the City Council may by ordinance authorize the City Manager to bind the City on non-public works contracts and public works contracts for such amounts as may be established from time to time.

B. Sections 421 and 422 also provide that the City Council may by ordinance establish rules and procedures for competitive bidding for non-public works contracts and public works contracts.

C. On March 19, 2019, the City C ouncil adopted Ordinance No. NS-2963, by which the City Manager’s contracting authority was increas ed to $50,000 for non-public works contracts and to $250,000 for public works contracts.

D. The City Council is regularly presented with a volu minous amount of contracts and agreements for approval annua lly. The process to obtain City Council approval can be lengthy and requires a substantial amount of City staff time. This process can also adversely impact the City’s ability to provide efficient and timely delivery of services to its constituents and businesses.

E. Further increasing the City Manager’s contracting authority for both non- public works and public works contracts and other housek eeping changes to the City’s procurement rules and procedur es are desirable because they will free staff time to devote to other necessary public services and facilitate participation of small local vendors for the City’s business, as the formal process can be time-consuming and costly.

F. Further increasing the City Manager’s contracting authority for both non- public works and public works contracts and c hange orders to such contracts will also further streamline the process to execute Public Works Agency contracts and agreements for the construction, rehabilitation, maint enance, testing and inspection of public EXHIBIT 1
City Council 24 – 7 3/1/2022

Ordinance No. NS-XXX

infrastructure, thereby improving the deliver y of services necessary for the continued enhancement and preservation of such public infrastructure.

Section 2. Section 2-748 of Articl e VII (City Manager’s Contracting Authority) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-748. – City manager’s contracting authority.

(a) Non-public works contracts.
(1) The city manager is authorized to bind the city on a fiscal year basis by department to any one (1) or more written non-public works contract, per vendor, in an amount or amounts not exceeding the sum of fifty thousand dollars ($50,000) two hundred fifty thousand dollars ($250,000). For purposes of this section, a non-public works cont ract shall mean any contract not deemed to be a public works contract under subsection (b)(1).
(b) Public works contracts.
(1) The city manager is authorized to bind the city on a fiscal year basis by department to any one (1) or more written public works contract, per vendor, in an amount or amount s not exceeding the sum of two hundred and fifty thousand dollars ($250,000.00). For purposes of this section, a public works cont ract shall be deemed to mean a project for the erection, im provement, and/or maintenance, inspection, testing and repair of p ublic buildings, streets, drains, sewers, or parks.
(2) The city manager is authorized to bind the city to any one (1) written contract for emergency public wo rks construction in an amount not exceeding the sum of one hundred thousand dollars ($100,000.00) seven hundred fifty thousand dollars ($750,000).
(3) The city manager is hereby aut horized to bind the city on change orders to any one (1) public wo rks contract, per vendor, without previous city council approval when such change order for any one (1) public works contract, together with any previously approved change orders for said contract, do not cumulatively amount to an increase of the city's expenditure obligation under said contract of more than ten (10) percent of t he original contract amount, or the amount of twenty-five thousand do llars ($25,000.00), whichever is the greater.
(c) Change Orders
(1) The city manager is hereby authorized to bind the city on change orders to any one (1) non-public wor ks or public works contract, per vendor, without previous city c ouncil approval when such change City Council 24 – 8 3/1/2022

Ordinance No. NS-XXX

order for any one (1) non-public wo rks or public works contract, together with any previously approved change orders for said contract, do not cumulatively am ount to an increase of the city's expenditure obligation under said contract of more than fifteen (15) percent of the original contra ct amount, or the amount of fifty thousand dollars ($50,000.00), whichever is the greater.

Section 3. Section 2-800 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-800. Purposes of purchasing system.

These purchasing rules and regulations are hereby adopted in order to:

(1) Establish efficient procedures for pur chasing of materials, supplies, labor and equipment for non-public works contracts and public works contracts;

(2) Secure maximum quality goods, servic es or performance at minimum cost for the city;

(3) Exercise positive financial control over the city's purchases; and

(4) Establish the necessary procedures fo r the selection of providers of all ranges of goods and services so as to avoid favor or prejudice. ;

(5) To sSimplify, clarify, and modernize the law governing procurement by the City;

(6) To pProvide for increased public confidence in the procedures followed in public procurement;

(7) To eEnsure the fair and equitable treatment of all persons who deal with the procurement system of the City;

(8) To fFoster effective broad-based competition within the free enterprise system;

(9) To pProvide safeguards for the maintenance of a procurement system of quality and integrity, and

(10) To oObtain in a cost-effective and responsive manner the materials, services, and construction required by City agencies in order for those agencies to better serve the Cit y's businesses and residents.

City Council 24 – 9 3/1/2022

Ordinance No. NS-XXX

Section 4. Section 2-802 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-802. Definitions

For purposes of this article, t he following definitions shall apply:

Agency shall mean the executive director of the city agency or department which has responsibility for awarding a contract for services.

Agreement or contract shall mean a legal contract which complies fully with the provisions of Section 421 of the City's Charter and this article. The words agreement and contract may be used interchangeably in this article.

Electronic shall mean electrical, digital, magnetic, optical, electromagnetic, or any other similar technology.

Local business shall mean a business certified by the state department of general services as a small business, which has a substantial presence through either a headquarters or branch office within the geographical boundaries of the city, and which headquarters or branch office was established prior to the city inviting bids for the respective procurement. Said business must possess a current business license and certificate of occupancy. For purposes of this article, a post office box address within the city shall not qualify as a valid business location.

Materials, supplies, labor and equipment shall mean those goods or services, but excluding services as defined below and public works construction, that are readily ascertainable and measurable by an objective standard in terms of quantity or quality so as to be susceptible to competitive bidding.

Orange County business shall mean a business certified by the state department of general services as a small business, which has a substantial presence through either a headquarters or branch office within the geographical boundaries of Orange County, and which headquarters or branch office was established prior to the city inviting bids for the respective procurement. Said business must possess a current business license to perform work in Santa Ana. For purposes of this article, a post office box address within the county shall not qualify as a valid business location.

Public notice shall mean the distribution or dissemination of information to interested parties using methods that are reasonably available. Such methods can include publication in newspapers of general circulation, electronic or paper mailing lists, and web site(s) designated by the city and maintained for that purpose.

Purchasing manager shall mean that city employee or official so designated by the city manager and authorized to carry out the responsibilities under this article, including the promulgation and enforcement of administrative procedures.

Purchase order (PO) shall mean that standardized contract developed pursuant to subsection 2-803(j) issued to the vendor of materials, supplies, labor and equipment.

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Ordinance No. NS-XXX

Services shall mean the furnishing of labor, time, or effort by a contractorfirm or individual, not involving the delivery of a specific end product other than reports which are merely incidental to the required performance. Services are of an advisory nature, provide a recommended course of action or personal expertise, have an end product comprised of a transmittal of information, written or verbal, and that is related to the governmental functions of administration, management, program management or innovation. The product may include anything from answers to specific questions to design of a system or plan, and includes provision of workshops, seminars, retreats, and conferences for which expertise is necessary. This term shall not include employment agreements or collective bargaining agreements. This term shall not include contracts for the construction, alteration, improvement, repair, or maintenance of real or personal property.

Section 5. Section 2-803 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-803. Powers and duties of the purchasing manager.

The city manager is directed to estab lish and maintain a centralized purchasing system, and in connection ther ewith, the city manager shall designate a purchasing manager for the city whose duties shall include, but not be limited to, the following:

(a) Act to procure for the city the needed quality in materials, supplies, labor, and equipment, and services including pr ofessional services, at the least expense to the city.

(b) Recommend execut ion of contracts.

(c) Endeavor to obtain as full and open competition as possible on all purchases.

(d) Keep informed of current developments in the field of purchasing procurement, prices, market conditions and new products.

(e) Establish rules and procedures gove rning the purchase of materials, supplies, labor, equipment and services , for the city through the preparation and adoption of an administrative code policy which shall provide for the review of such alternative source s of supply or performance as may be available in competition with one another and selection therefrom on the basis of obtaining maximum quality at minimum costs.

(f) Prescribe and maintain such forms as are reasonably necessary for the operation of this article.

(g) Keep or cause to be kept an inventory of all municipal property in his or her custody.

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Ordinance No. NS-XXX

( hg) If required by federal, state or other law, cause notices inviting bids to be published.

( ih) Endeavor to establish standards in the variety of articles, materials, supplies, labor, and equipment, comm only used by the various departments and agencies, as will make possible uniform purchases, when consistent with efficiency.

( ji) Prepare, with the approval of the city attorney as to form, a pre-printed purchase order to be utilized in contra cts for materials, supplies, labor and equipment.

Section 6. Section 2-803.1 of Article VII.II (Purchasing Rules and Regulations) of Chapter 2 (Administrati on) of the Santa Ana Munici pal Code is hereby amended to read in its entirety as follows:

Sec. 2-803.1. Local preference in contracts for materials, supplies, labor and equipment.

Except for those contracts for which the Charter of the City of Santa Ana prohibits the provision of a local preference, and/or those contracts funded through programs or partners which prohibit the use of a local pr eference, the city council authorizes the purchasing manager to ext end a preference to local business and Orange County business as set forth herein.

(a) In the procurement of material, supplies, labor and equipment involving expenditures a contract award between five thousand dollars ($5,000.00) ten thousand dollars ($10,000.00) and one hundred thousand dollars ($100,000.00), the purchasing manager s hall extend a preference to each local business and each Orange County bu siness, which preference shall be applied to the bid which provides maximum quality at minimum price.

Said preference shall be set by resolution of the city council.

(b) If the bidder submitting the maximum quality at minimum cost bid is not a local business or an Orange County busin ess, and if a local business or an Orange County business has submitted a responsive and responsible bid, and with the benefit of the applicable pr eference, the bid submitted by local business or Orange County business is equal to or less than the original maximum quality at minimum cost bid, the contract shall be awarded to the local business or the Or ange County business at its submitted bid price. If two (2) or more low bids received are equal after the application of the preference, the contract shall be awarded in the following order:

(1) To a local business.

City Council 24 – 12 3/1/2022

Ordinance No. NS-XXX

(2) To an Orange County business.

(3) To the bidder submitti ng the maximum quality at minimum cost bid.

The city shall reserve the ri ght to reject any or all bids. (c)
In order for the preference to apply, a bidder must certify under penalty of perjury, that the bidder qualifies as a local business or Orange County business. The pref erence is waived if the certification does not appear on the bid.

Section 7. Section 2-804 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code hereby is amended to read in its entirety as follows:

Sec. 2-804. Reporting requirements

The city manager reporting requirement s mandated by Section 421 of the City Charter shall only include contracts let that exceed five hundred dollars ($500.00)one thousand dollars ($1,000),. aAll other contracts let by the city manager under five hundred dollars ($500.00) one thousand dollars ($1,000) shall be provided to the city council if requested by a councilmember.

Section 8. Section 2-805 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-805. Procurement of materi als, supplies, labor, and equipment between five hundred dollars ($500.00) and twenty-five thousand dollars ($25,000.00) up to fifty thousand dollars ($50,000).

(a) For those agreements exceeding five hundred dollars ($500.00) but not exceeding five thousand dollars ($5,000.00), tThe city manager may bind the city on contracts for material s, supplies, labor, and equipment in amounts not exceeding five thousand dollars ($5000.00)ten thousand dollars ($10,000) in any one contract or in the aggregate with any one vendor or service provider. Thes e contracts can be entered into administratively without the need fo r informal or formal bidding.

(b) Unless exempt from bidding pursuant section 2-807, all contracts involving an expenditure between five thousand dollars ($5,000.00) ten thousand dollars ($10,000) and twenty-five thousand dollars ($25,000.00) fifty thousand dollars ($50,000) for materials, supplies, labor, and equipment shall be let on the basis of obtaining maximum quality at minimum cost in accordance with procedures estab lished by the purchasing manager.

Those procedures shall provide for at a minimum the following:

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Ordinance No. NS-XXX

(1) There shall be a written or ve rbal invitation for bid which shall include the following information: A general description of the things to be purchased or project specifications, the time and place for bid opening when applicable, bid in structions, and the terms and conditions of the bid and any resulting contract. The purchasing manager shall make a good faith effort to notify all businesses engaged in providing such mate rials, supplies, labor, and equipment located within the bou ndaries of the city of the opportunity to bid.
(2) Where required by state or federal law or regulations, or upon request by a bidder, the bids shall be opened, if sealed, and declared in public at the time and place stated on the "Invitation for Bid."
Section 9. Section 2-806 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-806. Procurement of materials, supplies, labor, and equipment in excess of twenty-five thousand dollars ($25,000.00) fifty thousand dollars ($50,000).

Unless exempt from bidding pursuant to section 2-807, all contracts involving an expenditure in excess of twenty-five thousand dollars ( $25,000.00)fifty thousand dollars ($50,000) for materials, supplies, labor, and equipment shall be let on the basis of obtaining maximum quality at minimum cost, in accordance with procedures established by the purchasing manager. Those procedures shall provide for at least the following:

(a) Public notices inviting bids shal l include a general description of the things to be purchased or project specifications and the date, time and place for bid opening (if applicable). Adequate public notice of the invitation for bids shall be given a reasonable time prior to the date set forth therein for the opening of bids, in accordanc e with regulations established by the purchasing manager. To the extent t hat public notice is by way of publication in a newspaper of general circulation, such publication shall be for at least two (2) days, the first of which shall be at least ten (10) days before the date se t for opening bids.

(b) Invitation of bids shall be mailed or transmitted by other means established b y the administrative codepolicy but not recited over the telephone or in person. Any interested bidder may obtain an invitation for bid.

(c) All bids shall be submitted sealed in accordance with the instructions contained in the "Invitation for Bid" form.

(d) The bids shall be opened in public, at the date and time and place stated on the "Invitation for Bid." All bids shall be publicly declared.

City Council 24 – 14 3/1/2022

Ordinance No. NS-XXX

Section 10. Section 2-807 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-807. Non-bid purchases.

The following contracts may be exempted from competitive bidding through an open market purchase by the purchasing manager , and confirmed by the city council in the case of contracts for over twenty-five thousand dollars ($25,000.00)two hundred thousand dollars ($200,000), but shall nevertheless be entered into only after compliance with the rules established by the purchasing manager, which shall include the review of such alternative sources of supply or perfo rmance as may be available in competition with one another and selection therefrom on the basis of obtaining maximum quality at minimum costs:

(a) Purchases of materials, supplies, labor, and equipment whenever it shall appear that there is only one (1) r easonably available source or where solicitation of bids would for any reason be an idle act.

(b) Purchases of materials, supplies, labor, and equipment necessary for the preservation of life, health or property , following the declaration of a state of emergency or disaster in the city . A full written account of emergency procurements made during the declared emergency or disaster shall be submitted to the city council within thirty (30) days as soon as practical but no later than ninety (90) days after their procurement.

(c) Situations where no bids are receiv ed or all bids are rejected and the city council determines, upon the affirmative vote of at least two-thirds (⅔) of its members, that the materials, supp lies, labor or equipment can be obtained at a lower cost.

(d) Purchases from vendors whose name s are on current established lists and have been awarded the same type of pur chase contract by a federal agency (including the general services adminis tration), a state agency, county, city or other public agency after a co mpetitive bidding process determined by the purchasing manager to be substant ially equivalent to that prescribed by this article.

(e) Contracts for services , which may be awarded on the basis of demonstrated competence and on the professional qualifications necessary for the satisfactory performance of the services required or other process established by administrative policy.

(f) City-owned software upgrades, maintenance, and/or additional licenses.

City Council 24 – 15 3/1/2022

Ordinance No. NS-XXX

Section 11. Section 2-808 of Article VII.II (P urchasing Rules and Regulations) of Chapter 2 (Administration) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 2-808. Local preference in contracts for services.

Except for those contracts for which the Charter of the City of Santa Ana prohibits the provision of a local pref erence, and/or those contract s funded through programs or partners which prohibit the use of a local pr eference, the city council authorizes the agency to extend a preference to local business and Orange County Business as set forth herein.

(a) Contracts for services shall be awarded on the basis of demonstrated competence and on the professional qualifications necessary to for the satisfactory performance of the services required. In evaluating proposals for service contracts in amount s up to one hundred thousand dollars ($100,000.00), proposers which qualif y as local business or Orange County business shall be eligible for prefer ence points. The preference shall be added to the proposal to reach a fi nal score in determining the most advantageous proposal. Said preference shall be set by resolution of the city council.

(b) A non local proposer associating wit h a local business or Orange County business, shall be eligible for the lo cal preference if a minimum of fifty (50) percent of the contract value will be performed by the local business or Orange County business.

Section 12. Section 33-200 of Article VIII (Public Works Construction Rules and Regulations) of Chapter 33 (Streets, Sidewalks and Public Works) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 33-200. Purposes.

(a) These rules and regulations for the c ontracting of public works construction services are to comply with section 421 422 of the city charter to:

(1) Establish efficient procedures for construction of public works; (2) Distinguish between traditional pu blic works construction and other more innovative modes of proj ect management and project delivery which still comply with the city's charter; and
(3) Establish procedures to allow fo r the efficient and fair construction of public works without favor or prejudice.
(b) The city council finds that the city 's charter, including but not limited to sections 200 , and 421, and 422 conflict with existing state law set forth in the California Public Contract Code. Said charter provisions, this article City Council 24 – 16 3/1/2022

Ordinance No. NS-XXX

and the administrative procedures adopt ed by the executive director of public works pursuant to section 33-204, are intended, and shall be interpreted, to constitute a complete statement of the city's public works construction rules and regulations. The city council declares there exists a fundamental conflict between the city's charter, ordinances, administrative rules and regulations, on the one hand, and the California Public Contract Code provisions regulating public wor ks construction, on the other hand, both generally and specifically. This conflict infringes on the city's constitutional authority to govern it s municipal affairs. The city council intends to and does hereby exempt public works construction from being subject to any provision of the Califor nia Public Contract Code, except to the extent that any such provisio ns may be expressly incorporated in applicable administr ative procedures.

Section 13. Section 33-202 of Article VIII (Public Works Construction Rules and Regulations) of Chapter 33 (Streets, Sidewalks and Public Works) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 33-202. Definitions.

For purposes of this article, the following definitions shall apply:

Construction manager shall mean an agent of the city who provides the city with professional services in the fields of technology, scheduling, ability to construct, and/or management of the fiscal aspects of a public works project. A construction manager shall be responsible for some or all of the following:
(1) Overseeing a public works project through completion of construction;
(2) Assumption of financial responsibility;
(3) Hiring of an architect/designer, if necessary, through a qualification process consistent with procedures established pursuant to section 2-803; and/or
(4) Contracting for actual constructi on work by award of a contract to the lowest and best bidder in conformance with section 421 422 of the city's charter.

Design-build-bid shall mean a procurement process in which both the design and construction manager professional services for a public works project are procured from a single entity, while the actual construction work is awarded by the entity to the lowest and best bidder in conformance with section 421 422 of the city's charter.

Professional services shall have the same meaning as in section 2-802 of this code.

Public works shall have the same meaning as in California Labor Code sections 1720, 1720.2, 1720.3, and 1771 and as may be amended from time to time.

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Ordinance No. NS-XXX

Public works construction shall have the same meaning as in section 421 422 of the city's charter.

Public works project shall mean the totality of a project, including both professional services and public works construction, which ultimately results in the erection or improvement of public buildings, streets, drains, sewers, parks or playgrounds.

Purchasing manager shall have the same meaning as in section 2-802 of this code.

Section 14. Section 33-203 of Article VIII (Public Works Construction Rules and Regulations) of Chapter 33 (Streets, Sidewalks and Public Works) of the Santa Ana Municipal Code is hereby amended to read in its entirety as follows:

Sec. 33-203. Procurement of public works construction.

(a) Contracts involving expenditures not exceeding fifty thousand dollars ($50,000) may be entered into administratively without informal or formal bidding.
(b) Contracts involving expenditures bet ween fifty thousand dollars ($50,000) and two hundred fifty thousand dollars ($250,000) shall require informal bidding. The informal bidding process shall provide for at a minimum the following:
(1) There shall be a written invitation for bid which shall include the following information: A general description of the public works construction, the place to obtain the plans and specifications, the date, time, and place for bid opening when applicable, bid instructions, and the terms and conditions of the bid and any resulting contract.
(2) Where required by state law or federal law or regulations, or upon request by a bidder, the bids shall be opened, if sealed, and declared in public at the time and place stated on the “Invitation for Bid.”
(c) The following procedure shall apply to every contract for which final plans and specifications are available in volving an expenditure of more than five hundred dollars ($500.00) two hundred fifty thousand dollars ($250,000) for non-emergency public wo rks construction:

( a1) Notice inviting bids. Notice inviting bids shall include a general description of the public works c onstruction, the place to obtain the plans and specifications, and the date, time and place for opening bids. The notice shall be publis hed in a newspaper of general circulation in the city for at leas t two (2) days, the first of which shall be at least ten (10) days befor e the date set for opening bids. The city shall make a good faith effort to send a notice inviting bids to all City Council 24 – 18 3/1/2022

Ordinance No. NS-XXX

businesses engaged in providing labor and materials for such construction located within the boundaries of the city.

( b2) The bid. Included with the plans and specifications for a work of public works construction sha ll be the following documents:

Instructions to bidder, propos al, bond samples and the contract. The bidder shall execute the proposal and contract, and submit them sealed with at least a ten (10) per cent bid bond, cashier's check or certified check.

( c3) Award of contract. Upon opening the bids at on the date, time and place stated in the notice, t he aggregate bid of each bidder shall be publicly declared. Fo llowing the determination of the lowest and best bidder, the proposal and agreement from this bidder shall be sent to the city attorney for approval as to form. The documents shall then be presented to the city council for approval and authorization for execution. If two (2 ) or more bids received are the same and the lowest, the council may accept the one it chooses.

( d4) Notification of award. A notification letter, a request for bonds, when necessary, and a copy of the fully executed contract shall be delivered to the successful bidder.

( e5) Performance bonds. To secure faithful performance of the contract, the city manager is authorized to require security in the form of cash, cashier's check, certified che ck or corporate faithful performance bonds, in the following percent ages of the aggregate amount bid:

One hundred (100) per cent bond for faithful performance, and fifty (50) per cent contractor's payment bond.

( f6) Rejection of bids. The right to reject all bids is expressly reserved to the city council. After rejecting such bids, or if no bids are received, the city council may determine and declare that, in its opinion based on estimates submitted by the city manager, the public works construction may be performed better or more economically by the city with its own employees, and a fter the adoption of a motion to this effect by the affirmative votes of at least two-thirds (⅔) of the members of the city council, the council may proceed to have said work done in the manner stated without further observance of the provision of this article.

Section 15. The City Council finds and dete rmines that this Ordinance is not subject to the California En vironmental Quality Act (CEQ A) pursuant to Sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is City Council 24 – 19 3/1/2022

Ordinance No. NS-XXX

no possibility it will have a significant effect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines.

Section 16. 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 irres pective of the fact that any one or more sections, subsections, sentences, clauses, phras es, or portions be declared invalid or unconstitutional.

Section 17. This Ordinance shall become effect ive thirty (30) days after its adoption.

Section 18. 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 ___________, 2022.

_________________________
Vicente Sarmiento
M a y o r

APPROVED AS TO FORM:

Sonia R. Carvalho, City Attorney

By:_________________________
John M. Funk
Sr. Assistant City Attorney

AYES: Councilmembers ______________________________________

NOES: Councilmembers _____________________ __________________

ABSTAIN: Councilmembers _______________________________________

NOT PRESENT: Councilmember s _______________________________________

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Ordinance No. NS-XXX

CERTIFICATE OF ATTESTATION AND ORIGINALITY

I, Daisy Gomez, Clerk of the Council, do her eby attest to and certify the attached Ordinance No. NS-____________ to be the orig inal 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
City Council 24 – 21 3/1/2022
Finance and Management Services
www.santa-ana.org/finance
Item # 25
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
March 1, 2022
TOPIC: Fiscal Year 2021-2022 Mid-Year Budget Update
AGENDA TITLE:

Fiscal Year 2021-2022 Mid-Year Budget Update

RECOMMENDED ACTION

1. Receive and file the Fiscal Year 2021-22 Mid-Year Budget Update, including revised revenue estimates (Exhibit 1).

2. Approve recommended Mid-Year Appropriation Adjustments described below and in Exhibit 2. (Requires five affirmative votes)

3. Approve recommended Appropriation Adjustments described in Exhibit 3 to reallocate Pension Debt and Unfunded Liability expenditures for Fiscal Year 2021-2022 to align with results of the pension debt refinancing. There is no net fiscal impact to the overall budget, but there are adjustments between departments and funds. (Requires five affirmative votes)

4. Adopt a resolution amending the current Fiscal Year 2021-2022 Annual Budget to add 14 full-time positions in the Public Works Agency, Clerk of the Council, City Attorney’s Office, Parks, Recreation & Community Service Agency, and Library, and to delete 6 full-time positions in the Parks, Recreation & Community Services Agency and Library.

There is no net fiscal impact to the overall budget (Exhibit 4).

5. Adopt a resolution adding classification titles to the Classification and Compensation Plan (Exhibit 5).

EXECUTIVE SUMMARY
The Mid-Year Budget Update provides a General Fund snapshot of the first six months of the fiscal year. The report also includes notable budget impacts for other funds, a summary of General Fund revenues and expenditures, a vacancy report as of December 31, 2021, proposed workforce changes, and proposed budget amendments. In addition, the Estimated Fund Balance report includes an updated summary of all funds as detailed in Exhibit 6, which highlights the estimated fund balance at June 30, 2022, including funds with projected deficit balances to be addressed. Brief descriptions are provided in each City Council 25 – 1 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

section, but more detailed information is provided in related exhibits noted throughout the report. A summary of the General Fund follows.

Original
Budget
With
Carryovers
Approved
September 21,
2021
With First
Quarter
Adjustments
Approved
January 18,
2022
With
Adjustments
Proposed in
this Report
Beginning Balance $71,187,440 $75,229,927 $109,415,983 $109,415,983 Revenue 340,944,200 340,944,200 357,524,200 364,127,209 Expenditures (328,791,570 (332,834,057) (351,455,957) (350,438,147) Net Transfers (24,703,590) (24,703,590) (35,503,590) (36,568,949) Net Activity (12,550,960) (16,593,447) (29,435,347) (22,879,887) Ending Balance $58,636,480 $58,636,480 $79,980,636 $86,536,096 Policy Reserve
Requirement
61,369,956 61,369,956 64,354,356 65,542,898
Excess/(Deficiency) $(2,733,476) $(2,733,476) $15,626,280 $20,993,198

DISCUSSION
The General Fund is the City’s primary operating budget. During the year, staff meets with consultants, reviews current trends, and meets with City departments to identify potential adjustments to revenues and expenditures. Discussed below is a review of revenue and expenditures.

General Fund Revenues
During the second quarter FY 2021-22, the City received approximately $128.5 million in General Fund revenues, which is 35.9 percent of the annual estimate.

After analyzing revenue through December 2021, staff recommends adjustments to the estimates with a net increase of $6.6 million as summarized below.

City Council 25 – 2 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Sales Tax (Bradley-Burns & Measure X): Total Sales Tax collected for the second quarter is approximately $19.6 million for Bradley-Burns and $27.3 million for Measure X, for a combined total of $46.8 million. The First Quarter Budget Report approved on January 18, 2022 included adjustments for Sales Tax estimates. The City’s Sales Tax consultant has noted strong performance from General Retail (i.e., Department Stores/Online Retailers) and Transportation (i.e., New Auto Sales) sectors, which warrants a further increase of the Measure X estimate by $1.75 million.

Property Tax, Property Tax in lieu of VLF (VLF), & Santa Ana Residual Property Tax:

The City received updated information for current fiscal year property assessments and included an adjustment in the First Quarter Budget Report. However, an adjustment for Property Tax in lieu of Vehicle License Fees (VLF) can be made with this report. The City receives its first 50-percent allocation from the State in January and can forecast the total revenue for the fiscal year. The City has received the January payment and can increase the revenue estimate by $517,300.

Half-Cent Sales Tax for Public Safety: Half-Cent Sales Tax (Safety) collected for the second quarter is nearly one million. The latest projections from the City’s Sales Tax consultant for annual revenue is $2.6 million, which represents a 6.4 percent increase from FY 2020-21 actual revenue, in line with other sales tax revenues. Staff has increased the budget estimate by $140,700 accordingly.

Hotel Visitors’ Tax (HVT): HVT collected for the second quarter is $3.3 million, which is nearly double the amount of the prior year’s second quarter results of $1.7 million. During the first six months of the year, HVT revenue has continued to improve, showing some semblance of recovery from the pandemic. The top 15 hotels in Santa Ana generated the majority of HVT revenues, including the hotels along Hotel Terrace Drive near John City Council 25 – 3 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Wayne Airport, driving the revenue recovery from the pandemic. Given this recent performance, the revenue estimate is increased by $2.0 million, for a total budget estimate of $7.0 million.

Utility Users’ Tax (UUT): UUT collected for the second quarter is $10.8 million, which exceeded last year’s second quarter revenues of $10.2 million by $0.6 million. Currently, the electric, gas and water utilities are trending above last year’s second quarter results due to rate increases. However, the telecommunications utility users’ tax is nearly $0.7 million less than the prior year. Original UUT estimates anticipated positive results of revenue audits. However, the audits are ongoing, with completion likely occurring during FY 2022-23. At this time, we do not recommend any adjustments to revenue estimates, as we expect UUT revenue in aggregate to approximate the budget.

Business License Tax (BLT): The BLT revenue of $3.4 million collected in the second quarter exceeded last year’s revenues of $2.9 million by $0.5 million. The current trend and annual rate increase based on the Consumer Price Index (CPI) have resulted in the revenue estimate increasing by $1.8 million for a total adjusted budget of $14 million in business tax revenue, which is in line with revenue received in FY 2020-21 of $13.7 million. Peak business license tax activity occurs during the second half of the fiscal year, when approximately 70 percent of annual BLT is collected.

Cannabis Tax Revenues: The Cannabis Tax includes revenues received from medical, adult-use retail, cultivation, distribution, manufacturing and testing. With the availability of retail cannabis, we continue to see tax revenue decrease from the medical sector, and are reducing the estimate by $350,000. Cannabis tax from the medical sector is not part of the two-thirds set-aside. Therefore, this adjustment will not impact the Cannabis Public Benefit Fund.

Overall, tax revenue from the retail and commercial sectors are on track to meet the original budget estimate and staff does not propose any adjustments at this time.

Parks, Recreation and Community Service Fees: Staff reduced the revenue estimates from nearly $2.0 million to $0.7 million the prior year as the pandemic continued to significantly delay the operation of recreation programs and facility usage. The City received $1.3 million in FY 2020-21, which is better than expected. Though the pandemic has continued to impact PRCSA operations for much longer than originally anticipated, current year revenue estimates were slightly decreased by $29,191, from $1.94 million to $1.91 million. Zoo admission revenues are anticipating some uptick in activity, meanwhile Zoo Education and Leisure Classes revenues continues to be negatively impacted by delays in resuming recreation programs and facility operations.

Planning and Building Charges and Fees: The City received $11.1 million of Planning and Building revenue in FY 2020-21. The current budget includes a revenue estimate of $10.4 million. Plan Check activity is performing a little better than expected as a result of City Council 25 – 4 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

a one-time spike in activity related to large construction projects for residential and mix- use development on 3rd & Broadway, Rafferty, Warner & Red Hill, 2727 Main Place, and Lacy Crossing. Staff has increased the revenue estimate by $774,200 accordingly.

Jail Revenue: The jail revenue is based on a fee of $115 per inmate, multiplied by the average daily population (ADP). The current level of ADP for the US Marshals indicates that revenue is on track to meet the current year’s budget estimates. However, the revenue for the Federal Bureau of Prisons (BOP) is showing a decline based on a lower ADP count used for the budget projections. Staff will continue to monitor jail revenue and does not recommend an adjustment at this time, as we expect jail revenue in aggregate to approximate the budget.

General Fund Expenditures
As of December 2021, General Fund expenditures are at 53.5 percent of budget. The City has spent more than half of the General Fund budget due to the pension debt payment in the first half of the fiscal year and the one-month advance for contracted fire services.

As part of the Mid-Year Report adjustments, staff recommends an increase in the General Fund Operating Budget by a net adjustment of $53,690, which includes the pension debt expense savings discussed in more detail below. Exhibit 2 and 3 includes a table of recommended adjustments. Discussion follows for notable items.

Pension Obligation Bonds Adjustment Summary
As part of the debt refinancing, housekeeping adjustments are necessary to realign the overall current year budget between departments and funds. There is no impact to the overall budget. However, the net impact to the General Fund is an expenditure reduction of $690,577. A summary of these proposed appropriation adjustments is identified in Exhibit 3.

At the February 15, 2021 meeting, staff provided the City Council with a Pension Debt Update and proposed that the FY 2022-23 budget reflect the same budget level as the current year of $54.3 million, with a plan to deposit the $9.5 million of cost-savings across all funds into the City’s Section 115 Trust for future cost stabilization.

Workforce Changes
In preparation for the Mid-Year Report, City departments review budgets and propose budget updates and workforce changes to reflect organizational changes. A summary of key updates is below with a more detailed report in Exhibits 2, 4, 5 and 6.

Human Resources: The Human Resources Department is requesting the creation of four full-time classifications and one part-time classification as detailed in Exhibit 5. The classifications will enhance program operations and efficiency in the areas of organizational development and training and risk management in the future. The creation of the classifications and applicable salary ranges will not result in an increase in City Council 25 – 5 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

budgeted positions. As such, there is no net fiscal impact to the budget associated with the creation of the classifications.

Library: The Library is requesting the following workforce changes to streamline departmental staffing and onboarding processes. The Library is requesting the deletion of a Bibliographic Technician, Youth Services Technician, and Supervising Library Services Assistant to eliminate solitary positions that do not correspond with the Library’s paraprofessional promotional ladder. The deletion of these positions streamlines and clarifies the paraprofessional promotional ladder, allowing Library Service Assistants to promote to Library Technicians and subsequently to Senior Library Technicians. The deleted positions will be reallocated to two Senior Library Technicians and one Library Technician. Additionally, to reduce the number of part-time personnel in order to save on recruitment and training, the department is requesting the addition of one Library Technician and one Library Services Assistant to be funded with salary savings from the consolidation and elimination of part-time positions. Furthermore, the Parks, Recreation & Community Services Agency is reassigning one Management Analyst to Library to provide administrative support for fiscal operations.

Parks, Recreation & Community Services Agency (PRCSA): PRCSA is requesting the following workforce changes to promote programmatic efficiencies, supervision and recent operational changes. To provide appropriate supervision for various programs, PRCSA is requesting the deletion of one Recreation and Community Events Supervisor and one Recreation Leader, and reallocating those positions to two Recreation and Community Services Supervisors. Funding for remainder of the fiscal year will come from the deleted positions and salary savings from vacancies during the first half of the fiscal year, resulting in no net fiscal impact. As mentioned above, PRCSA is requesting to reassign the Management Analyst position to Library to complete the final transition of Library services.

Police Department: As requested by the City Council, the Police Department has initiated a strategic plan to reallocate $1.07M funding proposal from the Metropolitan Division to focus on youth investment services, trauma-informed training, sensitivity training in interacting with impacted communities such as the LGBTQ community, and re-organized the Department to include a Community Engagement / Family and Youth Services Division. Further youth services investment in PAAL and the Family Justice Center have been implemented and Police personnel will also be engaging local Santa Ana-based nonprofits for gang/trauma prevention, mitigation and response.

Public Works Agency (PWA): The Public Works Agency (PWA) is involved in numerous capital improvement projects (CIP) for FY 2021-22, including $14.6 million in Revive Santa Ana projects. As such, PWA is proposing additional staff to the CIP team, including a Projects Manager and two Engineering Technicians. Budget from contractual services savings will be reallocated to fund these three positions, resulting in no net fiscal impact to the budget.

City Council 25 – 6 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Additionally, the City approved funding for the Protected Bike Lane sweeping program as part of the First Quarter Budget Report. Part of the funding will be for the operation of a mini-sweeper and will be operated by an Equipment Operator. The proposed workforce change includes this addition.

Summary of Workforce Changes
The following table summarizes the Workforce Changes, including the addition and reallocation of positions. There is no net fiscal impact to the overall budget as existing department budgets will be used to fund the eight total net positions, which includes five positions from the General Fund and three positions from the Non-General Fund.

Department Quantity Position
General Fund
(GF) or
Non-General
Fund (Non-GF)
Public Works Agency 1 Equipment Operator I GF
Public Works Agency 1 Projects Manager Non-GF
Public Works Agency 2 Engineering Technicians Non-GF
Clerk of the Council 1 Senior Deputy Clerk of the Council GF City Attorney’s Office 1 Senior Asst. City Attorney - Employee Relations GF PRCSA 2 Recreation and Community Services Supervisor GF PRCSA -1 Recreation Leader GF
PRCSA -1 Recreation and Community Events Supervisor GF
PRCSA -1 Management Analyst (Transfer to Library) GF
Library 2 Senior Library Technician GF
Library 2 Library Technician GF
Library 1 Management Analyst (Transfer from PRCSA) GF
Library 1 Library Services Assistant GF
Library -1 Bibliographic Technician GF
Library -1 Youth Services Technician GF
Library -1 Supervising Library Services Assistant GF
8 Total Net Positions
Other General Fund Budget Adjustments
Staff also proposes a budget reduction for the PWA General Fund to correct a duplicate budget entry of $800,000 for streetlights debt service budgeted twice in error.

Furthermore, a funding shortfall of $466,626 for the crossing guard contract was reported at the July 20, 2021 City Council meeting, which was to be addressed during the carryforward process at the second Council meeting in September 2021. However, the carryforward for this was inadvertently missed and an adjustment is necessary to cover the shortfall.

City Council 25 – 7 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

OTHER CITY FUNDS
Cannabis Public Benefit Fund
The Cannabis Public Benefit Fund provides dedicated funding for youth programs implemented through the Parks, Recreation and Community Service Agency and the Library. The Mid-Year budget adjustment includes an increase to the Cannabis Public Benefit Fund expenditures by $7.5 million to spend the remaining fund balance available from the one-third originally allocated to enforcement activities, as reported to City Council on July 20, 2021. Now that the FY 2020-21 books have been closed, the updated balance available from allocations to enforcement activities is $9,152,718. The recommended spending plan for the $7.5 million previously identified in July follows.

Description Amount
Renovation of Centennial Lake for a Youth Fishing Program $2,500,000 Renovate and Program Nature Center at Santiago Park $1,000,000 Install synthetic turf at Dan Young Soccer Complex and synthetic turf and lights at Field 1
$2,500,000
Funding for movies and concerts in the park $500,000
Funding for sports field maintenance $1,000,000
Total $7,500,000
Staff also proposes to reduce the Cannabis Public Benefit Fund expenditure budget by $214,300 to correct the IT overhead allocation as reported to City Council on September 7, 2021.

Gas Tax Fund
The City receives Gas Tax revenue estimates from the League of California Cities fiscal policy advisor, Michael Coleman. Based on recent information received, we can increase the revenue estimate by $1.0 million. With that adjustment, the updated estimate for the Gas Tax fund balance at June 30, 2022 is $9.8 million. The Budget and Reserve Policy includes a target reserve level of 20 percent of the annual budget, which would be approximately $3.1 million, leaving $6.7 million available for spending.

Public Works has identified a list of immediate sidewalk repairs and the need for additional funding for the Bristol Street Improvement project. Staff recommends appropriating an additional $2.0 million from the available Gas Tax fund balance for sidewalk repairs and $4.0 million for the Bristol Street Improvements Phase 3A (between Civic Center and Washington) and Phase 4 (between Warner and St. Andrew).

The proposed one-time $2.0 million appropriation for sidewalk repairs, combined with the original budget of $2.0 million and the $500,000 recurring appropriation approved with the First Quarter Budget Report will fund significant progress on the City’s sidewalks.

City Council 25 – 8 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Revive Santa Ana – ARPA Funding
On October 5, 2021, the City approved revisions to the Revive Santa Ana, which included a list of projects assigned to various City departments. The requested appropriation adjustments are to align the project budgets into the appropriate City department. The Revive Santa Ana spending plan had originally included a $1.5 million allocation to reimburse the City for OCFA’s COVID-19-related calls. However, COVID-related call volume is much less than previously anticipated. Thus, $500,000 will be reallocated towards accounting and compliance efforts. There is no net fiscal impact associated with this action.

In addition, the City received $117,675 in ticket sales from the Santa Ana Winter Village event and an adjustment is needed to recognize revenue and offset anticipated costs above the project amount. Invoices are currently being processed and staff anticipates that this revenue should be sufficient for the additional costs.

Civic Center Authority
The City has a Joint Powers Authority (JPA) agreement with the County of Orange to pay for shared expenses related to the Civic Center area. These expenses include maintenance, security, and capital projects. The parking revenue collected helps to offset these expenses and the remaining costs are shared with the County of Orange. The City and County each approved the JPA budget. Due to the reduction of parking revenue, the approved Civic Center Authority budget was reduced, which includes a reduction to the City’s shared cost. The requested appropriation adjustments will align the City’s budget with the approved JPA budget.

Community Development Agency (CDA) Grant Funds
CDA is primarily a grant-funded agency. Staff recommends adjustments to various grant fund revenues and expenditures to align the budget with actual funding available and spending plans approved by granting agencies. These adjustments include recognizing revenue and appropriating expenses for the Peebler Capital Projects Fund (South Main Redevelopment Project) and Emergency Rental Assistance (ERA 1) Fund.

Furthermore, staff estimates that several CDA grant funds (i.e., Emergency & Health Grants, Prison to Employment, MS5 HAP CARES Act COVID-19, Housing Authority- Voucher HAP, WIOA, etc.) and the Peebler Capital Projects Fund will have a deficit balance at June 30, 2022 (Exhibit 6). This is the result of timing of billing and pending prior-year grant reimbursements, as grants are multi-year and operate across different fiscal year and calendar year cycles. However, CDA expects to close out several grants this year and receive additional revenue from grant reimbursements to address some of the projected deficit fund balances. Staff will continue to monitor grant and capital activity over the next six months.

City Council 25 – 9 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Parking Enterprise Fund
The Parking Enterprise fund was significantly impacted by the pandemic, but with the option of outdoor dining and events planned for the year in the downtown area, parking revenue has slightly improved. Staff is recommending an adjustment to increase the revenue estimate by $242,000. However, the City began offering free parking during the weekdays from 7 a.m. to 5 p.m. at four City-owned downtown parking structures beginning February 14, 2022 to provide additional support to downtown businesses affected by the OC Streetcar construction. To help mitigate the revenue loss, staff proposes a one-time General Fund subsidy of $789,000 to address the estimated deficit balance at year-end.

City Services
The City Services fund allows for developers to submit fees to have City staff or consultants perform expedited inspections, accelerated plan checks, and CIP Construction Project Permits. The proposed adjustments are to recognize revenue and appropriate expenses of $250,000 for CIP Construction Project Permits that were not budgeted in Fiscal Year 2021-22. Additionally, a reduction of $79,700 is needed to eliminate the budget in this fund for the Planning & Building Agency. The revenue and expense were incorrectly budgeted in City Services and has since been corrected to the appropriate funding source.

Federal Clean Water Fund
Unforeseen legal expenses related to the Santa Ana Delhi Conversion Project require the use of available fund balance in the amount of $200,000 to resolve contractor claims as unexpected field conditions discovered during the construction project required additional work to be completed. The contractor claims to seek reimbursement for costs associated with the additional work.

Residential Street Improvements
The proposed adjustments are to recognize street construction fees and appropriate expenses of $300,000 for residential street improvement contracts not included in the original FY 2021-22 budget.

Water Fund
The Water Enterprise revenue provides funding to Water Capital Projects. The adjustment of $10.6 million is to reflect funding for projects that were carried forward from FY 2020-21. In addition, the Water Enterprise reimburses the City’s General Fund for overhead costs. The General Fund budget includes the reimbursement, but the Water Enterprise budget does not. A budget adjustment is necessary to correct the oversight.

Deferred Compensation Plan
FMSA is the Plan Administrator for the City’s Deferred Compensation Program and is in receipt of additional fees used to offset administrative costs. Therefore, an adjustment is requested to reflect anticipated revenue and expense.

City Council 25 – 10 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

Central Services Fund
Central Services is responsible for mail, printing, and delivery services and charges City departments for these services. With the usage of email and multifunctioning printers, service levels have decreased and revenue has declined. Staff estimates the fund will have a deficit balance of approximately $426,000 at June 30, 2022 resulting from multiple years of an unbalanced budget. Staff proposes a one-time General Fund subsidy of $426,000 to address the estimated deficit balance at year-end. The proposed FY 2022- 23 budget will include a recommendation to fold this fund’s activity into the General Fund and rebalance the budget.

PWA Engineering and Project Management Fund
This fund charges capital projects for engineering services provided by City staff. Funds are received from the capital funds to recover the City’s cost for labor and overhead costs.

PWA is currently updating its cost recovery plan, which will be used as a basis for covering these costs. When submitted and approved by the appropriate grant agency, the City may recover additional costs not currently being received, which will improve the current projected deficit.

During the upcoming budget year, Public Works and Finance staff will review its current practice for project charges, which may require some General Fund support.

Other Grant Funds
As part of the Mid-Year review, staff is taking a proactive stance in working with departments to address grant funds projected to end the fiscal year with a deficit balance, such as the Police Athletic and Activities League, Department of Justice Grant, Office of Safety Grant, and Planning Grants Program. As such, departments are expecting to bill or receive reimbursements this year to correct the estimated deficit balance, which will help bring some balances back in the positive.

Capital Projects Funds
Similarly, staff is working to address capital projects with projected deficit balances at year-end resulting from timing of billing and pending prior year grant reimbursements.

PWA also expects to bill or receive reimbursements to address the estimated deficit balance.

Full-Time Employee Position Vacancy Report
Exhibit 1 includes the staff vacancy report is as of December 31, 2021. It reflects all staffing changes authorized to date, including the 21 positions across various departments approved by the City Council on October 5, 2021 for the Revive Santa Ana program.

As of December 31, there is a total of 168 total vacancies (Exhibit 1), of which 138 are funded vacant positions and 30 are subject to the hiring freeze. Positions subject to the City Council 25 – 11 3/1/2022
Receive and file the FY 2021-2022 Mid-Year Budget Update March 1, 2022

hiring freeze provided $2.9 million in savings in the current-year budget. With the First Quarter Budget Report, the City Council approved a partial restoration of frozen positions in the current year, with a total fiscal impact of $0.4 million across various departments.

The vacancy report as of December 31 does not reflect the approved $0.4 million to partially restore hiring freeze positions.

ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.

FISCAL IMPACT
The summary of General Fund fiscal impact appears at the beginning of this report, and staff has listed all recommended appropriation adjustments in Exhibits 2 and 3, which incorporates the updated revenue estimates (i.e., Sales Tax and Property Tax) and workforce changes approved from the First Quarter Budget Report on January 18, 2022 and the updated recommendations contained herein. The Estimated Fund Balance Summary as of June 30, 2022 in Exhibit 6 includes the updated budget and estimated ending fund balance for all funds with the approved First Quarter Budget Report adjustments. However, Exhibit 6 does not reflect the proposed Mid-Year budget adjustments within this report.

EXHIBITS

1. Fiscal Year 2021-2022 – Mid-Year Budget Update

2. Mid-Year Appropriation Adjustments

3. Pension Related Appropriation Adjustments

4. Personnel Resolution

5. Classification and Compensation Plan Resolution

6. Estimated Fund Balance Summary as of June 30, 2022
Submitted By: Kathryn Downs, FMSA Executive Director
Approved By: Kristine Ridge, City Manager
City Council 25 – 12 3/1/2022
1 Mid -Ye a r
Re p o rt
Fi scal Y ear 2021 - 2022

CITY OF S ANTA ANA
C it y C o u n c il Me e t in g - M arch 1 , 2022
EXHIBIT 1
City Council 25 – 13 3/1/2022
AGENDA
Topics To Be Covered
• NET GENERAL FUND IMPACT
• MID-Y EAR GENERAL FUND REVENUES
• MID-Y EAR GENERAL FUND EXPENDITURES
• VACANCY REPORT AS OF DECEMBER 3 1
2 City Council 25 – 14 3/1/2022

NET GENERAL FUND IMPACT
3 City Council 25 – 15 3/1/2022

NET GENERAL FUND ACTIVITY
4 City Council 25 – 16 3/1/2022

MID-YEAR GENERAL FUND REVENUES
5 City Council 25 – 17 3/1/2022

MID-YEAR GENERAL FUND EXPENDITURES
6 City Council 25 – 18 3/1/2022
VACANCY REP ORT AS OF DEC. 3 1
7 City Council 25 – 19 3/1/2022
General Fund
Revenue Adjustments
Description FY 20-21
Actual
FY 21-22
Budget FY 21-22 Update
Mid-Year
Adjustment
Increase/
(Decrease)
Prop Tax-In Lieu VLF 36,073,260 37,332,300 37,849,600 517,300 Half-Cent Sales Tax (Safety) 2,440,216 2,455,700 2,596,400 140,700 Sales Tax - Measure X* 75,094,336 77,250,000 79,000,000 1,750,000 Hotel Visitor's Tax 4,349,952 5,000,000 7,000,000 2,000,000 Business Tax 13,718,021 12,200,000 14,000,000 1,800,000 Medical Marijuana Taxes 1,297,741 1,350,000 1,000,000 (350,000) Zoo Education 319 77,500 1,858 (75,642)
Zoo Admissions 997,565 1,046,900 1,253,260 206,360
Leisure Classes (2,483) 172,100 12,191 (159,909)
Building Plan Check 2,058,215 1,925,800 2,700,000 774,200 Other Revenue* - No Adjustments Needed 216,902,443 218,713,900 218,713,900 0 Total General Fund Revenue Adjustments 352,929,584 357,524,200 364,127,209 6,603,009 *FY 21-22 Budget includes 1st Quarter Budget Report revenue adjustments EXHIBIT 2A
City Council 25 – 20 3/1/2022
General Fund Adjustments
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
Library 01111110 61XXX Reassign Management Analyst to Library from PRCSA to provide administrative and fiscal support 42,549.00
Parks, Recreation and Community Services 01113200 61XXX Reassign Management Analyst to Library from PRCSA to complete the final transition of Library services (42,549.00)
Public Works Agency 01117002 59000-162 Transfer from Energy Conservation Program Fund for retrofitting of streetlights 6,140.78
Public Works Agency 01117630 63001 Increase appropriations for retrofitting of streetlights 6,140.78 Public Works Agency 01117630 67004 Adjustment for duplicate budget entry for streetlights debt service (800,000.00)
Public Works Agency 01117644 62300 Increase appropriations for crossing guard contract shortfall as identified in the July 20, 2021 City Council Meeting 466,626.00 Transfers Out 01106019 68000-027 Subsidy to Parking Enterprise Fund for year-end projected negative fund balance 789,000.00
Transfers Out 01106019 68000-071 Subsidy to Central Services for year-end projected negative fund balance 426,000.00
Transfers Out 01106019 68000-074 Reduce City's contribution to Civic Center Authority (143,500.00) Total General Fund: 6,140.78 744,266.78
EXHIBIT 2B
City Council 25 – 21 3/1/2022
Non-General Fund Adjustments
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
Cannabis Public Benefit Fund 01202002 50001 Use of available Cannabis Public Benefit Fund balance for youth programs and projects 7,500,000.00
Cannabis Public Benefit Fund 01213020 66220 Renovation of Centennial Lake for a Youth Fishing Program 2,500,000.00 Cannabis Public Benefit Fund 01213020 66220 Renovate and program Nature Center at Santiago Park 1,000,000.00 Cannabis Public Benefit Fund 01213020 66220 Install synthetic turf at Dan Young Soccer Complex and synthetic turf and lights at Field 1 2,500,000.00
Cannabis Public Benefit Fund 01213020 62300 Funding for movies and concerts in the park 500,000.00 Cannabis Public Benefit Fund 01213020 62300 Funding for sports field maintenance 1,000,000.00 Cannabis Public Benefit Fund 01208010 65050
Adjustment to reduce appropriations to correct IT overhead erroneously charged to CAO in Cannabis Public Benefit Fund as identified in the September 7, 2021 City Council Meeting (214,300.00)
CDA - Parking Enterprise Fund 02718002 5XXXX Increase Parking Enterprise Fund revenues to align with current trend 242,000.00
CDA - Parking Enterprise Fund 02718002 59000-011 Transfer from General Fund to rebalance Parking Enterprise Fund's year-end projected negative fund balance 789,000.00 Public Works - Gas Tax 02917002 52300 Updated revenue estimate from League of California Cities 63,220.00 Public Works - Gas Tax 02917002 52301 Updated revenue estimate from League of California Cities 34,918.00 Public Works - Gas Tax 02917002 52302 Updated revenue estimate from League of California Cities 258,700.00 Public Works - Gas Tax 02917002 52320 Updated revenue estimate from League of California Cities 228,103.00 Public Works - Gas Tax 02917002 52321 Updated revenue estimate from League of California Cities 427,030.00 Public Works - Gas Tax 02917002 50001 Use of available Gas Tax Fund balance for additional sidewalk repairs and Bristol Street Improvements Phase 3A & Phase 4 6,000,000.00 City Council 25 – 22 3/1/2022
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
Public Works - Gas Tax 02917660 62300 Funding for additional sidewalk repairs and Bristol Street Improvements Phase 3A & Phase 4 6,000,000.00
PBA - City Services 05316002 53635 Reduce revenues to zero out budget due to revenue being incorrectly budgeted in City Services (79,700.00)
PBA - City Services 05316021 62312 Reduce appropriations to zero out budget due to expense being incorrectly budgeted in City Services (79,700.00)
PWA - City Services 05317002 51708 Increase CIP Construction Projects Permits revenues 250,000.00 PWA - City Services 05317021 62340 Funding for Community Workforce Agreement consultant 250,000.00 PWA - Federal Clean Water Protection 05717002 50001
Use of available Federal Clean Water Protection fund balance for unforeseen legal expenses to resolve a contractor claim associated with the Santa Ana Delhi Diversion Project
200,000.00
PWA - Federal Clean Water Protection 05717640 62300 Funding for unforeseen legal expenses to resolve a contractor claim associated with the Santa Ana Delhi Diversion Project 200,000.00 PWA - Residential Street Improvement 05817002 53706 Increase Street Construction Fee revenues 300,000.00 PWA - Residential Street Improvement 05817660 62300 Funding for residential street improvement contracts 300,000.00 Public Works - Water Fund 06017002 50001 Adjustment for Water General Fund Overhead 4,537,900.00 Public Works - Water Fund 06017642 65500 Adjustment for Water General Fund Overhead 4,537,900.00 Public Works - Water Fund 06017002 50001 Use of available Water Enterprise Fund balance for Water Capital Projects 10,553,117.00
Public Works - Water Fund 06017019 68000-66 Transfer to Water Capital Fund 10,553,117.00 Public Works - Water Capital Fund 06617002 59000-060 Transfer from Water Enterprise Fund 10,553,117.00 Public Works - Water Capital Fund 06617647 66301 Funding for Water Capital Projects 10,553,117.00 FMSA - Central Services 07110002 59000-011 Transfer from General Fund to rebalance Central Services' year- end projected negative fund balance 426,000.00
City Council 25 – 23 3/1/2022
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
Civic Center Authority 07413002 53322 Revenue adjustment to reflect Civic Center Authority's Adopted Budget - Projects 76,816.00
Civic Center Authority 07413002 53323 Revenue adjustment to reflect Civic Center Authority's Adopted Budget - Maintenance (430,454.00)
Civic Center Authority 07413002 53324 Revenue adjustment to reflect Civic Center Authority's Adopted Budget - Security (370,000.00)
Civic Center Authority 07413002 59000-011 Transfer from General Fund for City's reduced contribution to Civic Center Authority (143,500.00)
Civic Center Authority - Maintenance 07413015 69135 Adjustment to reflect Civic Center Authority's Adopted Budget (143,500.00) Civic Center Authority - Maintenance 07413250 61XXX Adjustment to reflect Civic Center Authority's Adopted Budget (237,804.00) Civic Center Authority - Maintenance 07413250 62XXX Adjustment to reflect Civic Center Authority's Adopted Budget (117,650.00) Civic Center Authority - Maintenance 07413250 63XXX Adjustment to reflect Civic Center Authority's Adopted Budget (31,090.00) Civic Center Authority - Maintenance 07413250 65400 Adjustment to reflect Civic Center Authority's Adopted Budget (36,910.00) Civic Center Authority - Capital 07413260 66220
Adjustment to reflect Civic Center Authority's Adopted Budget for replacement of street and pedestrian lighting with LED lighting along the Civic Center perimeter
76,816.00
Civic Center Authority - Security 07414400 65XXX Adjustment to reflect Civic Center Authority's Adopted Budget (50,000.00) PWA - CIP Engineering 08617613 61000 Transfer from contractual services savings to fund one Projects Manager and two Engineering Technicians 128,000.00
PWA - CIP Engineering 08617613 62300 Transfer contractual services savings to salary to fund one Projects Manager and two Engineering Technicians (128,000.00) Deferred Compensation Plan - Section 457 Admin 10010002 57994 Projected revenue increase for Deferred Compensation Plan - Fees 18,000.00
Deferred Compensation Plan - Section 457 Admin 10010002 57991 Projected revenue increase for Deferred Compensation Plan - Misc. Receipts 200.00
Deferred Compensation Plan - Section 457 Admin 10010172 69109 Projected increase for deferred compensation expenses 36,500.00 City Council 25 – 24 3/1/2022
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
CDA - HEAP Grant 12218002 5XXXX Reduce revenues to reflect grant close-out and fully expended funds (235,320.00)
CDA - HEAP Grant 12218700 6XXXX Reduce appropriations to reflect grant close-out and fully expended funds (235,320.00)
CDA - Workforce Innovation and Opportunity Act 12318002 52001 Use of FY20/21 unspent grant revenues for WIOA Youth and Dislocated Worker Program 32,031.54
CDA - Workforce Innovation and Opportunity Act 12318750 6XXXX Appropriate FY20/21 unspent grant budget for WIOA Youth Council 17,295.18
CDA - Workforce Innovation and Opportunity Act 12318754 6XXXX Appropriate FY20/21 unspent grant budget for WIOA Dislocated Worker 14,736.36
CDA - Community Development Block Grant 13518002 52008 Reduce revenues to reflect available CDBG grant fund balance (400,000.00) CDA - Community Development Block Grant 13518783 66220 Reduce appropriations to reflect available CDBG grant fund balance (400,000.00)
CDA - Community Development Block Grant 13518002 52008 Reduce revenues to reflect available CDBG-CV grant reimbursement (1,399,029.32)
CDA - Community Development Block Grant 13518788 69135 Reduce appropriations to reflect available CDBG-CV grant fund balance (1,399,029.32)
CDA - Community Development Block Grant 13518002 52010 Reduce revenues to reflect available ESG-CV grant reimbursement (471,169.06)
CDA - Community Development Block Grant 13518789 69135 Reduce appropriations to reflect available ESG-CV grant fund balance (471,169.06)
PWA - Energy Conservation Program 16217630 68000-011 Transfer to General Fund for retrofitting streetlights 6,140.78 CDA - Emergency Rental Assistance 17718002 5XXXX Use of FY20/21 unspent grant revenues and investment earnings (ERA 1) 679,118.21
CDA - Emergency Rental Assistance 17718700 69135 Appropriate FY20/21 unspent grant budget and investment earnings (ERA 1) 679,118.21
American Rescue Plan Act (ARPA) 18102002 57991 Recognize revenues for Santa Ana Winter Village event ticket sales 117,675.00
PRCSA - American Rescue Plan Act (ARPA) 18113013 62300
Increase appropriations for Santa Ana Winter Village event expenses, which will be offset by revenues collected from ticket sales
117,675.00
City Council 25 – 25 3/1/2022
Department Accounting Unit Account Description of Adjustment Revenue
Increase/
(Decrease)
Expenditure
Increase/
(Decrease)
FMSA - American Rescue Plan Act (ARPA) 18110013 69011 Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program (7,600,000.00) FMSA - American Rescue Plan Act (ARPA) 18110013 61XXX Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program 400,000.00
FMSA - American Rescue Plan Act (ARPA) 18110013 62300 Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program (200,000.00) HR - American Rescue Plan Act (ARPA) 18109013 61XXX Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program 125,000.00
HR - American Rescue Plan Act (ARPA) 18109013 62300 Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program 75,000.00
PWA - American Rescue Plan Act (ARPA) 18117013 62300 Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program 4,500,000.00 CDA - American Rescue Plan Act (ARPA) 18118013 62300 Adjustment to align project budgets to the appropriate city department for the Revive Santa Ana Program 2,700,000.00 CDA - Peebler Capital Fund 41818002 5XXXX Reduce revenues to reflect available grant fund balance (Peebler Fund Capital Projects) (71,683.55)
CDA - Peebler Capital Fund 41818830 66220 Reduce appropriations to reflect available grant fund balance (Peebler Fund Capital Projects) (71,683.55)
CDA - Peebler Capital Fund 41818002 5XXXX Recognize capital project revenues and prior year/current year investment earnings (S. Main Redevelopment) 2,093,569.57 CDA - Peebler Capital Fund 41818831 66220 Appropriate capital project budget and prior year/current year investment earnings (S. Main Redevelopment) 2,093,569.57 Total Non-General Fund: 41,779,659.39 39,447,829.17 City Council 25 – 26 3/1/2022
Accounting
Unit Fund Fund Type Fund Group
61102/61103/61104
Increase/(Decrease)
02718131 027 ENTERPRISE FUNDS PARKING FUND (22,891)
02718132 027 ENTERPRISE FUNDS PARKING FUND (561)
02718133 027 ENTERPRISE FUNDS PARKING FUND (5,751)
05617640 056 ENTERPRISE FUNDS SANITARY SEWER SERVS 66,534 05717640 057 ENTERPRISE FUNDS FEDERAL CLEAN WATER FUND 13,930 06017640 060 ENTERPRISE FUNDS WATER 11,575
06017641 060 ENTERPRISE FUNDS WATER (34,788)
06017644 060 ENTERPRISE FUNDS WATER (5,514)
06017645 060 ENTERPRISE FUNDS WATER 34,055
06017646 060 ENTERPRISE FUNDS WATER 1,467
06017647 060 ENTERPRISE FUNDS WATER 3,826
06717650 067 ENTERPRISE FUNDS SANTA ANA TRAIN STATION 316 06817640 068 ENTERPRISE FUNDS SANITATION 7,197
06817641 068 ENTERPRISE FUNDS SANITATION (24,939)
06917640 069 ENTERPRISE FUNDS REFUSE FUND 24,753
01105020 011 GOVERNMENTAL GENERAL FUND (743,482)
01105020 011 GOVERNMENTAL GENERAL FUND (2,578,459)
01105020 011 GOVERNMENTAL GENERAL FUND (1,203,682)
01117620 011 GOVERNMENTAL GENERAL FUND (10,800)
02917620 029 GOVERNMENTAL GAS TAX 26,115
02917635 029 GOVERNMENTAL GAS TAX 12,729
02917660 029 GOVERNMENTAL GAS TAX 12,729
03109050 031 GOVERNMENTAL AIR QUALITY 4,307
03116510 031 GOVERNMENTAL AIR QUALITY 12,254
07413250 074 GOVERNMENTAL CIVIC CENTER AUTHORITY FUND 4,851 12218700 122 GOVERNMENTAL GRANTS (31,680)
12218715 122 GOVERNMENTAL GRANTS 2,781
12318748 123 GOVERNMENTAL GRANTS (7,305)
12318750 123 GOVERNMENTAL GRANTS (3,769)
12318751 123 GOVERNMENTAL GRANTS (26,886)
12318752 123 GOVERNMENTAL GRANTS 2,515
12318753 123 GOVERNMENTAL GRANTS 64
12318754 123 GOVERNMENTAL GRANTS 4,011
12318755 123 GOVERNMENTAL GRANTS (2,293)
12318756 123 GOVERNMENTAL GRANTS (3,646)
12318757 123 GOVERNMENTAL GRANTS 40
12318762 123 GOVERNMENTAL GRANTS 11,195
12418737 124 GOVERNMENTAL GRANTS (2,151)
12418743 124 GOVERNMENTAL GRANTS 724
12418750 124 GOVERNMENTAL GRANTS (2,703)
12418751 124 GOVERNMENTAL GRANTS 1,326
13018780 130 GOVERNMENTAL GRANTS (15,046)
13318780 133 GOVERNMENTAL HOUSING 4,073
FY21-22 Unfunded Liability
Budget Adjustments
EXHIBIT 3A
City Council 25 – 27 3/1/2022
Accounting
Unit Fund Fund Type Fund Group
61102/61103/61104
Increase/(Decrease)
13518780 135 GOVERNMENTAL GRANTS (19,932)
13518783 135 GOVERNMENTAL GRANTS 95,263
13518785 135 GOVERNMENTAL GRANTS 2,164
13518788 135 GOVERNMENTAL GRANTS (12,698)
13518789 135 GOVERNMENTAL GRANTS 8,477
13918780 139 GOVERNMENTAL HOUSING 220
14018760 140 GOVERNMENTAL HOUSING 26,455
14218760 142 GOVERNMENTAL GRANTS (10)
14218761 142 GOVERNMENTAL GRANTS -
14218762 142 GOVERNMENTAL GRANTS (75)
14418760 144 GOVERNMENTAL GRANTS 2,220
15718760 157 GOVERNMENTAL HOUSING -
15818700 158 GOVERNMENTAL GRANTS (19,500)
17718700 177 GOVERNMENTAL GRANTS 9,750
17718701 177 GOVERNMENTAL GRANTS (15,000)
41718820 417 GOVERNMENTAL INCLUSIONARY HOUSING FEE (2,768) 60718810 607 GOVERNMENTAL RDA-NEW HOUSING (10,013)
07110100 071 INTERNAL SERVICE FUNDS CENTRAL SERVICES (1,820) 07317100 073 INTERNAL SERVICE FUNDS BUILDING MAINTENANCE 1,257 07317101 073 INTERNAL SERVICE FUNDS BUILDING MAINTENANCE (50,729) 07517100 075 INTERNAL SERVICE FUNDS FLEET REPLACEMENT FUND 17,409 07617102 076 INTERNAL SERVICE FUNDS STORES & PROPERTY CONTROL 1,138 08009051 080 INTERNAL SERVICE FUNDS GENERAL LIABILITY (38,734) 08109053 081 INTERNAL SERVICE FUNDS BENEFITS FUND (16,193) 08209054 082 INTERNAL SERVICE FUNDS WORKERS COMPENSATION FUND (67,722) 08517138 085 INTERNAL SERVICE FUNDS CITY YARD (97)
08617611 086 INTERNAL SERVICE FUNDS PWA: ENGINEERING - 08617612 086 INTERNAL SERVICE FUNDS PWA: ENGINEERING - 08617613 086 INTERNAL SERVICE FUNDS PWA: ENGINEERING 123,786 08617620 086 INTERNAL SERVICE FUNDS PWA: ENGINEERING - 10117601 101 INTERNAL SERVICE FUNDS PWA: ADMINISTRATION 16,579 10117605 101 INTERNAL SERVICE FUNDS PWA: ADMINISTRATION 22,938 10920140 109 INTERNAL SERVICE FUNDS IT SERVICES 5,971
10920141 109 INTERNAL SERVICE FUNDS IT SERVICES (10,166) 10920143 109 INTERNAL SERVICE FUNDS IT SERVICES 17,909 10920146 109 INTERNAL SERVICE FUNDS IT SERVICES (8,844) 10920147 109 INTERNAL SERVICE FUNDS IT SERVICES (14,988) 10920148 109 INTERNAL SERVICE FUNDS IT SERVICES (1,201) 67018843 670 PRIVATETRUST RDA-SUCCESSOR PRIVATE TRUST (10,838) (4,412,771)
City Council 25 – 28 3/1/2022
Accounting Unit/Account Transfer Out Accounting Unit/Account Transfer In 01105020-68001-406 1,242,300 40619002-59000-011 3,845,846 01105020-68002-406 1,774,956 40619002-59000-029 7,412 01105020-68002-406 828,590 40619002-59000-031 1,812 02917620-68001-406 6,116 40619002-59000-074 3,389 02917635-68001-406 648 40619002-59000-122 208 02917660-68001-406 648 40619002-59000-123 11,759 03109050-68001-406 376 40619002-59000-124 3,098 03116510-68001-406 1,436 40619002-59000-130 2,467 07413250-68001-406 3,389 40619002-59000-133 336 12218715-68001-406 208 40619002-59000-135 27,654 12318748-68001-406 1,106 40619002-59000-139 61 12318750-68001-406 1,279 40619002-59000-140 23,613 12318751-68001-406 1,795 40619002-59000-142 25 12318752-68001-406 1,105 40619002-59000-144 3,553 12318753-68001-406 1,780 40619002-59000-177 648 12318754-68001-406 612 40619002-59000-417 2,521 12318755-68001-406 1,298 40619002-59000-607 3,094 12318756-68001-406 1,222 3,937,496
12318757-68001-406 586
12318762-68001-406 976
12418737-68001-406 2,737
12418743-68001-406 63
12418750-68001-406 182
12418751-68001-406 116
13018780-68001-406 2,467
13318780-68001-406 336
13518780-68001-406 5,843
13518783-68001-406 11,191
13518785-68001-406 579
13518788-68001-406 6,809
13518789-68001-406 3,232
13918780-68001-406 61
14018760-68001-406 23,613
14218760-68001-406 10
14218762-68001-406 15
14418760-68001-406 3,553
17718700-68001-406 648
41718820-68001-406 2,521
60718810-68001-406 3,094
3,937,496
FY21-22
Debt Service Payment
Transfers Out/In - Governmental Funds
EXHIBIT 3B
City Council 25 – 29 3/1/2022
AU Account Fund Amount
02718131 67311 Parking 10,978
02718132 67311 Parking 35
02718133 67311 Parking 1,956
05617640 67311 Sanitary Sewer 30,471
05717640 67311 Federal Clean Water 9,228
06017640 67311 Water 16,201
06017641 67311 Water 25,555
06017644 67311 Water 5,928
06017645 67311 Water 25,455
06017646 67311 Water 5,424
06017647 67311 Water 1,438
06717650 67311 Santa Ana Train Station 1,283
06817640 67311 Sanitation 7,867
06817641 67311 Sanitation 19,079
06917640 67311 Refuse 5,983
40619020 67311 Debt Service 1,333,934
40619020 67312 Debt Service 2,603,545
07110100 67311 Central Services 2,286
07317100 67311 Building Maintenance 29,768
07317101 67311 Building Maintenance 3,540
07517100 67311 Fleet Services 35,966
07617102 67311 Stores/Property Control 5,048
08009051 67311 General Liabilty 11,280
08109053 67311 Benefits 13,916
08209054 67311 Workers Compensation 9,754
08517138 67311 City Yard 418
08617613 67311 PWA: Engineering 62,435
10117601 67311 PWA: Administration 30,291
10117605 67311 PWA: Administration 19,583
10920140 67311 IT Services 7,141
10920141 67311 IT Services 19,019
10920143 67311 IT Services 447
10920146 67311 IT Services 5,921
10920147 67311 IT Services 296
10920148 67311 IT Services 9,335
67018843 67311 RDA - Successory Agency 1,275
4,372,079
FY21-22
Debt Service Payment
Other Funds
EXHIBIT 3C
City Council 25 – 30 3/1/2022
EXHIBIT 4
Resolution 2022-XXX

RESOLUTION NO. 2022-XX

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA TO AMEND THE CURRENT FISCAL YEAR 2021-
2022 ANNUAL BUDG ET TO ADD AND DELETE FULL-TIME

POSITIONS IN THE LIBRARY DEPARTMENT, PARKS,

RECREATION, AND COMMUNITY SERVICES
DEPARTMENT, CLERK OF THE COUNCIL ’S OFFICE, CITY
ATTORNEY’S OFFICE, AND PUBLIC WORKS DEPARTMENT.

BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:

Section 1: The City Council hereby finds, determines and declares as follows:

A. On June 15, 202 1, the City Council passed a nd adopted Ordinance No. NS -3005, establishing the Cit y’s Annual Budget for Fiscal Year 2021-2022 and authorizing position a llocations for Fiscal Year 2021- 2022. The Ordinance also sets for th the requirement that alterations in the allocation of authorized positions be reviewed and approved by the City Council.

B. The Annual Budget has been amended to add or delete positions in various City departments since its adoption.

C. The Executive Director of the Library Department requests to amend its Fiscal Year 2021 -2022 budget to add the following full-time positions: two (2) Senior Library Tech nicians, two (2) Library Technicians, one (1) Management Analyst , one (1) Library Services Assistant, and deletion of the following positions: one (1) Bibliographic Technician, one (1) Youth Services Technician, and one (1) Supervising Library Services Assistant.

D. The Executive Director of the Parks, Recreation, and Community Services Department r equests to amend its Fiscal Year 2021 -2022 budget to add the following full -time positions: two (2 ) Recreation and Community Services Supervisors, and deletion of the following positions: one (1) Management Analyst, one (1) Recreation Leader, and one (1) Recreation and Community Events Supervisor.

E. The Clerk of the Council Office requests to amend its Fiscal Year 2021-2022 budget to add one (1) full-time Senior Deputy Clerk of the Council.

City Council 25 – 31 3/1/2022
Resolution 2022-XXX

F. The City Attorney’s Office requests to amend its Fiscal Year 2021 - 2022 budget to add one (1) full -time Senior Assistant City Attorney – Employee Relations.

G. The Executive Director of the Public Works Department requests to amend its Fiscal Year 2021 -2022 budget to add the following full -time positions: one (1) Equipment Operator , one (1) Projects Manager, and two (2) Engineering Technicians.

H. It is now desired to amend the City’s Annual Budget for Fiscal Year 2021-2022, as ame nded, in order to eff ect this change, as shown below.

Section 2: The City’s Annual Budget for Fiscal Year 2021 -2022, as amended, is hereby further amended by:

A. Adding the following position in the Library Department, at the monthly six- step range as indicated:
6-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Management Analyst 1 $6,538 - $8,346 B. Adding and deleting the following positio ns in the Library Department, at the monthly seven-step range as indicated:
7-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Senior Library Technician 2 $4,360 - $5,847
Library Technician
Library Services Assistant
2 1
$3,954 - $5,304
$3,398 - $4,556
Bibliographic Technician -1 $4,296 - $5,762
Youth Services Technician -1 $4,091 - $5,488
Supervising Library Services
Assistant
-1 $3,974 - $5,330
C. Deleting the following po sition in the Parks, Recreation, and Community Services Department at the monthly six-step range as indicated:
6-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Management Analyst -1 $6,538 - $8,346 City Council 25 – 32 3/1/2022
EXHIBIT 4
Resolution 2022-XXX

D. Adding and deleting the following positions in the Parks, Recreation, and Community Services Department, at the monthly seven-step range as indicated:
7-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Recreation and Community
Services Supervisor
2 $7,039 - $9,434
Recreation Leader -1 $3,954 - $5,304
Recreation and Community Events
Supervisor
-1 $4,296 - $5,762
E. Adding the following position in the Clerk of the Council, at the monthly seven-step range as indicated:
7-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Senior Deputy Clerk of the Council 1 $5,596 - $7,499
F. Adding the following positions in the City Attorney’s Office, at the monthly seventeen-step range as indicated:
17-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Senior Assistant City Attorney - 1 $11,439 - $16,980
Employee Relations
G. Adding the following positions in the Public Works Department , at the monthly seven-step range as indicated:
7-Step Salary Rate Range Effective 07/01/2021
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Equipment Operator
Projects Manager
Engineering Technician
1 1
2 $4,764 - $6,384
$7,761 - $10,401
$4,858 - $6,510
Section 3: All salary rate range classifications are set forth in t he City's "Salary Schedule" as periodically updated.

Section 4: That except as amended by this Resolution, all other provisions of the Annual Budget for Fiscal Year 2021 -2022, as amended, shall remain in full force and effect.

City Council 25 – 33 3/1/2022
Resolution 2022-XXX

Section 5: This Resolution is operative from and after the date upon which it is adopted.

ADOPTED this 1st day of March, 2022.
___________________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney
By: __________________
Laura A. Rossini
Chief Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers

CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Daisy Gomez , Clerk of the Council, do hereby attest t o and certify the attached Resolution No. 2022-___ to be the original Resolution adopted by the City Council of the City of Santa Ana on March 1, 2022.

Date: ___________________ ____________________________ Clerk of the Council
City of Santa Ana
City Council 25 – 34 3/1/2022
Resolution 2022-XXX

EXHIBIT 5
RESOLUTION NO. 2022-XX

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA TO AMEND RESOLUTION NO. 2015 -026, AS
AMENDED, TO EFFECT CERTAIN CHANGES TO THE CITY’S
BASIC CLASSIFICATION AND COMPENSATION PLAN.

BE IT RESOLVED BY THE CITY COU NCIL OF THE CITY OF SANTA ANA AS FOLLOWS:

Section 1: The City Council hereby finds, determines and declares as follows:

A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install , and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council.

B. On June 16, 2015, the City Council adopted Resolution No. 2015 -026 amending and re -establishing the Basic Classification and Compensation Plan for all Full-Time and Part-Time Classifications of Officers and Employees of the City of Santa Ana.

C. It is the City’s practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with othe r classifications within the City’s organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates.

D. The Human Resources Department has co mpleted a review of the various departmental requests to make changes to the City’s organizational structure, classification titles, and staffing which revealed the need to effect certain changes to the City’s basic classification and compensation plans.

E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since its adoption.

F. It is now desired to amend Council Resolution No. 2015 -026, as amended, in order to effect these changes, as shown below:

City Council 25 – 35 3/1/2022
Resolution 2022-XXX

Section 1: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit “B” as follows:

A. Adding the following full -time classification titles at the monthly six -step salary rate range indicated:
6-Step Salary Rate Range Effective 03/01/2022
Monthly Salary
Classification Title SRR Minimum-Maximum
Organizational Development and Training Analyst 663 $6,380 - $8,142 Section 2: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit “E” as follows:

A. Adding the following full-time classification title at the monthly seventeen-step salary rate range indicated:
17-Step Salary Rate Range Effective 03/01/2022
Monthly Salary
Classification Title SRR Minimum-Maximum
Safety Administrator MM-18 $8,937 - $13,265
B. Adding the following full-time classification title at the monthly five-step salary range indicated:
5-Step Salary Rate Range Effective 03/01/2022
Monthly Salary
Classification Title SRR Minimum-Maximum
Senior Organizational Development and AM-722 $8,509 - $10,345 Training Analyst
Senior Risk Management Analyst AM-722 $8,509 - $10,345
Section 3: The Santa Ana City Council amends Resolution No. 2015 -026, Exhibit “I” as follows:

C. Adding the following part-time classification title at the five-step hourly wage range indicated:
5-Step Hourly Wage Range Effective 03/01/2022
Hourly Wage Range
Classification Title Minimum-Maximum
Risk Management Technician $31.62 - $38.46
City Council 25 – 36 3/1/2022
Resolution 2022-XXX

Section 4: All salary rate range classifications are set forth in the City’s Master “Salary Schedule” as periodically updated.

Section 5: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026 as amended shall remain in full force and effect Section 6: This Resolution is operative from and after March 1, 2022.

ADOPTED this 1st day of March, 2022.
,
___________________________
Vincente Sarmiento
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney
By: __________________
Laura A. Rossini
Chief Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
City Council 25 – 37 3/1/2022
Resolution 2022-XXX

CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022-___ to be the original Resolution adopted by the City Council of the City of Santa Ana on March 1, 2022.

Date: ___________________ ____________________________ Clerk of the Council
City of Santa Ana
City Council 25 – 38 3/1/2022
Fund
Number Fund Name
Estimated
Beginning
Balance
FY 21-22
Revenues
FY 21-22
Transfers In
FY 21-22 Total
Resources
FY 21-22
Expenditures
FY 21-22
Transfers Out
FY 21-22
Total Uses
Change in Fund
Balance
Estimated
Ending Fund
Balance

GENERAL FUND
011 GENERAL FUND 109,415,983 35 7,524,200 35 7,524,200 (35 1,455,956) (35 ,503,590) (386,959,546) (29 ,435,346) 79,980,637

SPECIAL REVENUE-GF
012 CANNABIS PUBLIC BENEFIT FUND 16,205,481 60 ,000 13 ,016,700 13,076,700 (19 ,099,529) (19 ,099,529) (6, 022,829) 10,182,652 016 CASP CERTIFICATION & TRAINING 258,927 85 ,000 85 ,000 (85 ,000) (85 ,000) - 258,927 021 PRCSA CATV FUND 1,252,366 25 0,000 25 0,000 (25 0,000) (25 0,000) - 1,252,366 051 CAPITAL OUTLAY FUND 5,024,450 1, 023,500 292,000 1, 315,500 (5, 659,223) (5, 659,223) (4, 343,723) 680,727 053 CITY SERVICES 1,136,125 3, 433,240 3, 433,240 (4, 052,991) (4, 052,991) (619,751) 51 6,374 100 SECTION 457 FIDUCIARY ADMIN 120,647 54 ,600 54 ,600 (54 ,500) (54 ,500) 100 12 0,747 110 STRONG MOTION INSTRUMENTATION 97,777 16 ,000 16 ,000 (16 ,000) (16 ,000) - 97,777 120 FIRE FACILITIES FUND 1,583,904 72 3,500 72 3,500 (72 3,500) (72 3,500) - 1,583,904 121 SPECIAL REPAIR/DEMOLITION 431,796 30 ,000 30 ,000 (30 ,000) (30 ,000) - 431,796

GRANT FUNDS
031 AIR QUALITY IMPR. (AB 2766) 1,720,497 64 5,000 64 5,000 (1, 719,140) (1, 719,140) (1, 074,140) 646,357 122 EMERGENCY & HEALTH GRANTS 6,770,236 2, 250,000 2, 250,000 (10 ,831,407) (10 ,831,407) (8, 581,407) (1,811,171) 123 WORKFORCE INVESTMENT ACT - 3,335,313 3, 335,313 (3, 363,655) (3, 363,655) (28,342) (28 ,342) 124 ORANGE COUNTY SSA GRANTS 494,995 1, 373,970 1, 373,970 (1, 373,970) (1, 373,970) - 494,995 125 OES UASI (282,638) 7, 055,062 7, 055,062 (5, 285,572) (5, 285,572) 1,769,490 1, 486,852 127 D.O.J. GRANT FUND (4,071) 79 8,740 79 8,740 (79 8,740) (79 8,740) - (4,071) 128 POLICE BLOCK GRANTS 778,634 83 8,065 83 8,065 (83 8,075) (83 8,075) (10) 77 8,624 130 HOME PROGRAM FEDERAL GRANT 1,179,293 4, 290,120 4, 290,120 (9, 417,563) (9, 417,563) (5, 127,443) (3,948,150) 131 MISC GRANTS - 68 9,120 68 9,120 (68 9,120) (68 9,120) - - 135 COMMUNITY DEV BLOCK GRANT (1,330,032) 23 ,304,168 23 ,304,168 (25 ,704,063) (25 ,704,063) (2, 399,895) (3,729,927) 136 HOUSING AUTHORITY-VOUCHER HAP (114,291) 40 ,135,000 40 ,135,000 (40 ,135,000) (40 ,135,000) - (114,291) 137 HOUSING AUTHORITY- MAINSTREAM - 2,250,000 2, 250,000 (2, 250,000) (2, 250,000) - - 138 HOUSING AUTHORITY- MS5 686,888 2, 635,000 2, 635,000 (2, 635,000) (2, 635,000) - 686,888 139 HOUSING AUTHORITY-NEW CONSTR 113,895 22 5,000 22 5,000 (22 5,000) (22 5,000) - 113,895 140 HOUSING AUTHORITY-VOUCHER ADM 2,034,022 4,142,308 4,142,308 (4,242,091) (4,242,091) (99,783) 1,934,239 142 NSP FEDERAL GRANT 1,321,609 45,000 45,000 (1,168,130) (1,168,130) (1,123,130) 198,479 144 PRISON TO EMPLOYMENT PROGRAM (307,942) 2,884,310 2,884,310 (3,295,089) (3,295,089) (410,779) (718,721) 145 RENTAL REHABILITATION GRANT 393,993 5, 000 5, 000 (39 8,000) (39 8,000) (393,000) 99 3 152 PUBLIC LIBRARY GRANT FUND 4,761 12 ,353 12 ,353 (12 ,353) (12 ,353) - 4,761 154 LIBRARY SVCS & TECHNOLOGY ACT 1,375 16 ,500 16 ,500 (16 ,500) (16 ,500) - 1,375 157 HSG ADMIN CARES ACT COVID-19 5,280 4, 852 4, 852 (4, 852) (4, 852) - 5,280 158 PLANNING GRANTS PROGRAM (130,101) 3,450,473 3,450,473 (4,048,606) (4,048,606) (598,133) (728,234) 165 OFFICE OF SAFETY GRANT 151,504 623,360 623,360 (857,970) (857,970) (234,610) (83,106) 169 RECREATION GRANTS FUND 409,464 301,450 301,450 (305,667) (305,667) (4,217) 405,247 178 COVID-19 RESPONSE - 4,000,000 4,000,000 (4,000,000) (4,000,000) - - 179 ARPA EHV HAP - 1,316,892 1,316,892 (1,316,892) (1,316,892) - - 180 ARPA EHV ADMIN FEES 191,350 488,616 488,616 (488,616) (488,616) - 191,350 181 AMERICAN RESCUE PLAN ACT 63,936,641 1,235,000 1,235,000 (63,915,000) (63,915,000) (62,680,000) 1,256,641 182 HOME-ARP PROGRAM FEDERAL GRANT - 6,183,914 6, 183,914 (6, 183,914) (6, 183,914) - - Estimated Fund Balance Summary (as of June 30, 2022)
Fiscal Year 2021-2022
EXHIBIT 6
City Council 25 – 39 3/1/2022
Fund
Number Fund Name
Estimated
Beginning
Balance
FY 21-22
Revenues
FY 21-22
Transfers In
FY 21-22 Total
Resources
FY 21-22
Expenditures
FY 21-22
Transfers Out
FY 21-22
Total Uses
Change in Fund
Balance
Estimated
Ending Fund
Balance
Estimated Fund Balance Summary (as of June 30, 2022)
Fiscal Year 2021-2022

OTHER RESTRICTED FUNDS
020 OTS-TRAFFIC OFFENDER PROGRAM 39,092 60,210 60,210 (60,210) (60,210) - 39,092 022 PRCSA FEE & DONATION 466,646 600,000 600,000 (1,038,500) (1,038,500) (438,500) 28,146 023 INMATE WELFARE FUND 1,531,318 1,869,540 1,869,540 (1,869,540) (1,869,540) - 1,531,318 024 PD ATHLETIC ACTIVITIES LEAGUE (23,611) 270,170 270,170 (274,280) (274,280) (4,110) (27,721) 025 IDB & EZ VOUCHER MONITORING 180,185 - (109,000) (109,000) (109,000) 71,185 029 SPECIAL GAS TAX 28,255,621 14,490,130 14,490,130 (10,007,295) (23,920,709) (33,928,004) (19,437,874) 8,817,747 074 CIVIC CENTER MAINTENANCE (321,567) 4,137,270 743,500 4,880,770 (4,553,770) (4,553,770) 327,000 5,433 133 HOUSING AUTHORITY-ISSUER FEE 2,734,987 85,000 85,000 (87,450) (87,450) (2,450) 2,732,537 166 US DOJ ASSET FORFEITURE FUND 1,389,079 - (1,126,648) (1,126,648) (1,126,648) 262,431 167 US TREASURY ASSET FORFEITURE 138,832 - (142,270) (142,270) (142,270) (3,438) 170 MS5 HAP CARES ACT COVID-19 (569,209) 565,000 565,000 (565,000) (565,000) - (569,209) 177 EMERGENCY RENTAL ASSISTANCE PG 12,159,149 29,225,701 29,225,701 (29,225,701) (29,225,701) - 12,159,149 417 INCLUSIONARY HOUSING FEE 10,197,643 7,006,390 7,006,390 (7,006,390) (7,006,390) - 10,197,643 607 HOUSING AUTHORITY LMIHF 3,622,704 225,000 225,000 (2,301,080) (2,301,080) (2,076,080) 1,546,624 655 2018 SERIES TAX ALLOC BOND - 6,489,930 6,489,930 (6,489,930) (6,489,930) - - 670 COSA RDA 410,409 150,000 150,000 (150,000) (150,000) - 410,409 671 COSA RDA OBLIGATION RETIREMENT 5,732,046 7,074,340 7,074,340 (434,410) (6,639,930) (7,074,340) - 5,732,046

ENTERPRISE FUNDS
027 PARKING FUND 73,190 2,707,870 2,707,870 (3,738,450) (3,738,450) (1,030,580) (957,390) 056 SANITARY SEWER SERVICE 8,026,423 7,617,300 7,617,300 (9,413,883) (250,000) (9,663,883) (2,046,583) 5,979,840 057 FED CLEAN WATER PROTECTION ENT 4,694,413 1,735,000 2,680,200 4,415,200 (5,552,553) (200,000) (5,752,553) (1,337,353) 3,357,060 060 WATER REVENUE 47,425,013 71,518,500 71,518,500 (69,937,712) (24,249,253) (94,186,965) (22,668,465) 24,756,548 066 ACQUISITION & CONSTRUCTION 2,173,454 7,550,000 22,968,453 30,518,453 (31,311,423) (31,311,423) (792,970) 1,380,484 067 REGIONAL TRANSP CENTER (1,795,138) 664,240 2,981,870 3,646,110 (1,841,631) (1,841,631) 1,804,479 9,341 068 SANITATION FUND 7,765,733 6,047,900 200,000 6,247,900 (9,424,031) (9,424,031) (3,176,131) 4,589,602 069 REFUSE COLLECTION SERVICE 8,217,200 14,136,400 14,136,400 (13,696,051) (4,671,740) (18,367,791) (4,231,391) 3,985,809

INTERNAL SERVICE FUNDS
070 EQUIPMENT REPLACEMENT FUND 6,507,854 1,762,800 1,762,800 (2,396,767) (2,396,767) (633,967) 5,873,887 071 CENTRAL SERVICES (99,496) 441,470 441,470 (767,920) (767,920) (326,450) (425,946) 073 BUILDING MAINT FUND 959,931 4,622,900 2,500,000 7,122,900 (6,000,920) (6,000,920) 1,121,980 2,081,911 075 FLEET MAINTENANCE/STORES 829,589 4,510,000 1,500,000 6,010,000 (6,114,840) (6,114,840) (104,840) 724,749 076 STORES & PROPERTY CONTROL 113,988 1,804,100 1,804,100 (1,763,970) (1,763,970) 40,130 154,118 080 LIABILITY AND PROPERTY INS FND 19,100,122 11,637,750 1,500,000 13,137,750 (18,951,890) (18,951,890) (5,814,140) 13,285,982 081 EMPLOYEE GROUP INSURANCE (1,187,639) 27,108,000 3,400,000 30,508,000 (29,338,490) (29,338,490) 1,169,510 (18,129) 082 WORKERS COMPENSATION FUND 15,310,117 10,133,000 10,133,000 (10,077,620) (10,077,620) 55,380 15,365,497 085 CITY YARD OPERATION 100,087 1,263,100 1,263,100 (1,319,230) (1,319,230) (56,130) 43,957 086 PUB WKS ENG/PROJ MGMT (1,113,629) 10,770,000 10,000 10,780,000 (10,067,580) (113,790) (10,181,370) 598,630 (514,999) 088 QUALITY SERVICE TRAINING 375,463 - (307,500) (307,500) (307,500) 67,963 101 PUB WKS-ADMIN & PLANNING 2,475,973 8,090,300 8,090,300 (8,659,930) (94,950) (8,754,880) (664,580) 1,811,393 109 INFO SYS STRATEGIC PLAN 13,042,923 9,849,330 9,849,330 (14,905,667) (14,905,667) (5,056,337) 7,986,586 City Council 25 – 40 3/1/2022
Fund
Number Fund Name
Estimated
Beginning
Balance
FY 21-22
Revenues
FY 21-22
Transfers In
FY 21-22 Total
Resources
FY 21-22
Expenditures
FY 21-22
Transfers Out
FY 21-22
Total Uses
Change in Fund
Balance
Estimated
Ending Fund
Balance
Estimated Fund Balance Summary (as of June 30, 2022)
Fiscal Year 2021-2022

CAPITAL PROJECT FUNDS
032 MEASURE M-STREET CONSTRUCTION (2,309,663) 49,400,495 49,400,495 (58,722,472) (58,722,472) (9,321,977) (11,631,640) 034 NEW TRANSPO SYS IMPR AREA E 1,538,388 - (1,408,900) (1,408,900) (1,408,900) 129,488 035 NEW TRANSPO SYS IMPR AREA F 1,433,664 - (1,354,008) (1,354,008) (1,354,008) 79,656 054 SANITARY SEWER CAPITAL 21,681,348 - (20,318,787) (20,318,787) (20,318,787) 1,362,561 055 SEWER CONNECTION FEE 10,945,598 1,099,600 1,099,600 (11,314,395) (11,314,395) (10,214,795) 730,803 059 SELECT STREET CONSTRUCTION 18,673,195 3,401,878 27,433,049 30,834,927 (38,575,404) (38,575,404) (7,740,477) 10,932,718 147 FEDERAL AID SAFETY PROGRAM (855,644) 830,928 830,928 (830,928) (830,928) - (855,644) 148 TRAFFIC SYSTEM MGMT GRANT (6,478,710) 35,266,289 35,266,289 (35,266,289) (35,266,289) - (6,478,710) 161 REC/COM SVS ST URBAN OPEN SPAC (634,903) 8,088,868 8,088,868 (7,516,725) (7,516,725) 572,143 (62,760) 162 ENERGY CONSERVATION PROGRAM 94,545 176,807 176,807 (176,807) (176,807) - 94,545 164 PUB WKS-WTR QUALITY & CONTROL (1,685,286) 10,979,486 10,979,486 (10,979,486) (10,979,486) - (1,685,286) 223 LOCAL DRAINAGE AREA III 418,551 - (39,226) (39,226) (39,226) 379,325 224 LOCAL DRAINAGE AREA IV 454,192 - (427,272) (427,272) (427,272) 26,920 301 REC/COMM SVS 6,022 127,458 127,458 (127,458) (127,458) - 6,022 311 RESIDENTIAL DEVELOP DISTRICT 1 3,214,015 - (2,470,687) (2,470,687) (2,470,687) 743,328 312 RESIDENTIAL DEVELOP DISTRICT 2 3,526,459 - (2,818,246) (2,818,246) (2,818,246) 708,213 313 RESIDENTIAL DEVELOP DISTRICT 3 11,230,687 70,000 70,000 (8,460,641) (8,460,641) (8,390,641) 2,840,046 314 RESIDENTIAL DEVELOP DISTRICT 4 524,331 - (48,664) (48,664) (48,664) 475,667 400 POLICE UUT LEASE REVENUE BONDS 5,734 4,622,100 4,622,100 (4,622,100) (4,622,100) - 5,734 404 COSA 2014 LEASE FINANCING 74,214 5,156,160 5,156,160 (5,156,160) (5,156,160) - 74,214 418 CDA - PEEBLER CAPITAL FUND 4,506,191 37,500 37,500 (5,794,200) (5,794,200) (5,756,700) (1,250,509) 992 TRAN SYS IMP AUT AREA D-TUSTIN 10,908,343 - (3,556,177) (3,556,177) (3,556,177) 7,352,166 City Council 25 – 41 3/1/2022
City Manager Office
www.santa-ana.org/cm
Item # 26
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
March 1, 2022
TOPIC: City Council Voting, Recusal for Conflicts, and Prohibiting Abstentions AGENDA TITLE:

Ordinance Concerning City Council Voting, Recusal for Conflicts, and Prohibiting Abstentions

RECOMMENDED ACTION
Consider one of the following options:

1. Approve the first reading of an ordinance concerning City Council voting, recusal for conflicts, and prohibiting abstentions.

2. Provide direction to staff.

DISCUSSION
Introduction
At the meeting on May 5, 2020, the City Council addressed an item to discuss and consider directing the City Manager to direct staff to draft a policy for the City Council’s consideration regarding abstentions on votes on items on the City Council meeting agendas. The item was reported in the minutes of the May 5, 2020 meeting as the City Council directing staff to research state law, current existing policy on City Council participation, and bring back to a future meeting for the City Council's consideration. The councilmember sponsors of this item later discussed the matter with the City Manager and City Attorney, and indicated that the matter could be added to a future City Council goal-setting meeting for consideration.

At a more recent City Council meeting, Councilmember Lopez inquired about bringing forth a policy or ordinance to address voting and abstentions with the goal of addressing a way to enforce the current prohibition against abstentions on votes as set forth in Section 2-105 of the Santa Ana Municipal Code.

Background
Santa Ana Municipal Code (SAMC) Section 2-105, which as adopted in 1952 and amended in 1965, currently provides as follows:

City Council 26 – 1 3/1/2022
City Council Voting, Recusal for Conflicts and Prohibiting Abstentions March 1, 2022