(7) Ceremonial names shall not duplicate any currently existing official street names.
(8) Up to five (5) Sign Toppers may be located at any one intersection, coincident with existing street name signs.
(9) Sign Toppers may not be attached to traffic signal poles.
(10) No one candidate may receive City Council approval for a Sign Topper recognition on more than one street or intersection.
Sec. 33-261. - Criteria for Ceremonial Street Naming.
(a) Candidates for ceremonial street names must exhibit a minimum of 10 years of community involvement or demonstrated an extraordinary, consistent and voluntary commitment to the community, or have had contributed significantly to the City of Santa Ana. Significant historic events or City of Santa Ana landmarks may also be considered if supported by significant and clearly defined cultural, humanitarian, or historical impact to the City.
(b) An Individual to be honored must have been dead for at least two years prior to the date of application.
(c) Candidates, who have already been honored on one street, whether ceremonial or official, may not be honored on another street.
(d) Ceremonial street names cannot be an ideology or a commercial interest.
Sec. 33-262. - Application Process.
(a) Application. An application for a ceremonial street naming must be filed with the Public Works Agency on an application form furnished by the Agency. The application must include all of the following:
(1) A statement addressing the criteria for ceremonial street naming set forth in this article.
(2) A map showing the proposed location of the entire street block(s) receiving the ceremonial street name. No fractions of a street block may receive the ceremonial street name.
(3) If a ceremonial name is proposed for an intersection, a map showing the proposed intersection. No more than five (5) locations at an intersection may receive the ceremonial name.
City Council 11 – 3 8/2/2022
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Ordinance No. NS-XXX
(4) Documentation indicating that two -thirds of the residents or owners of the lots abutting the street or intersection are in support of the ceremonial street name.
A. For the purposes of this section, only one (1) adult signature per address, either owner or renter, will be counted.
B. Documentation shall be within 60 days from the date of the application.
C. Documentation shall be submitted on a form provided by the Director of Public Works.
(b) Notice of Application. Within ten (10) calendar days of acceptance by the City of the ceremonial street application, the applicant must provide written notice to the legal owners of the property abutting the proposed ceremonial street or intersection by depositing the notice, properly addressed and postage paid in the United States mail to such owners.
(1) The written notice shall include the following:
A. The proposed name of the street or intersection; and
B. The location of the proposed street or intersection.
(2) The City shall provide the addresses of the owners of record of the properties abutting the proposed ceremonial street block(s) or intersection.
(3) Applicant will be responsible for paying postage and mailing such notices using the United States mail system.
(c) Fees. The following fees are required for a ceremonial street naming.
(1) An application fee, as established by resolution of the City Council, must be paid at the time the application is submitted.
(2) If approved by the City Council, fees for sign production, hardware costs and installation fees, as established by resolution of the City Council, must be paid prior to sign installation.
(d) Public Hearing. The City Council shall consider the application based on the testimony presented at a public hearing and a determination that the application meets the ceremonial street naming criteria standards.
(1) If a written protest against the ceremonial street naming has been signed by the residents or owners of twenty percent (20%) of all lots abutting the City Council 11 – 4 8/2/2022
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Ordinance No. NS-XXX
street, then a favorable vote of three-fourths of all City Councilmembers is required.
(2) Otherwise, a ceremonial street application may be approved by a majority vote of City Councilmembers.
(e) Waiver. If application is initiated by a current City Councilmember, the requirements of subsections (a) through (c) may be waived by a majority vote of the City Council.
(f) Resolution. Approval of the ceremonial street naming shall be made by City Council resolution.
Sec. 33-263. - Effective date of ceremonial street name and end date.
(a) The ceremonial street name shall end ten (10) years after the date of the resolution approving the ceremonial street name , provided that the City Council at its sole discretion may select a longer or indefinite period.
(b) An applicant may re-apply for the ceremonial street name by the same process detailed in this article.
Sec. 33-264. - Installation and replacement.
(a) Installation. The D irector of the Public Works Agency , or his or her designee, is responsible for the fabrication and installation of the ceremonial Sign Toppers.
(b) Replacement and Removal. Any ceremonial Sign Topper that has become torn, damaged, defaced, or destroyed shall be repaired, replaced, or removed by the City at the sole cost of applicant following written notice to applicant.
Sec. 33-265. - Authority of the Director.
The Director of Public Works is authorized to establish rules and procedures and to produce signs, forms and other materials necessary or appropriate to implement the provisions of this article.
Section 4. The City Council finds and determines that this ordinance is not subject to the California Environmental Quality Act (CEQA) 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 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 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any City Council 11 – 5 8/2/2022
brs 4/25/22
Ordinance No. NS-XXX
court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional.
Section 6. This Ordinance shall become effective thirty (30) days after its adoption.
Section 7. 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
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:_________________________
Brandon Salvatierra
Deputy City Attorney
AYES: Councilmembers ______________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________
City Council 11 – 6 8/2/2022
brs 4/25/22
Ordinance No. NS-XXX
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS -____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, and that sai d 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 11 – 7 8/2/2022
Ordinance No. NS-XXX
ORDINANCE NO. NS-XXX
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AMENDING ARTICLE I OF CHAPTER 10 OF
THE SANTA ANA MUNICIPAL CODE TO REQUIRE SIGNS
AT COMMERCIAL CENTERS PROVIDING INFORMATION
ABOUT PROPERTY MAINTENANCE TO THE PUBLIC
WHEREAS, throughout the City of Santa Ana, commercial centers display varying degrees of upkeep; and
WHEREAS, the disparate maintenance of commercial centers has led to a decline in the overall appearance of the City to the dismay of its residents and an increase in calls to Santa Ana Code Enforcement and the Santa Ana Police Department regarding the condition of commercial centers; and
WHEREAS, the C ity hopes to expedite the process of remedying ill -maintained commercial centers by furnishing the public with an avenue of direct communication with the property management regarding the condition of the property; and
WHEREAS, the City now seeks to take robust action to preserve its beauty and code enforcement resources by requiring commercial centers to place signage at all ingresses and egresses indicating the name and phone number of a person responsible for fielding comments, complaints, and concerns from the public regarding the general upkeep and condition of the commercial center; and
WHEREAS, the City Council of the City of Santa Ana discussed this subject on April 19, 2022, and directed staff to prepare an ordinance to this effect.
NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIORNIA, DOES HEREBY ORDAIN AS FOLLOWS:
Section 1. The recitals above are each incorporated by reference and adopted as findings by the City Council.
Section 2. Section 10-96 of Article I (In General) of Chapter 10 of the Santa Ana Municipal Code ( Crimes and Miscellaneous Law Enforcement Provisions ) is hereby amended to read in its entirety as follows:
Sec. 10 -96. - Loitering, obstructing passage; signs ; requirements for commercial centers.
(a) Public property. No person, after first being warned by a law enforcement officer, shall loiter, stand, sit or lie in or upon any public street, sidewalk, curb, crosswalk, walkway area or mall so as to hinder or obstruct the free passage of pedestrians or City Council 12 – 1 8/2/2022
Ordinance No. NS-XXX
vehicles thereon; nor shall any person block, obstruct or prevent the free access to the entrance of any building open to the public.
(b) Private property open to the public. No person, after first being warned by a law enforcement officer, or where a sign or signs have been posted in accordance with this section, shall loiter, stand, sit or lie in or upon any portion of private property utilized for public use, so as to hinder or obstruct the free passage of pedestrians or vehicles thereon; nor shall any person block, o bstruct or prevent the free access to the entrance of any building open to the public.
(c) Signs posted as provided in subsection (b) of this section shall conform to the following requirements:
(1) Each sign shall not be less than twenty-two (22) inches by thirty (30) inches; (2) Sign colors and materials shall contribute to the sign’s legibility , and sign materials shall be compatible with and complement the overall design of the private property;
(3) All signs shall be clearly visible to persons in restricted locations; (4) Signs shall have the word " WARNING" not less than two (2) inches in height, and all other lettering shall be at least five-eighths (⅝) inches in height; (5) Signs shall be posted every one hundred (100) feet; and (6) The following wording shall appear on each sign:
"WARNING"
"Unreasonable obstruction of pedestrian traffic in this area by persons loitering, standing, sitting, or lying is prohibited and punishable as a misdemeanor."
"SAMC Section 10-96"
(d) Signage requirement for commercial centers. Every commercial center shall have signs posted at each entrance and exit on the property providing the name and 24-hour contact phone number of a representative of the property management company for the center , or if no property management company, then the name and 24 -hour contact phone number of the property owner or the person responsible for the maintenance of the property, to whom the City and the members of the public can provide notice of any operational or maintenance-related problems associated with the premises.
Each commercial center owner shall make reasonable and good faith efforts to encourage the public to call this representative to resolve any operational or maintenance-related problems before any calls or complaints are made to the City or l aw enforcemen t regarding the same. It shall be unlawful for any responsible person, as defined in section 1-21.1(a) of this Code, or any other person having responsibility over the operation of a commercial center to fail to comply with the requirements of this subsection (d). (e) Commercial center, as used in this section, is a commercial or industrial complex containing a variety of one or more retail stores, restaurants , and other City Council 12 – 2 8/2/2022
Ordinance No. NS-XXX
businesses providing goods and/or services to the public, housed in a series of connected and/or adjacent buildings and structures within an integrated campus that shares common areas and parking facilities, and which fronts onto one or more roadways. (f) Signs posted as provided in subsection (d) of this section shall conform to the following requirements:
(1) Each sign shall not be less than eighteen (18) inches × twenty -four (24) inches;(2) Sign colors and materials shall contribute to the sign’s legibility , and sign materials shall be compatible with and complement the overall design of the commercial center;(3) Signs shall be of a font that is legible from a distance of forty-five (45) feet; and(4) The following wording shall appear on each sign:
"This property is managed by (name). To report any problems or concerns regarding this property, call (name and 24-hour contact phone number.)”
“SAMC Section 10-96”
Section 3. The City Council finds and determines that this Ordinance is not subject to the California Environmental Quality Act (CEQA) 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 no possibility it will have a significant ef fect on the environment and it is not a "project", as defined in Section 15378 of the CEQA Guidelines.
Section 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional.
Section 5. This Ordinance shall become effective thirty (30) days after its adoption.
Section 6. 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
Mayor
City Council 12 – 3 8/2/2022
Ordinance No. NS-XXX
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:_________________________
John M. Funk
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 to and certify the attached Ordinance No. NS -____________ to be the original ordinance adopted by the City Council of the City of Santa Ana on _______________, 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 12 – 4 8/2/2022
Public Works Agency
www.santa-ana.org/pw
Item # 13
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Safe Mobility Santa Ana Planning and Engineering Services
AGENDA TITLE
Approve an Agreement with KTUA for Traffic Planning and Engineering Services for the Safe Mobility Santa Ana Plan Update in the Amount of $180,000 for a up to a Five-year Term (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with KTUA, for transportation/traffic planning and engineering services for the Safe Mobility Santa Ana (SMSA) plan update, for a three-year period beginning August 2, 2022, and ending on August 1, 2025, with the option to extend for up to a two-year period, in a total aggregate amount not to exceed $180,000, subject to non-substantive changes approved by the City Manager and City Attorney.
DISCUSSION
On August 30, 2021, the Public Works Agency issued a Request for Proposal (RFP) for contractors to provide transportation/traffic planning and engineering services to update the existing Safe Mobility Santa Ana (SMSA) plan (Exhibit 1). The goal of the SMSA update is to reevaluate citywide traffic safety, identify new areas of concern, contributing factors and patterns, recommend and prioritize improvements, and analyze traffic collisions of pedestrians and bicyclists, to reduce the number of persons killed or injured in collisions.
The RFP was advertised on the City’s online bid management and publication system, with bids due on September 20, 2021. Six proposals were received and evaluated by a three-member panel of Public Works Agency Staff selection. The scores were based on criteria as outlined in the RFP. Listed below are the responding contractors and their ranking:
Rank Firm Average Score Location
1 KTUA 95 San Diego
2 NN Engineering, Inc. 92 San Francisco
3 Toole Design 91 Los Angeles
4 IBI Group 87 Irvine
City Council 13 – 1 8/2/2022
Safe Mobility Santa Ana Planning and Engineering Services August 2, 2022
2 8
6 0
Rank Firm Average Score Location
5 Koa 84 Orange
6 TJKM Transportation Consultants 84 Pleasanton
In accordance with the RFP, staff recommends awarding the contract to KTUA in an amount not to exceed $180,000 for up to a five-year term. (Exhibit 2) The consultant has demonstrated a high technical competency and has experience performing similar services. The proposal contained a clear path toward achieving City goals and objectives as required by the RFP.
KTUA has performed quality work on projects for the City in the past. KTUA successfully completed the Downtown Complete Streets Plan in January 2016 and the Central Santa Ana Complete Streets Plan in February 2019. These complete street plans are very similar to the report the consultant will develop under this agreement.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The total cost of the agreement is not to exceed $179,965 for the 3-year term of the agreement. Any remaining balances not expended at the end of the Fiscal Year will be carried forward into subsequent Fiscal Years for expenditure for continued transportation/traffic engineering services as shown below.
Funds are budgeted and available for expenditures as shown below.
EXHIBIT(S)
1. RFP 21-082 Safe Mobility Santa Ana (SMSA) Update
2. Agreement - KTUA
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager
Fiscal
Year
Accounting Unit-
Account No.
Fund
Description
Accounting Unit,
Account Description Amount
2021-22 14717611-66220
(22-6994)
Federal Aid
Safety
Program
Pub. Svs-Street Safety
Projects, Improvements
Other Than Buildings
$147,000
2021-22 03217662-66220
(22-6994)
Measure M
Street
Construction
Measure M2 Local
Fairshare, Improvements
Other Than Buildings
$33,000
Total $180,000
City Council 13 – 2 8/2/2022
REQUEST FOR PROPOSALS (RFP)
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
CITY OF SANTA ANA
Public Works Agency
20 Civic Center Plaza, M-43
Santa Ana, CA 92701
Mauricio Castaneda
Project Manager
(714) 647-5643 Office
[email protected]
Approved for Release:
Zdenek Kekula
Principal Civil Engineer
Public Works Agency
KEY RFP DATES (Subject to change at discretion of City):
Issue Date: Monday, August 30, 2021
Deadline for Requests for Information: Monday, September 13, 2021 Proposal Due Date: Monday, September 20, 2021; 5:00 PM.
Anticipated Projected Award Date: Tuesday, December 7, 2021 EXHIBIT 1
City Council 13 – 3 8/2/2022
NOTICE INVITING PROPOSALS
NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for Construction Management and Inspection Services.
Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system no later than August 9, 2021 at 5:00 p.m. Proposals received after this date/time will not be considered. It is the responsibility of the proposer to ensure that any proposals submitted have sufficient time to be received by the City of Santa Ana prior to this proposal due date and time.
Additionally, it is a requirement that hard copy proposals also be sent by courier service, mailed, or hand delivered in an enclosed sealed envelope and marked clearly with the following “SEALED PROPOSAL FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO. 21-082
IN THE CITY OF SANTA ANA
DO NOT OPEN WITH REGULAR MAIL.”
City of Santa Ana
Attn.: Mauricio Castaneda
Public Works Agency; M-43
20 Civic Center Plaza; Ross Annex
Santa Ana, CA 92701
For further instructions regarding hard copy submission of proposals, refer to PlanetBids.
All notifications, requests for information, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive qualification.
EXHIBIT 1
City Council 13 – 4 8/2/2022
TABLE OF CONTENTS
I. INTRODUCTION / PROJECT DESCRIPTION 4
II. INSTRUCTIONS TO PROPOSERS 6 A. CITY RESPONSIBILITIES
B. PROPOSER RESPONSIBILITIES
C. REQUEST FOR INFORMATION OR CLARIFICATION
D. ADDENDA
E. LICENSES & PERMITS
F. INSURANCE
G. INFORMATION PACKET
H. PRE-PROPOSAL MEETING
I. CITY RIGHT TO REJECT
J. BID PROTESTS
III. SUBMITTAL REQUIREMENTS 8
A. GENERAL
B. PROPOSAL CONTENTS
1. STATEMENT OF QUALIFICATIONS
2. SCOPE OF SERVICES AND SCHEDULE
3. FEE PROPOSAL
4. CERTIFICATIONS
IV. PROPOSAL REVIEW (CONSULTANT SELECTION) 10 A. EVALUATION AND RATING
B. SELECTION
V. CONTRACT AWARD 10
A. REQUEST FOR COUNCIL ACTION
B. EXECUTION OF AGREEMENT
VI. IMPLEMENTATION 10
A. KICK-OFF MEETING
B. NOTICE TO PROCEED
VII. PUBLIC RECORDS 11
VIII. APPENDIX
ATTACHMENT 1: SCOPE OF WORK
ATTACHMENT 2: AGREEMENT
ATTACHMENT 3: CERTIFICATION
ATTACHMENT 4: TRAFFIC STATISTICS
EXHIBIT 1
City Council 13 – 5 8/2/2022
I. INTRODUCTION / PROJECT DESCRIPTION
Nature of Work:
The City of Santa Ana is seeking a traffic counting service company. A detailed Scope of Work is included in the Appendix of this RFP as Attachment 1.
Number of Proposals and Signature:
Five (5) hard copies are required to accompany an electronic submittal of the complete proposal package on PlanetBids. One of the hard copies shall be marked as “ORIGINAL” and be signed by a company official with the power to bind the company , and submitted to the City of Santa Ana. Please be explicit in identifying the appropriate person with legal authority to bind the company.
The Statement of Qualifications shall be limi ted to a maximum of (10) double -sided pages (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11 -point Arial. Proposal exhibits shall be maximum 11” x 17”.
Proposal Evaluation and Rating:
The criteria for evaluating the SOQ submitted will take the following items into consideration:
Firm/Team Experience 30%
Understanding of Need 30%
Relevant Project Experience 20%
Schedule of Delivery 10%
References 10%
The City has established a proposal review committee to evaluate proposers based on the response to this RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers.
EXHIBIT 1
City Council 13 – 6 8/2/2022
Project Funding:
Funding sources for each project may vary and shall comply with the funding agency’s requirements. Special conditions may apply. Refer to Attachment 1 (Scope of Work) in the Appendix of this RFP.
Term of Contract Agreement:
The City desires to enter into a contract with the top scoring firm for an initial three (3) year term with a City option for two (2) one (1) year extension period. This term is outlined in the Standard Consultant Agreement, as contained in the Appendix of this RFP as Attachment 2.
EXHIBIT 1
City Council 13 – 7 8/2/2022
II. INSTRUCTIONS TO PROPOSERS
A. CITY RESPONSIBILITIES
The City will provide information in its possession relevant to preparation of required information in this RFP. The City will provide only the staff assistance and documentation specifically referred to herein.
B. PROPOSER RESPONSIBILITIES
Point of Contact: The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge concerning the required service operations and contractual matters, including payment of all charges resulting from the Agreement. Contact information such as email and phone number must be included into the proposal.
Evidence of Financial Capacity : Proposer may be requested to submit its most recent audited financial statement, evidencing proposer’s financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity.
C. REQUEST FOR INFORMATION OR CLARIFICATION
All questions or requested clarifications shall be made only in writing to the Q&A section located in PlanetBids no fewer than five (5) calendar days prior to the date and time set for opening of proposals. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP.
D. ADDENDA
Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanyID=20137 as set forth in the Notice Inviting Proposals. Addenda shall become part of the agreement documents.
E. LICENSES & PERMITS
The selected proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City ’s project manager or designee prior to commencing any work in Santa Ana.
Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work.
F. INSURANCE
EXHIBIT 1
City Council 13 – 8 8/2/2022
The Selected Proposer shall p rovide the required evidence of insurance coverage as set forth in the Scope of Work within ten (10) business days after receipt of notice that the contract has been awarded. Failure to provide the required insurance certificates shall be cause for the annulment of the award and the forfeiture of the proposal guaranty. The City will provid e the Selected Proposer with a “New Vendor Checklist” , which outlines insurance requirements.
G. PAYMENT INFORMATION PACKET
The selected proposer shall return a completed payment information packet within ten (10) business days after the successful proposer has received notice that the contract has been awarded.
H. PRE-PROPOSAL MEETING
Should a pre-proposal meeting be scheduled, the date, time , and location is identified on the cover page of this RFP . The meeting will include discussion of the project scope and a question-and-answer session. It is highly recommended that the Proposer’s key team members attend thi s meeting. Significant interpretations or clarifications will be addressed via addenda to this RFP, as described above in “Section D: Addenda.”
I. CITY RIGHT TO REJECT
The City reserves the right to reject any or all proposals submitted and no re presentation is made hereby that any contract will be awarded pursuant to this RFP or otherwise.
The City reserves the right to accept or reject the combined or separate components of this p roposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal.
The City reserves the right to reject, replace , and approve any and all subcontractors. All subcontractor(s) shall be identified in response to this RFP. Subcontractors shall be the responsibility of the successful proposer and the City shall assume no liability of such subcontractors.
J. BID PROTESTS
Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non- responsibility may submit, in writi ng within five (5) business days, to the Project Manager, any concerns regarding the RFP pro cess or staff determination. Such writing shall be consi dered by the City Manager or her designated representative, and may be acted upon within five (5) busines s days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by the Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder.
EXHIBIT 1
City Council 13 – 9 8/2/2022
III. SUBMITTAL REQUIREMENTS
A. GENERAL
1. The number of Proposal Copies and signature is specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION
2. Deadline:
Proposals are due to the City of Santa Ana at the date, time, and location specified in the Notice Inviting Proposals.
B. PROPOSAL CONTENTS
The proposal format and page limitation, if any, is specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION
1. STATEMENT OF QUALIFICATIONS
a. Cover Letter: Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity.
b. Contract Agreement Statement: Proposal shall include a statement outlining your concurrence or concerns with any and all provisions contained in the Agreement attached herein as Attachment 2 in the Appendix.
c. Firm and Team Experience: Proposal shall include a profile of the firm’s experience. Include resumes of project team/sub-consultants that will be providing services which outline their technical and design experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual’s time devoted to this project. The project manager/principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview.
EXHIBIT 1
City Council 13 – 10 8/2/2022
d. Understanding of Need: Proposal shall include an outline which demonstrates the firm’s understanding of the work. This outline should include anticipated approach, tasks necessary for successful completion, deliverables, and suggestions or special concerns that the City should be made aware of. Identify any assumptions and/or exclusions used in preparation of the scope of work and associated fee estimate.
e. Relevant Project Experience: Proposal shall include a list of relevant projects, which your firm or personnel have completed within the last 5 years, including significant work with public agencies. Project information should include project description, project location, year completed, client name and contact information, and name of consultant project manager[LM1][LM2]. City of Santa Ana staff may conduct site visits at select projects.
f. References: Proposals shall include a listing of relevant projects with references for three public entities with valid current emails for which Proposer has performed similar work within the past five (5) years.
2. SCOPE OF SERVICES AND SCHEDULE:
Proposal shall include a Scope of Services and Schedule which details the work phases to be completed, the tasks to be accomplished, the deliverables to be provided, and the schedule / timeline to complete the project, based upon the requested Scope of Work detailed in Attachment 1 of this RFP.
3. FEE PROPOSAL:
The fee proposal shall be submitted separate and concurrently with the technical proposal, both submitted electronically in PlanetBids and as a hard copy in a separately sealed envelope, clearly labeled as “Fee Proposal.” This shall include the firm’s Standard Hourly Fee Schedule, a table outlining the tasks and team hourly effort for each of the major tasks, and a Project Fee Schedule as outlined in the Scope of Work.
The fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the consultant based on qualifications, and then negotiate a contract price based on available funding.
4. CERTIFICATIONS:
The following forms shall be signed and included as part of the proposal submittal package:
EXHIBIT 1
City Council 13 – 11 8/2/2022
• Attachment 3-1: Non-Collusion Affidavit
• Attachment 3-2: Non-Lobbying Certification
• Attachment 3-3: Non-Discrimination Certification
IV. PROPOSAL REVIEW (CONSULTANT SELECTION)
A. EVALUATION AND RATING
The criteria for evaluating the proposals are specified in:
RFP SECTION I - INTRODUCTION / PROJECT DESCRIPTION.
B. SELECTION
The selection committee will be comprised of at least (3) City staff from multiple departments. The committee may interview the top ranking propose rs. The City will recommend award of contracts to the proposer s who will provi de the best value to the City. The City reserves the right to begin negotiations and enter into a contract without interview or further discussions.
V. CONTRACT AWARD
A. REQUEST FOR COUNCIL ACTION
Following evaluation and rating by the proposal review committee and acceptance from Funding agency following financial audit, the Project Manager will recommend award contracts to the three top-ranking proposers that will provide the best value to the City.
B. EXECUTION OF AGREEMENT
The Scope of Services, Sc hedule, and Fees submitted in the proposal will be the basis of any negotiation of final terms, which will lead to a completed agreement ready for execution based on the standard Agreement attached herein as Attachment 2 in the Appendix.
VI. IMPLEMENTATION
A. KICK-OFF MEETING
A kick -off meeting will be held after award of contrac ts. Consultants and their team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation processes.
B. NOTICE TO PROCEED
Prior to issuance of a formal Notice to Proceed (NTP), Consultants shall provide all required bonds, insurance documents, and contents of the Information Packet for review and approval by the City.
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For “On-Call” contracts, individual City Project Managers will request pr oject/task specific proposals from Consultants on a n as -needed basis. Proposals will then be evaluated by City staff and written NTPs will be issued accordingly per each task order.
VII. PUBLIC RECORDS
All data, documents and other products used, developed, or produced during response preparation of this RFP will become property of the City. All responses to this RFP shall become property of the City. Proposer information identified as proprietary information be maintained confidential, to the extent allowed under the California Public Records Act.
Proposals will become public record after award of contrac t. Proposer information identified as proprietary information shall be mainta ined confidential, to the extent allowed under the California Public Records Act.
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Appendix
ATTACHMENT 1
SCOPE OF WORK
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
INTRODUCTION
The City of Santa Ana (City) has seen the number of cyclists and pedestrians injured or killed in traffic collisions remain unacceptably high for a number of years. The Santa Ana City Council and community are now calling for a change to the City’s mobility priorities. The statistics tell the story:
Most densely populated City in Orange County (Ranking 4th Nationally) 52% of Residents are under the age of 30
18% of Households are without a car
14% of Residents use public transit
Santa Ana ranks 3rd out of the 13 highest population cities in California in injury/fatal traffic collisions o Pedestrian involved: 5/13
o Bicyclist involved: 3/13
Safe all -around Santa Ana mobility must be better balanced with regional mobility priorities! The response must be customized to address the specific needs and characteristics of Santa Ana.
DESCRIPTION
The City is issuing this Request for Proposals (RFP) for the Safe Mobility Santa Ana (SMSA) Update that involves evaluating citywide traffic safety. The SMSA Update will analyze traffic collisions, identify contributing factors or patterns, recommend improvements, develop cost estimates, and prioritization for improvements.
PROJECT TASKS
The Consultant shall provide all necessary services to perform the following tasks:
Task 1: Project Management: The City shall be th e lead agency for the SMSA Update, and the des ignated City Project Manager will coordinate project management through the Traffic Engineering Section of the Public Works Agency. However, because this Project will require multi -jurisdictional cooperation with other agencies, the Consultant shall show a demonstrated ability to interface and coordinate with multiple agencies. Other agencies will provide necessary input on project design including:
Public Works Agency
Planning & Building Agency
Santa Ana Police Department
OCTA
Caltrans
SAUSD
The Consultant shall be expected to interface both locally with City staff and other affected agencies as necessary, as well as participating in discussions and presentations with the wider design team at periodic project milestones. In order to ensure a timely progression of the project from inception to EXHIBIT 1
City Council –
final deliverable, the following activities should be anticipated once the Notice to Proceed (NTP) is authorized and as the Project progresses:
Project Kick-off Meeting
Weekly PDT Meetings
Up to Five Community/Stakeholder Meetings
Two City Council Meetings/Presentations
Project Schedule Management
Monthly Progress Reports
Monthly Cost Accounting
Quality Assurance / Quality Control
Of par ticular importance is the monthly PDT Meetings. The consultant shall prepare, update, and provide staff with a punch list prior to the meeting. City staff will be participating and guiding t he development of the SMSA Update throughout the process.
Task 2: Data collection: Data collection will include, but not be limited to; traf fic counts, collision data for the past five years, posted speed limit, 85% tile speed limit, lane configurations, street classification, lane widths, traffic citations, street lighting, trees, transit stops, transit boarding/alighting, street crossings, and adjacent land uses.
Task 3: Community Survey: A community survey to assess safety concerns shall be conducted to assist in determining the prioritization criteria in later tasks.
Task 4: Analysis: The analysis will consist of a thorough review and study of the data collected particularly the citywide collisions within the past five -years (20,000+). Special focus will be placed on all pedestrian and bicycle involved collisions. The analysis will rev iew collisions to identify correctable collision patterns. The review will include, but not be limited to; time of day, day of the week, night time, age of parties, year by year trends, primary collision factors, type of collisions, severity of injury, and fatalities. Review of actual collision reports for the past five-years will be required.
Task 5: Location Prioritization and Field Review: Conduct a safety evaluation and field reviews for street segments and intersections that present the highest risk to vulner able roadways users (bicyclists and pedestrians). A prioritization of risk factors shall be established as part of this Task and may include collision patterns, severity of injuries, and proximity to school, parks, or other pedestrian/bicycle generating uses. The field reviews shall be conducted while school is in session.
Task 6: Recommended Countermeasures: Based on the data collection, field review and collision analysis; street improvements/counter -measures shall be proposed to mitigate potential future collis ions, including multiple alternatives where appropriate. The alternative street improvement options may vary in cost or ease of implementation. Countermeasures shall include engineering, enforcement, and education activities. All options will be considered . This project will encourage use of innovative and creative street improvement options.
Task 7: Consistency Review: All proposed countermeasures shall be reviewed for consistency with local, regional, and state policies, regulations, and guidelines. Potential co untermeasures shall not be ruled out due to inconsistency, however inconsistencies shall be identified and recommendations to allow implementation offered. These recommendations may include, but not be limited to; engineering EXHIBIT 1
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surveys for speed limit reduct ions, reclassification of streets, or obtaining approval for pilot/study projects.
Task 8: Cost Estimates: Cost estimates will be prepared for each street improvement option for each street segment and/or intersection.
Task 9: Improvement Prioritization: A prioritization system to rank proposed countermeasures along street segments or intersections with the highest opportunity for collision reductions shall be developed. The prioritization system will establish criteria from the data collection, community survey, field review, and collision analysis. Criteria may include, but not be limited to; volumes of motor vehicles, volumes of pedestrians and bicyclists, speed of motor vehicles, number of collisions, collision patterns, severity of injuries, ease of implementation, cost, and proximity to specific land-uses.
Task 10: Coordination of Multiple Projects : In addition to this project, the consultant must be in coordination with the Sustainable Communities Program – Active Transportation & Safety SCAG project and required coordination of the abovementioned project by the consultant awarded the contract to perform the work of each respective project shall be required to ensure the efficient and effective implementation of the proposed project s in a safe and timely mann er. Consultants shall make every effort necessary to avoid any delays on each of the project schedules. Consultants shall notify the Engineer as soon as any potential delay on any portion of contract work is known or identified.
Consultants shall work toge ther in a good faith effort to ensure projects are delivered in an efficient, effective, safe, and timely manner.
Task 11: Final Plan Report: Final report shall include but not be limited to the following:
i. Introduction
ii. Relationship of this document to existing documents iii. Collision analysis
iv. Toolbox of potential street improvements
v. Recommended improvements
vi. Cost estimates
vii. Prioritization
viii. Matrix of proposed countermeasures
ix. Appendices (include all relevant data)
SUMMARY OF PRODUCTS
The required products, which are to be delivered to the Traffic Engineering section of the City of Santa Ana Public Works Agency, shall be as follows:
1. All data collection information for each street segment/intersection.
2. The draft SMSA Update report. (electronic)
3. The final SMSA Update report. (10 hard copies, one electronic)
All written reports, information, data, charts, tables, maps, drawings, etc. in electronic format acceptable to the City of Santa Ana.
SCHEDULE
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This project is a high priority project for the City of Santa Ana Public Works Agency. As a result, the SMSA Update has a very aggressive schedule. 9 to 12 months from the date notice to proceed is issued, in coordination with the Sustainable Communities Program – Active Transportation & Safety SCAG project.
Organizations submitting Proposals must show how they will meet this schedule including staff allocation, responsiveness, and quality control.
SPECIAL REQUIREMENTS (ATTACHMENT 4)
This project will utilize California Department of Transportation (Caltrans) funds and shall therefore comply with all state and federal requirements. The below referenced forms included in Attachment 4 (Additional Provisions) of the Appendix must be completed in their entirety and submitted with your proposal:
LAPM Exhibit 10-H: Sample Cost Proposal
LAPM Exhibit 10-O1: Consultant Proposal DBE Commitment LAPM Exhibit 10-O2: Consultant Contract DBE Commitment LAPM Exhibit 10-K: Consultant Certification of Contract Costs and Financial Management System
Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter 10, for further instructions and guidelines pertaining to the completion of these forms:https://dot.ca.gov/-/media/dot-media/programs/local-assistance/documents/lapm/ch10.pdf
COMPLIANCE WITH REQUIREMENTS OF FUNDING AGENCY:
This agreement may be funded with state and/or federal grant funds administered by Caltrans.
Proposer shall comply with all requirements as they pertain to the use of these funds. Refer to Attachment 4 for Caltrans required forms, including Exhibit 10-H – Sample Cost Proposal (H2 for On-Call Contracts) in the Appendix of this RFP.
DISADVANTAGED BUSINESS ENTERPRISES (DBE) GOAL:
The Agency has established a DBE goal for this Contract. Proposers are encouraged to obtain DBE participation for this contract. Refer to Exhibit 10-I – Notice to Proposers DBE Information included in the Appendix of this RFP. Proposers must submit Exhibits 10-O1 & 10-O2 – Consultant Proposal & Contract DBE Commitment to demonstrate compliance with Agency’s DBE goal.
CONSULTANT AUDIT AND REVIEW PROCESS:
Prior to contract award and dependent on contract award amount, the selected Consultant shall be subject to an audit or review by Caltrans’ Audit and Investigations (A&I), other state audit organizations, or the federal government. The selected Consultant shall complete Exhibit 10-K – Consultant Annual Certification of Indirect Costs and Financial Management System for all prime and sub-consultants in the Appendix of this RFP.
To independently download any of the Caltrans Exhibits required per this RFP, visit:
https://dot.ca.gov/programs/local-assistance/forms/local-assistance-procedures-manual-forms EXHIBIT 1
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Appendix
ATTACHMENT 2
STANDARD AGREEMENT
CONSULTANT AGREEMENT
CITY OF SANTA ANA
CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
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. The City desires to retain a consultant having special skill and knowledge in the field of:
B. Consultant represents that Consultant is able and willing to provide such services to the City.
C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Work - Exhibit 1 , attached hereto and incorporated by reference.
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2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total p ayment for its services under this Agreement, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement, shall not exceed $ during the term of this Agreement, including any extension periods exercised under Section 3. This sum is comprised of (1) the base amount of $ and (2) a contingency in the amount of $ for additional services at the City’s sole discretion.
b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures.
Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City.
3. TERM
This Agreement shall commence on the date first written above for a ________________ with the option for the City to grant up to a _________________ renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earli er in accordance with Section 16, below.
4. PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consu ltant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
5. INDEPENDENT CONTRACTOR
Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemploym ent insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.
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6. OWNERSHIP OF MATERIALS
This Agreement creates a non -exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement (“Documents & Data”). Consultant shall require all subcontractors to agree in writing that City is gr anted a non -exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.
Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
7. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to pro tection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant’s operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self -insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles.
c. Worker’s Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker ’s compensation or to undertake self - insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer’s liability insurance with limits not less than $1,000,000 per accident.
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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 re quirements 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 fur nished 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.
8. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Con sultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable EXHIBIT 1
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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 ex tent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
9. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend and indemnify the City , its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States’ letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement.
10. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreemen t. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.
11. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of thi s 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 info rmation includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in ri ghtful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.
12. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interests and shall not have interests, direct EXHIBIT 1
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or indirect, which would conflict in any manner with performance of services specified under this Agreement.
13. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disab ility, 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.
14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein.
15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such a ssignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City.
16. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems EXHIBIT 1
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appropriate.
b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement.
17. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
18. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforc ement 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 ma intain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.
20. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.
21. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:
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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:
Nabil Saba
Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714-647-5635
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 State s 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.
First & Last Name
Title
Consultant Firm Name
Address
City, State, Zip
Fax:
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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:
SONIA R. CARVALHO CONSULTANT:
City Attorney
By:
John Funk
Assistant City Attorney (title)
Tax ID#
RECOMMENDED FOR APPROVAL:
Nabil Saba
Executive Director
Public Works Agency
(name)
(title)
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EXHIBIT 1
SCOPE OF WORK
EXHIBIT 1
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EXHIBIT B
COMPENSATION
Fee Proposal including hourly rates if applicable
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CITY OF SANTA ANA
REQUEST FOR PROPOSALS
FOR
SAFE MOBILITY SANTA ANA UPDATE
RFP NO.: 21-082
NON-COLLUSION AFFIDAVIT
(Title 23 United States Code Section 112 and
Public Contract Code Section 7106)
To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS
In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid.
Note: The above Non-collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non-collusion Affidavit. BIDDERS are cautioned that 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
EXHIBIT 1
City Council 13 – 29 8/2/2022
The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:
1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
2. If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and submit a “Disclosure of Lobbying Activities”.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub recipients shall certify and disclose accordingly.
Firm
Signed and Printed Name:
Title
Date
EXHIBIT 1
City Council 13 – 30 8/2/2022
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 tr ansfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.
2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.
3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers’ representatives of the Consultant’s commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.
4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.
5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders.
6. In the event of the Consultant’s non-compliance with the nondiscrimination clauses of this contract or with any of the said 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.
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 EXHIBIT 1
City Council 13 – 31 8/2/2022
by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a sub-consultant or vendor as a result of such direction by the administering agency, the Consultant may r equest that the United States enter into such litigation to protect the interests of the United States.
8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended,
No discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter.
Signed:
Title:
Firm:
Date:
EXHIBIT 1
City Council 13 – 32 8/2/2022
Appendix
ATTACHMENT 4
CALTRANS ATTACHMENTS
Please see below.
---------------------
EXHIBIT 1
City Council 13 – 33 8/2/2022
EXHIBIT 10-H1 COST PROPOSAL Page 1 of 3
COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (DESIGN, ENGINEERING AND ENVIRONMENTAL STUDIES)
Note: Mark-ups are Not Allowed ☐ Prime Consultant ☐ Subconsultant ☐ 2nd Tier Subconsultant Consultant __________________________________________________________ Project No. _______________________ Contract No. ____________________ Date ____________________
DIRECT LABOR
Classification/Title Name Hours Actual Hourly Rate Total ____________________________
____________________________
____________________________
____________________________
________
________
________
________
LABOR COSTS
a) Subtotal Direct Labor Costs
b) Anticipated Salary Increases (see page 2 for calculation) ______ _________
_______________
c) TOTAL DIRECT LABOR COSTS [(a) + (b)] _______________
INDIRECT COSTS
d) Fringe Benefits (Rate: _____ )
f) Overhead (Rate: _____ )
e) Total Fringe Benefits [(c) x (d)] _______________
g) Overhead [(c) x
(f)] _______________
h) General and Administrative (Rate: ___ __ ) i) Gen & Admin [(c) x (h )] _______________
FIXED F
EE
j) TOTAL INDIRECT COSTS [(e) + (g) + (i)] _______________ k) TOTAL FIXED FEE [(c) + (j)] x fixed fee ______ ] ______________ l) CONSULTANT’S OTHER DIRECT COSTS (ODC) – ITEMIZE (Add additional pages if necessary) Description of Item Quantity Unit Unit Cost Total
l) TOTAL OTHER DIRECT COSTS
m) SUBCONSULTANTS’ COSTS (Add additional pages if necessary) Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
m) TOTAL SUBCONSULTANTS’ COSTS
n) TOTAL OTHER DIRECT COSTS INCLUDING SUBCONSULTANTS [(l)+(m)] ___________________ TOTAL COST [(c) + (j) + (k) + (n)] _____________________ NOTES:
1. Key per
sonnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals.
2. The cost proposal format shall not be amended. Indirect cost rates shall be updated on an annual basis in accordance with the consultant’s annual accounting period and established by a cognizant agency or accepted by Caltrans.
3. Anticipated salary increases calculation (page 2) must accompany.
EXHIBIT 1
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
0.00%
$ 0.00
0.00%
$ 0.00
0.00%
$ 0.00
$ 0.00
$ 0.00
0.00%
$ 0.00
$ 0.00
$ 0.00
$ 0.00
$ 0.00
Mileage Costs
Equipment Rental and Supplies
Permit Fees
Plan Sheets
Test
City Council 13 – 34 8/2/2022
EXHIBIT 10-H 1 COST PROPOSAL Page 2 of 3
COST-PLUS-FIXED FEE OR LUMP SUM OR FIRM FIXED PRICE CONTRACTS (CALCULATIONS FOR ANTICIPATED SALARY INCREASES)
1. Calculate Average Hourly Rate for 1st year of the contract (Direct Labor Subtotal divided by total hours) Direct Labor Total Hours per Avg 5Year
Subtotal per Cost Cost Proposal Hourly Contract
Proposal Rate Duration
= $250,000.00 500 $50.00 Year 1 Avg
Hourly Rate
2. Calculate hourly rate for all years (Increase the Average Hourly Rate for a year by proposed escalation%) Avg Hourly Rate Proposed Escalation
Year 1 $50.00 + 2% = $51.00 Year 2 Avg Hourly Rate
Year 2 $51.00 + 2% = $52.02 Year 3 Avg Hourly Rate
Year 3 $52.02 + 2% = $53.06 Year 4 Avg Hourly Rate
Year 4 $53.06 + 2% = $54.12 Year 5 Avg Hourly Rate
3. Calculate estimated hours per year (Multiply estimate% each year by total hours) Estimated % Completed Total Hours per Cost Total Hours per Each Year Proposal Year
Year 1 20.0% 5000 = 1000 Estimated Hours Year 1
Year 2 400% 5000 = 2000 Estimated Hours Year 2
Year 3 15.0% 5000 = 750 Estimated Hours Year 3
Year 4 15.0% 5000 = 750 Estimated Hours Year 4
Years 100% 5000 = 500 Estimated Hours Year 5
Total 100% Total = 5000
4. Calculate Total Costs including Escalation (Multiply Average Hourly Rate by the number of hours) Avg Hourly Rate Estimated hours Cost per
(calculated above) (calculated above) Year
Year 1 $50.00 1000 $50,000.00 Estimated Hours Year 1 =
Year 2 $51.00 2000 $102,000.00 Estimated Hours Year 2 = Year 3 $52.02 750 $39,015.00 Estimated Hours Year 3 =
Year 4 $53.06 750 $39,795.30 Estimated Hours Year 4 =
Years $54.12 500 = $27,060.80 Estimated Hours Year 5
Total Direct Labor Cost with Escalation $257,871.10 =
Direct Labor Subtotal before Escalation = $250,000.00
Estimated total of Direct Labor Salary Transfer to Page 1 = Increase $7,871.10
NOTES:
1. This is not the only way to estimate salary increases. Other methods will be accepted if they clearly indicate the % increase, the# of years of the contract, and a breakdown of the labor to be performed each year.
2. An estimation that is based on direct labor multiplied by salary increase % multiplied by the# of years is not acceptable.
(i e. $250,000 x 2% x 5 yrs= $25,000 is not an acceptable methodology)
3. This assumes that one year will be worked at the rate on the cost proposal before salary increases are granted.
4. Calculations for anticipated salary escalation must be provided.
EXHIBIT 1
City Council 13 – 35 8/2/2022
_
EXHIBIT 10-H 1 COST PROPOSAL Page 3 of 3
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal{s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements:
1. Generally Accepted Accounting Principles {GAAP)
2. Terms and conditions of the contract
3. Title 23 United States Code Section 112 - Letting of Contracts
4. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures
5. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service
6. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board {when applicable)
All costs must be applied consistently and fairly to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are noncom pliant with the federal and state requirements are not eligible for reimbursement.
Local governments are responsible for applying only cognizant agency approved or Caltrans accepted Indirect Cost Rate{s).
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*:
Signature: ____ _ _ ____ __ ____ _ Date of Certification {mm/dd/yyyy): _ Email: ______ ______ __ _ Phone Number:
Address: ________________________________ _
*An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.
List services the consultant is providinq under the proposed contract:
EXHIBIT 1
City Council 13 – 36 8/2/2022
EXHIBIT 10-H2 COST PROPOSAL Page 1 of3
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Note: Mark-ups are Not Allowed
Consultant _________________ _ D Prime Consultant D Subconsultant D 2nd Tier Subconsultant Project No. _________ _ Contract No. ------- - Participation Amount $ ________ _ Date --- - For Combined Rate
Fringe Benefit% + General &Administrative% = Combined ICR% OR
For Home Office Rate
Fringe Benefit % + General &Administrative% = Home Office ICR% For Field Office Rate
Frinqe Benefit % + General &Administrative% = Field Office ICR% = Fee %
BILLING INFORMATION CALCULATION INFORMATION
Name/Job Title/Classification 1 Hourly Billing Rates2
Str aight3 OT(1.5x) OT(2x)
Effective Date of Hourly Rate
From To
Actual or Avg.
Hourly Rate4
% or$
Increase
Hourly Range -
for Clas sifications Only
John Doe - Project Manager*
Civil Engineer II
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
01/01/2016
01/01/2017
01/01/2018
12/31/2016
12/31/2017
12/31/2018
$0.00
$0.00
$0.00
0.0%
0.0%
Not Applicable
Sue Jones- Const ruction
Engineeri1nspector
Engineer I
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
01/01/2016
01/01/2017
01/01/2018
12/31/2016
12/31/2017
12/31/2018
$0.00
$0.00
$0.00
0.0%
0.0%
Not Applicable
Buddy Black - Claims Engineer
Engineer Ill
Land Surveyor
**
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
01/01/2016
01/01/2017
01/01/2018
01/01/2016
01/01/2017
01/01/2018
12/31/2016
12/31/2017
12/31/2018
12/31/2016
12/31/2017
12/31/2018
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
0.0%
0.0%
0.0%
0.0%
Not Applicable
$00-$00
$00-$00
$00-$00
Technician $0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
01/01/2016
01/01/2017
01/01/2018
12/31/2016
12/31/2017
12/31/2018
$0.00
$0.00
$0.00
0.0%
0.0%
$00-$00
$00-$00
$00-$00
(Add pages as necessary)
January 2020
EXHIBIT 1
City Council 13 – 37 8/2/2022
NOTES:
1. Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**).All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals.
2. The cost proposal format shall not be amended.
3. Billing rate= actual hourly rate * (1 + ICR) * (1 + Fee). Indirect cost rates shall be updated on an annual basis in accordance with the consultants annual accounting period and established by a cognizant agency or accepted by Caltrans. All costs must comply with the Federal cost principles for reimbursement.
4. For named employees and key personnel enter the actual hourly rate. For classifications only, enter the Average Hourly Rate for that classification.
EXHIBIT 10-H2 COST PROPOSAL Page2ot3
SPECIFIC RATE OF COMPENSATION (USE FOR ON-CALL OR AS-NEEDED CONTRACTS) (CONSTRUCTION ENGINEERING AND INSPECTION CONTRACTS)
Consultant __________________ _ □ Prime Consultant □ Subconsultant Project No. __________ _ Contract No. -----------Date ________ _ SCHEDULE OF OTHER DIRECT COST ITEMS (Add additional pages as necessary) Description of Item Quantity Unit Unit Cost Total
Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
Subconsultant 5:
Note: Add additional pages if necessary.
NOTES:
1. List other direct cost items with estimated costs. These costs should be competitive in their respective industries and supported with appropriate documentation.
2. Proposed ODC items should be consistently billed regardless of client and contract type.
3. Items when incurred for the same purpose, in like circumstance, should not be included in any indirect cost pool or in the overhead rate.
4. Items such as special tooling, will be reimbursed at actual cost with supporting documentation (invoice).
5. Items listed above that would be considered "tools of the trade" are not reimbursable as other direct cost
6. Travel related costs should be pre-approved by the contracting agency and shall not exceed current State Department of Personnel Administration rules.
January 2020
EXHIBIT 1
Mileage Costs
2 1
$ 10.00
Equipment Rental and Supplies
2 $ 20.00
Permit Fees
3 $ 30.00
Plan Sheets
Test
Vehicle
$ 0.00
$ 100.00
$ 200.00
$ 300.00
$ 500.00
City Council 13 – 38 8/2/2022
7. If mileage is claimed, the rate should be properly supported by the consultant's calculation of their actual costs for company vehicles. In addition, the miles claimed should be supported by mileage logs.
8. If a consultant proposes rental costs for a vehicle, the company must demonstrate that this is its standard procedure for all of their contracts and that they do not own any vehicles that could be used for the same purpose.
9. The cost proposal format shall not be amended. All costs must comply with the Federal cost principles.
10. Add additional pages if necessary.
11. Subconsultants must provide their own cost proposals.
January 2020
EXHIBIT 1
City Council 13 – 39 8/2/2022
EXHIBIT 10-H2 COST PROPOSAL Page 3 of 3
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal(s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements:
7. Generally Accepted Accounting Principles (GAAP)
8. Terms and conditions of the contract
9. Title 23 United States Code Section 112 - Letting of Contracts
10. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures
11. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service
12. 48 Code of Federal Regulations Part 9904 - Cost Accounting Standards Board (when applicable)
All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement.
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*: ______________ _
Signature�: _____________ _ Date of Certification (mm/dd/y yyy):
Email: ______________ _ Phone Number: ___________ _
Address: ________________________________ _
* An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.
List services the consultant is providing under the proposed contract:
EXHIBIT 1
City Council 13 – 40 8/2/2022
EXHIBIT 10-HJ COST PROPOSAL Page 1 of 2
COST PER UNIT OF WORK CONTRACTS
(GEOTECHNICAL AND MATERIAL TESTING)
Note: Mark-ups are Not Allowed □ Prime Consultant □ Subconsultant □ 2nd Tier Subconsultant Consultant __________________ _
Project No. _________ _ Contract No. --------- Date ------ - Unit/Item of Work:
(Example: Log of Test Boring for Soils Report, or ADL Testing for Hazardous Waste Material Study} Include as many Items as necessary.
DIRECT LABOR Hours Billing Hourly Rate {$) Total{$)
Professional {Classification)*
Sub-professional/Technical**
EQUIPMENT 1 {with Operator)
EQUIPMENT 2 {with Operator)
Consultant's Other Direct Costs (ODC)- Itemize:
Description of Item Quantity Unit Unit Cost Total
Subconsultant 1:
Subconsultant 2:
Subconsultant 3:
Subconsultant 4:
Subconsultant 5:
Nole: Attach addtllonal pages if necessary.
TOTAL COST PER UNIT OF WORK
NOTES:
1 . Key personnel must be marked with an asterisk (*) and employees that are subject to prevailing wage requirements must be marked with two asterisks (**). All costs must comply with the Federal cost principles. Subconsultants will provide their own cost proposals. The cost proposal format shall not be amended.
2. Hourly billing rates should include prevailing wage rates and be consistent with publicly advertised rates charged to all clients (Commercial, Private or Public).
3. Mobilization/De-mobilization is based on site location and number and frequency of tests/items.
4. ODC items shall be based on actual costs and supported by historical data and other documentation.
5. ODC items that would be considered "tools of the trade' are not reimbursable.
6. Billing Hourly Rates must be actual, allowable, and reasonable.
EXHIBIT 1
Mileage Costs
2 1
$ 10.00
Equipment Rental and Supplies
2 $ 20.00
Permit Fees
3 $ 30.00
Plan Sheets
Test
$ 100.00
$ 200.00
$ 300.00
$ 500.00
✔
✔
✔
City Council 13 – 41 8/2/2022
_ _
EXHIBIT 10-H3 COST PROPOSAL Page 2 of 2
Certification of Direct Costs:
I, the undersigned, certify to the best of my knowledge and belief that all direct costs identified on the cost proposal{s) in this contract are actual, reasonable, allowable, and allocable to the contract in accordance with the contract terms and the following requirements:
13. Generally Accepted Accounting Principles {GAAP)
14. Terms and conditions of the contract
15. Title 23 United States Code Section 112 - Letting of Contracts
16. 48 Code of Federal Regulations Part 31 - Contract Cost Principles and Procedures
17. 23 Code of Federal Regulations Part 172 - Procurement, Management, and Administration of Engineering and Design Related Service
18. 48 Code of Federal Regulation Part 9904 - Cost Accounting Standards Board {when applicable)
All costs must be applied consistently and fair1y to all contracts. All documentation of compliance must be retained in the project files and be in compliance with applicable federal and state requirements.
Costs that are noncompliant with the federal and state requirements are not eligible for reimbursement.
Prime Consultant or Subconsultant Certifying:
Name: ______________ _ Title*: ______________ _
Signature�: _____________ _ Date of Certification {mm/dd/yyyy...._____ : _ Email: ______________ Phone Number,_,_: __________ _
Address: ________________________________ _
* An individual executive or financial officer of the consultant's or subconsultant's organization at a level no lower than a Vice President or a Chief Financial Officer, or equivalent, who has authority to represent the financial information utilized to establish the cost proposal for the contract.
List services the consultant is providinq under the proposed contract:
EXHIBIT 1
City Council 13 – 42 8/2/2022
Local Assistance Procedures Manual EXHBIT 10-1
Notice to Proposers DBE Information
EXHIBIT 10-1 NOTICE TO PROPOSERS DBE INFORMATION
(Federally funded projects only)
The Agency has established a DBE goal for this Contract of _____
1. 2.
3. 4.
TERMS AS USED IN THIS DOCUMENT
• The term "Disadvantaged Business Enterprise" or
"DBE" means a for-profit small business concern
owned and controlled by a socially and economically disadvantaged person(s) as defined in Title 49, Code of Federal Regulations (CFR), Part 26.5.
• The term "Agreement" also means "Contract."
• Agency also means the local entity entering into this contract with the Contractor or Consultant. • The term "Small Business" or "SB" is as defined in 49 CFR 26.65.
AUTHORITY AND RESPONSIBILITY
A. DBEs and other small businesses are strongly encouraged to participate in the performance of Contracts financed in whole or in part with federal funds (See 49 CFR 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs").
The Consultant must ensure that DBEs and other small businesses have the opportunity to participate in the performance of the work that is the subject of this solicitation and should take all necessary and reasonable steps for this assurance. The proposer must not discriminate on the basis of race, color, national origin, or sex in the award and performance of subcontracts.
B. Proposers are encouraged to use services offered by financial institutions owned and controlled by DBEs.
SUBMISSION OF DBE INFORMATION
If there is a DBE goal on the contract, Exhibit 10-01 Consultant Proposal DBE Commitment must be included in the Proposal. In order for a proposer to be considered responsible and responsive, the proposer must make good faith efforts to meet the goal established for the contract. If the goal is not met, the proposer must document adequate good faith efforts. All DBE participation will be counted towards meeting the contract goal; therefore, all DBE participation shall be collected and reported.
Exhibit 10-02 Consultant Contract DBE Information must be included in best qualified consultant's executed consultant contract. Even if no DBE participation will be reported, the successful proposer must execute and return the form.
DBE PARTICIPATION GENERAL INFORMATION
It is the proposer's responsibility to be fully informed regarding the requirements of 49 CFR, Part 26, and the Department's DBE program developed pursuant to the regulations. Particular attention is directed to the following:
A. A DBE must be a small business firm defined pursuant to 13 CFR 121 and be certified through the California Unified Certification Program (CUCP).
B. A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or supplies, or as a trucking company.
C. A DBE proposer not proposing as a joint venture with a non-DBE, will be required to document one or a combination of the following:
1. The proposer is a DBE and will meet the goal by performing work with its own forces.
2. The proposer will meet the goal through work performed by DBE subconsultants, suppliers or trucking companies.
3. The proposer, prior to proposing, made adequate good faith efforts to meet the goal.
January 2020
EXHIBIT 1
0.00%
City Council 13 – 43 8/2/2022
Local Assistance Procedures Manual EXHBIT 10-1
Notice to Proposers DBE Information
D. A DBE joint venture partner must be responsible for specific contract items of work or clearly defined portions thereof. Responsibility means actually performing, managing, and supervising the work with its own forces. The DBE joint venture partner must share in the capital contribution, control, management, risks and profits of the joint venture commensurate with its ownership interest.
E. A DBE must perform a commercially useful function pursuant to 49 CFR 26.55, that is, a DBE firm must be responsible for the execution of a distinct element of the work and must carry out its responsibility by actually performing, managing and supervising the work.
F. The proposer shall list only one subconsultant for each portion of work as defined in their proposal and all DBE subconsultants should be listed in the bid/cost proposal list of subconsultants.
G. A prime consultant who is a certified DBE is eligible to claim all of the work in the Contract toward the DBE participation except that portion of the work to be performed by non-DBE subconsultants.
5. RESOURCES
A. The CUCP database includes the certified DBEs from all certifying agencies participating in the CUCP.
If you believe a firm is certified that cannot be located on the database, please contact the Caltrans Office of Certification toll free number 1-866-810-6346 for assistance.
B. Access the CUCP database from the Department of Transportation, Office of Civil Rights website
1. Click on the link titled Disadvantaged Business Enterprise;
2. Click on Search for a DBE Firm link;
3. Click on Access to the DBE Query Form located on the first line in the center of the page.
Searches can be performed by one or more criteria. Follow instructions on the screen.
6. MATERIALS OR SUPPLIES PURCHASED FROM DBES COUNT TOWARDS THE DBE GOAL UNDER THE FOLLOWING CONDITIONS:
A. If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies. A DBE manufacturer is a firm that operates or maintains a factory, or establishment that produces on the premises the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications.
B. If the materials or supplies purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies. A DBE regular dealer is a firm that owns, operates or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a DBE regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. A person may be a DBE regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone or asphalt without owning, operating or maintaining a place of business provided in this section.
C. If the person both owns and operates distribution equipment for the products, any supplementing of regular dealers' own distribution equipment shall be, by a long-term lease agreement and not an ad hoc or Agreement-by-Agreement basis. Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not DBE regular dealers within the meaning of this section.
D. Materials or supplies purchased from a DBE, which is neither a manufacturer nor a regular dealer, will be limited to the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on the job site, provided the fees are reasonable and not excessive as compared with fees charged for similar services.
January 2020
EXHIBIT 1
City Council 13 – 44 8/2/2022
Local Assistance Procedures Manual Exhibit 10-K
Consultant Annual Certification of Indirect Costs and Financial Management System EXHIBIT 10-K CONSULTANT ANNUAL CERTIFICATION OF
INDIRECT COSTS AND FINANCIAL MANAGEMENT SYSTEM
(Note: If a Safe Harbor Indirect Cost Rate is approved, this form is not required.) Consultant’s Full Legal Name:
Important: Consultant means the individual or consultant providing engineering and design related services as a party of a contract with a recipient or sub-recipient of Federal assistance. Therefore, the Indirect Cost Rate(s) shall not be combined with its parent company or subsidiaries.
Indirect Cost Rate:
Combined Rate % OR
Home Office Rate % and Field Office Rate (if applicable) % Facilities Capital Cost of Money % (if applicable)
Fiscal period *
* Fiscal period is annual one year applicable accounting period that the Indirect Cost Rate was developed (not the contract period). The Indirect Cost Rate is based on the consultant’s one-year applicable accounting period for which financial statements are regularly prepared by the consultant.
I have reviewed the proposal to establish an Indirect Cost Rate(s) for the fiscal period as specified above and have determined to the best of my knowledge and belief that:
• All costs included in the cost proposal to establish the indirect cost rate(s) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) 48, Code of Federal Regulations (CFR), Chapter 1, Part 31 (48 CFR Part 31); • The cost proposal does not include any costs which are expressly unallowable under the cost principles of 48 CFR Part 31;
• The accounting treatment and billing of prevailing wage delta costs are consistent with our prevailing wage policy as either direct labor, indirect costs, or other direct costs on all federally- funded A&E Consultant Contracts.
• All known material transactions or events that have occurred subsequent to year-end affecting the consultant’s ownership, organization, and indirect cost rates have been disclosed as of the date of this certification.
I am providing the required and applicable documents as instructed on Exhibit 10-A.
Financial Management System:
Our labor charging, job costing, and accounting systems meet the standards for financial reporting, accounting records, and internal control adequate to demonstrate that costs claimed have been incurred, appropriately accounted for, are allocable to the contract, and comply with the federal requirements as set forth in Title 23 United States Code (U.S.C.) Section 112(b)(2); 48 CFR Part 31.201-2(d); 23 CFR, Chapter 1, Part 172.11(a)(2); and all applicable state and federal rules and regulations.
Our financial management system has the following attributes:
• Account numbers identifying allowable direct, indirect, and unallowable cost accounts; • Ability to accumulate and segregate allowable direct, indirect, and unallowable costs into separate cost
March 2018
EXHIBIT 1
City Council 13 – 45 8/2/2022
Local Assistance Procedures Manual Exhibit 10-K
Consultant Annual Certification of Indirect Costs and Financial Management System accounts;
• Ability to accumulate and segregate allowable direct costs by project, contract and type of cost; • Internal controls to maintain integrity of financial management system; • Ability to account and record costs consistently and to ensure costs billed are in compliance with FAR; • Ability to ensure and demonstrate costs billed reconcile to general ledgers and job costing system; and • Ability to ensure costs are in compliance with contract terms and federal and state requirement Cost Reimbursements on Contracts:
I also understand that failure to comply with 48 CFR Part 16.301-3 or knowingly charge unallowable costs to Federal-Aid Highway Program (FAHP) contracts may result in possible penalties and sanctions as provided by the following:
• Sanctions and Penalties - 23 CFR Part 172.11(c)(4)
• False Claims Act - Title 31 U.S.C. Sections 3729-3733 • Statements or entries generally - Title 18 U.S.C. Section 1001 • Major Fraud Act - Title 18 U.S.C. Section 1031
All A&E Contract Information:
• Total participation amount $___________________ on all State and FAHP contracts for Architectural & Engineering services that the consultant received in the last three fiscal periods. • The number of states in which the consultant does business is . • Years of consultant’s experience with 48 CFR Part 31 is . • Audit history of the consultant’s current and prior years (if applicable) ☐ Cognizant ICR Audit ☐ Local Gov’t ICR Audit □ Caltrans ICR Audit ☐ Federal Gov’t ICR Audit ☐ CPA ICR Audit
I, the undersigned, certify all of the above to the best of my knowledge and belief and that I have reviewed the Indirect Cost Rate Schedule to determine that any costs which are expressly unallowable under the Federal cost principles have been removed and comply with Title 23 U.S.C. Section 112(b)(2), 48 CFR Part 31, 23 CFR Part 172, and all applicable state and federal rules and regulations. I also certify that I understand that all documentation of compliance must be retained by the consultant. I hereby acknowledge that costs that are noncompliant with the federal and state requirements are not eligible for reimbursement and must be returned to Caltrans.
Name**: _ Title**:
Signature: Date of Certification (mm/dd/yyyy):
Email**: Phone Number**:
**An individual executive or financial officer of the consultant’s or subconsultant’s organization at a level no lower than a Vice President, a Chief Financial Officer, or equivalent, who has authority to represent the financial information used to establish the indirect cost rate.
Note: Both prime and subconsultants as parties of a contract must complete their own Exhibit 10-K forms.
Caltrans will not process local agency’s invoices until a complete Exhibit 10-K form is accepted and approved by Caltrans Audits and Investigations.
Distribution: 1) Original - Local Agency Project File
2) Copy - Consultant
3) Copy - Caltrans Audits and Investigations
March 2018
EXHIBIT 1
City Council 13 – 46 8/2/2022
Local Assistance Procedures Manual Exhibit 10-O1
Consultant Proposal DBE Commitment
EXHIBIT 10-O1 CONSULTANT PROPOSAL DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE:
7. Description of Work, Service, or Materials
Supplied
8. DBE
Certification
Number
10. DBE %
%
Local Agency to Complete this Section
17. Local Agency Contract Number:
18. Federal-Aid Project Number:
19. Proposed Contract Execution Date:
20. Consultant’s Ranking after Evaluation: __________________________ Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.
9. DBE Contact Information
11. TOTAL CLAIMED DBE PARTICIPATION
IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.
12. Preparer's Signature 13. Date
14. Preparer's Name 15. Phone
16. Preparer's Title
DISTRIBUTION: Original – Included with consultant’s proposal to local agency.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654-6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS-89, Sacramento, CA 95814.
LPP 18-01 Page 1 of 2
January 2019
EXHIBIT 1
✔
City Council 13 – 47 8/2/2022
Local Assistance Procedures Manual Exhibit 10-O1
Consultant Proposal DBE Commitment
INSTRUCTIONS – CONSULTANT PROPOSAL DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency - Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Location - Enter the project location as it appears on the project advertisement.
4. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc.).
5. Consultant’s Name - Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
8. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened.
9. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
10. DBE % - Percent participation of work to be performed or service provided by a DBE. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
11. Total Claimed DBE Participation % - Enter the total DBE participation claimed. If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
12. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name.
13. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer.
14. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form.
15. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
16. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
17. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
18. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
19. Proposed Contract Execution Date - Enter the proposed contract execution date.
20. Consultant’s Ranking after Evaluation – Enter consultant’s ranking after all submittals/consultants are evaluated. Use this as a quick comparison for evaluating most qualified consultant.
21. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate.
22. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative.
23. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form.
24. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
25. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form.
LPP 18-01 Page 2 of 2
January 2019
EXHIBIT 1
City Council 13 – 48 8/2/2022
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
EXHIBIT 10-O2 CONSULTANT CONTRACT DBE COMMITMENT
1. Local Agency: 2. Contract DBE Goal:
3. Project Description:
4. Project Location:
5. Consultant's Name: 6. Prime Certified DBE: 7. Total Contract Award Amount:
8. Total Dollar Amount for ALL Subconsultants: 9. Total Number of ALL Subconsultants:
10. Description of Work, Service, or Materials
Supplied
11. DBE
Certification
Number
12. DBE Contact Information
13. DBE
Dollar
Amount
Local Agency to Complete this Section
14. TOTAL CLAIMED DBE PARTICIPATION
$ 20. Local Agency Contract
Number:
21. Federal-Aid Project Number:
22. Contract Execution
Date:
Local Agency certifies that all DBE certifications are valid and information on this form is complete and accurate.
23. Local Agency Representative's Signature 24. Date
25. Local Agency Representative's Name 26. Phone
27. Local Agency Representative's Title
%
IMPORTANT: Identify all DBE firms being claimed for credit, regardless of tier. Written confirmation of each listed DBE is required.
15. Preparer's Signature 16. Date
17. Preparer's Name 18. Phone
19. Preparer's Title
DISTRIBUTION: 1. Original – Local Agency
2. Copy – Caltrans District Local Assistance Engineer (DLAE). Failure to submit to DLAE within 30 days of contract execution may result in de-obligation of federal funds on contract.
ADA Notice: For individuals with sensory disabilities, this document is available in alternate formats. For information call (916) 654- 6410 or TDD (916) 654- 3880 or write Records and Forms Management, 1120 N Street, MS -89, Sacramento, CA 95814.
July 23, 2015
EXHIBIT 1
City Council 13 – 49 8/2/2022
Local Assistance Procedures Manual Exhibit 10-O2
Consultant Contract DBE Commitment
INSTRUCTIONS – CONSULTANT CONTRACT DBE COMMITMENT
CONSULTANT SECTION
1. Local Agency - Enter the name of the local or regional agency that is funding the contract.
2. Contract DBE Goal - Enter the contract DBE goal percentage as it appears on the project advertisement.
3. Project Description - Enter the project description as it appears on the project advertisement (Bridge Rehab, Seismic Rehab, Overlay, Widening, etc).
4. Project Location - Enter the project location as it appears on the project advertisement.
5. Consultant’s Name - Enter the consultant’s firm name.
6. Prime Certified DBE - Check box if prime contractor is a certified DBE.
7. Total Contract Award Amount - Enter the total contract award dollar amount for the prime consultant.
8. Total Dollar Amount for ALL Subconsultants – Enter the total dollar amount for all subcontracted consultants.
SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
9. Total number of ALL subconsultants – Enter the total number of all subcontracted consultants. SUM = (DBEs + all Non-DBEs). Do not include the prime consultant information in this count.
10. Description of Work, Services, or Materials Supplied - Enter description of work, services, or materials to be provided. Indicate all work to be performed by DBEs including work performed by the prime consultant’s own forces, if the prime is a DBE. If 100% of the item is not to be performed or furnished by the DBE, describe the exact portion to be performed or furnished by the DBE. See LAPM Chapter 9 to determine how to count the participation of DBE firms.
11. DBE Certification Number - Enter the DBE’s Certification Identification Number. All DBEs must be certified on the date bids are opened.
12. DBE Contact Information - Enter the name, address, and phone number of all DBE subcontracted consultants.
Also, enter the prime consultant’s name and phone number, if the prime is a DBE.
13. DBE Dollar Amount - Enter the subcontracted dollar amount of the work to be performed or service to be provided. Include the prime consultant if the prime is a DBE. See LAPM Chapter 9 for how to count full/partial participation.
14. Total Claimed DBE Participation - $: Enter the total dollar amounts entered in the “DBE Dollar Amount” column. %: Enter the total DBE participation claimed (“Total Participation Dollars Claimed” divided by item “Total Contract Award Amount”). If the total % claimed is less than item “Contract DBE Goal,” an adequately documented Good Faith Effort (GFE) is required (see Exhibit 15-H DBE Information - Good Faith Efforts of the LAPM).
15. Preparer’s Signature - The person completing the DBE commitment form on behalf of the consultant’s firm must sign their name.
16. Date - Enter the date the DBE commitment form is signed by the consultant’s preparer.
17. Preparer’s Name - Enter the name of the person preparing and signing the consultant’s DBE commitment form.
18. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
19. Preparer’s Title - Enter the position/title of the person signing the consultant’s DBE commitment form.
LOCAL AGENCY SECTION
20. Local Agency Contract Number - Enter the Local Agency contract number or identifier.
21. Federal-Aid Project Number - Enter the Federal-Aid Project Number.
22. Contract Execution Date - Enter the date the contract was executed.
23. Local Agency Representative’s Signature - The person completing this section of the form for the Local Agency must sign their name to certify that the information in this and the Consultant Section of this form is complete and accurate.
24. Date - Enter the date the DBE commitment form is signed by the Local Agency Representative.
25. Local Agency Representative’s Name - Enter the name of the Local Agency Representative certifying the consultant’s DBE commitment form.
26. Phone - Enter the area code and phone number of the person signing the consultant’s DBE commitment form.
27. Local Agency Representative Title - Enter the position/title of the Local Agency Representative certifying the consultant’s DBE commitment form.
July 23, 2015
EXHIBIT 1
City Council 13 – 50 8/2/2022
AGREEMENT WITH KTU&A DBA KTUA TO PROVIDE SAFE MOBILITY
ANALYSIS SERVICES
THIS AGREEMENT is made and entered into this 2nd day of August 2022, by and between KTU&A dba KTUA, a California corporation (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (“City”).
RECITALS
A. On August 30, 2021, the City issued Request for Proposal No. 21-082, by which it sought a qualified c onsultant to provide safe mobility analysis services for the City’s Public Works Agency.
B. Consultant submitted a responsive proposal that was selected by the City .
Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 21-082.
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 contracting firm in the field.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Consultant shall perform the services described in the scope of work t hat was included in RFP No. 21-082, which is attached as Exhibit A and incorporated in full, and as further described 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 for City, the rates and charges identified in Exhibit C. The total amount to be expended under this Agreement shall not exceed One Hundred Seventy Nine Thousand, Nine Hundred Sixty-Five Dollars and Zero Cents ($179,965). b. Payment by City shall be made within forty -five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures.
Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City.
EXHIBIT 2
City Council 13 – 51 8/2/2022
3. TERM
This Agreement shall commence on the date first written above and terminate on August 1, 2025, unless terminated earlier in accordance with Section 1 7, below. The term of this Agreement may be extended for up to a two (2) year period upon a writing executed by the City Manager and City Attorney.
4. PREVAILING WAGES
Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., (“Prevailing Wage Laws”), which require the payment of prevailing wage rates and the performance of other requirements on “public works” and “maintenance” projects. If the services being performed are part of an applicable “public works” or “maintenance” project, as defined by the Prevailing Wage Laws, and t he total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws.
5. INDEPENDENT CONSULTANT
Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes.
6. OWNERSHIP OF MATERIALS
This Agreement creates a non -exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other doc uments 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 sub contractor prepares under this Agreement.
Consultant represents an d warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City’s sole risk.
EXHIBIT 2
City Council 13 – 52 8/2/2022
7. INSURANCE
Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below:
a. Minimum Scope and Limit of Insurance
1. Commercial General Liability (CGL) : Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with a limit no less than $1,000,000 per accident for bodily injury and property damage.
3. Workers’ Compensation: as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
4. Professional Liability: 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 $2,000,000 per claim with a $2,000,000 aggregate.
5. Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant.
Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City.
b. Other Insurance Provisions
1. Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used).
EXHIBIT 2
City Council 13 – 53 8/2/2022
2. Primary Coverage: For any claims related to this contract, the Consultant’s insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers.
Any insurance or self -insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it.
3. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City.
4. Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer.
5. Self-Insured Retentions: Self-insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention.
The policy language shall provide, or be endorsed to provide, that the self - insured retention may be satisfied by either the named insured or City.
6. Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City.
7. Claims Made Policies (applicable only to professional liability):
i. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work.
ii. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work.
iii. If coverage is canceled or non-renewed, and not replaced with another claims-made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase “extended reporting” coverage for a minimum of five (5) years after completion of work.
8. Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to EXHIBIT 2
City Council 13 – 54 8/2/2022
obtain the required documents prior to the work beginning shall not waive the Consultant’s obligation to provide them.
The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time.
9. Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors.
10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances.
8. INDEMNIFICATION
Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third par ty 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 Agreem ent. 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.
9. INTELLECTUAL PROPERTY INDEMNIFICATION
Consultant shall defend, indemnify and hol d 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.
EXHIBIT 2
City Council 13 – 55 8/2/2022
10. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any o ther documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.
11. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall no t use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. “Confidential Information” shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by a ny subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City.
12. CONFLICT OF INTEREST CLAUSE
Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services sp ecified under this Agreement.
13. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
EXHIBIT 2
City Council 13 – 56 8/2/2022
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax 714- 647-6956
Executive Director
Public Works Agency
City of Santa Ana
20 Civic Center Plaza (M-21)
P.O. Box 1988
Santa Ana, CA 92702
To Consultant: KTU&A dba KTUA
3916 Normal Street
San Diego, CA 92103
Attn: Michael Singleton, President
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 pur poses of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded.
14. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and Consultant 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.
15. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City’s prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s abilit y to have any of the services that are the subject to this Agreement performed by City personnel or by other contractors retained by City.
EXHIBIT 2
City Council 13 – 57 8/2/2022
16. WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.
17. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate.
b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement.
18. NON-DISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, 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.
19. JURISDICTION-VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.
20. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, EXHIBIT 2
City Council 13 – 58 8/2/2022
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.
21. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written.
ATTEST: CITY OF SANTA ANA
________________________ _________________________
Daisy Gomez Kristine Ridge
Clerk of the Council City Manager
APPROVED AS TO FORM KTU&A dba KTUA
SONIA R. CARVALHO
City Attorney
By: _____________________ ____________________________
Brandon Salvatierra Michael Singleton
Deputy City Attorney President
RECOMMENDED FOR APPROVAL
____________________________
Nabil Saba, PE
Executive Director
Public Works Agency
EXHIBIT 2
City Council 13 – 59 8/2/2022
Human Resources
www.santa-ana.org/hr
Item # 14
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Approve Agreement with Sunrise Multispecialist Medical Center for Non- Industrial Medical Services
AGENDA TITLE:
Approve Agreement between the City of Santa Ana and William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California Medical Corporation, Doing Business as Sunrise Multispecialist Medical Center, for Non-Industrial Medical Services (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an Aareement with William H. Nuesse M.D. and Mary Ann Nuesse, D.O, a California medical corporation, doing business as Sunrise Multispecialist Medical Center, to provide non-industrial medical services for a three-year term (June 7, 2022 through June 30, 2025) with the option of one 1-year extension, subject to non-substantive changes approved by the City Manager and City Attorney. The agreement shall not exceed $200,000 over the term of the Agreement.
DISCUSSION
The City currently utilizes Sunrise Multispecialist Medical Center (“Sunrise”) to provide the City's non-industrial medical services including, but not limited to, COVID-19 and Department of Transportation (DOT)-mandated services, drug tests, respiratory fitness tests, vision testing, post-accident testing, pre-employment examinations, fitness for duty examinations, and similar medical services for employees or applicants (for City employment).
In undertaking the performance of this Agreement, Sunrise represents that it remains knowledgeable in the field and that any services provided under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in this field.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
City Council 14 – 1 8/2/2022
Approve Agreement with Sunrise Multispecialist Medical Center for Non-Industrial Medical Services
August 2, 2022
2 8
1 1
FISCAL IMPACT
Prior to utilizing the services, staff will ensure sufficient funds are available in the appropriate program budget and will track expenditures to ensure the City does not exceed the aggregate $200,000 maximum total. The following accounts will be utilized for this agreement.
Accounting
Unit-Account
No. (Project
No.)
Fund Description
Accounting Unit – Account No.
Description
08209052-
62300
Workers
Compensation
Fund
Safety Program, Contract Srvcs-Professional
08009052-
62300
Liability & Property
Ins Fund
Safety Program, Contract Srvcs-Professional
08009051-
62300
Liability & Property
Ins Fund
Liab. & Property Ins Fund, Contract Srvcs-
Professional
EXHIBIT(S)
1. Agreement For Consultant Services Between City Of Santa Ana And William H.
Nuesse M.D. and Mary Ann Nuesse, D.O, a California medical corporation, doing business as Sunrise Multispecialist Medical Center
2. Sunrise Multispecialist Medical Center Price Sheet
Submitted By: Jason Motsick, Executive Dir Human Resources Approved By: Kristine Ridge, City Manager
City Council 14 – 2 8/2/2022
1 AGREEMENT FOR MEDICAL SERVICES AND TESTING
THIS AGREEMENT is made and entered into this 7th day of June, 2022 by and between William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a California medical corporation, doing business as Sunrise Multispecialist Medical Center (“Consultant”), and the City of Santa Ana, a charter city and municipal corporation organized and existing under t he Constitution and laws of the State of California (“City”).
RECITALS
A. City desires to retain a consultant to provide non-industrial medical services including but not limited to Department of Transportation (“DOT”) mandated services, drug tests, respiratory fitness tests, vision testing, post-accident testing, pre -employment examinations, fitness for duty examinations, COVID-19 testing and similar medical services for employees or applicants for employment.
B. In undertaking the performance of this Agreement, Consultant represents that it employs a licensed medical doctor and 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 licensed professional.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
A. Consultant shall perform medical services including examinations and testing for non-industrial medical services including but not limited to Department of Transportation (“DOT”) mandated services, COVID-19 testing, post-accident testing, pre-employment examinations, fitness for duty examinations, and simil ar medical services for employees or applicants for employment. Each service request will be confirmed in writing between City’s Human Resources Department and Consultant prior to Consultant providing services pursuant to this Agreement.
Specifically, consultant’s services will include:
1) For prospective and current City employees to perform the duties of the position for which they are being considered (pre -employment assessments), using pre -determined medical protocols for each job classification; such p rotocols may be modified by the physician, in consultation with the City’s Executive Director of Human Resources, or his/her designee, as is necessary to make a determination as to suitability for employment;
2) For current City employees being considered fo r employment in Department of Transportation (DOT) and non-DOT positions requiring pre- placement or pre-assignment drug screens;
3) Fitness for Duty examinations (industrial and non -industrial), and provide reports and recommendations regarding the suitability of current employees EXHIBIT 1
City Council 14 – 3 8/2/2022
2 to continue to perform their duties;
4) Urine and breath specimen collection, laboratory analysis and Medical Review Officer (MRO) responsibilities;
5) Department of Motor Vehicles (DMV) Driver’s License physical examinations;
6) DOT-mandated drug and alcohol testing of employees considered ‘safety sensitive’ as defined under DOT regulations and City policy. Consultant shall ensure all such testing complies with DOT testing procedures as per 49 CFR, Part 40; such testing to include pr e-employment and pre - assignment; and
7) COVID-19 testing.
B. City shall be responsible for the organization, scheduling, and management of DOT and non-DOT “reasonable suspicion” drug and alcohol testing, and DOT “random” and “post-accident” drug and alcohol testing. Consultant shall facilitate evaluation of the results of said testing by qualified personnel, in accordance with the provisions of the Agreement and relevant laws and regulations.
C. Consultant shall ensure that clinics used for DOT -related drug and alcohol testing maintain a current valid contract with a Substance Abuse and Mental Health Services Administration (SAMSHA) -certified laboratory. Consultant shall ensure turn-around time from specimen collection to obtained test results shall be a maximum of three (3) working days for a negative test, and a maximum of five (5) working days for a positive test.
D. As part of the medical services review program, Consultant shall:
1) Analyze current job classification specifications and make recommendations for the City’s use in the medical examination and drug testing process.
2) Provide training to Risk Management personnel in administration procedures of Consultant’s medical services review process. 3) Communicate with City Risk Management staff regarding applicants’ or employees’ progress throughout the medical services review process. 4) Communicate directly with applicants and City Risk Management staff throughout the pre -employment or pre -assignment process in regard to results and medical conditions as ascertained through the medical or physical examinations.
5) Provide an electron ic final report in a format established by City Risk Management staff at its sole discretion, outlining each candidate’s pre - employment placement medical evaluation and results.
6) Provide quarterly electronic activity reports, in a format established by Risk Management in its sole discretion, on the nature and number of examinations conducted, including but not limited to results and final dispositions.
7) Provide a detailed quarterly explanation and summary of charges incurred.
City Council 14 – 4 8/2/2022
3 8) Provide all quarterly and annual summaries as required under the DOT; 9) Provide consultation as needed to Risk Management staff regarding medical services provided and outlined in the Agreement.
10) Consultant solely shall review all pre -employment/pre-placement medical evaluation services and maintain records, pursuant to the Agreement, in accordance with State and Federal laws, or as otherwise reasonably required by the City, and to the fullest extent permitted by law. 11) Consultant agrees to permit duly authorized agents and employees of th e City to review such records.
12) Consultant shall maintain all books, documents, papers, accounting records, and other evidence pertaining to the fees paid under this Agreement.
Consultant will make materials available at their offices at reasonable times and notice, during the period of the Agreement and for three (3) years after date of final payment under the Agreement for inspection by the City or by any other governmental entity or Department participating in the funding of the Agreement, or any authorized agents thereof.
13) Consultant’s documents shall not be used, duplicated, or disclosed to any other third party without written permission, unless such disclosure is required by law. Consultant shall not be required to create or maintain books and records not required in the ordinary course of Consultant’s business operations, nor will the Consultant be required to disclose any information, including but not limited to product cost or pricing data, which Consultant considers confidential or proprietary.
14) Any Agreement changes, which are mutually agreed upon by an d between the parties, shall be incorporated in written amendments to the Agreement. 15) If the circumstances on a particular hearing and/or court proceeding warrant the presence of a competent and knowl edgeable representative of the Consultant, the City may request and contractor shall provide such representative, at the rates provided in Exhibit A and upon proper HIPAA release.
16) Maintain a network of qualified and trained medical providers and medical specialists for necessary exams; Orient City staff in the legal/medical/risk management and human resources aspects of Consultant services; 17) Communicate directly with applicants to obtain the confidential medical information that is needed for clearance for a particular job; 18) Manage all bill review functions for the medical exams performed by clinics; and,
19) Provide access for City staff to Consultant’s tracking system.
E. Depending on job classification, pre -employment and pre -assignment medical examination processes may include: job profile review; review of medical history; check vital signs; detailed vision exam, including check of near/far/peripheral vision, Ishihara 14 and primary color; audiogram (if classification has specific occupational noise exposure or critical hearing demands); chest x -ray; EKG or treadmill stress EKG; Spirometry; chem panel 20; CBC w/diff; dipstick UA, or UA w/Micro (to lab); venipuncture & collection.
City Council 14 – 5 8/2/2022
4 2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services the rates and charges identified in Exhibit A. The total annual amount authorized under this Agreement shall not exceed two hundred thousand dollars and zero cents ($200,000) during the term of this Agreement.
b. Payment by City shall be made within forty-five of days (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals, which may reasonably be expected by City.
3. TERM
This Agreement shall commence on the date written above and terminate on June 30, 2025, unless terminated earlier in accordance with Section 15, below.
4. INDEPENDENT CONSULTANT
Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and s hall be responsible for all applicable withholding taxes.
5. INSURANCE
Coverage shall be at least as broad as:
1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an “occurrence” basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit.
2. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non-owned), with limit no less than City Council 14 – 6 8/2/2022
5 $1,000,000 per accident for bodily injury and property damage. (Not required if Consultant has no automobiles)
3. Workers’ Compensation insurance as required by the State of California, with Statutory Limits, and Employer’s Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease.
4. Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant’s profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate.
If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the C ity requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant.
Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City.
Other Insurance Provisions
The insurance policies are to contain, or be endorsed to contain, the following provisions:
Additional Insured Status
The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant’s insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used).
6. INDEMNIFICATION
Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arisi ng 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, subcontractors, agents, employees, or other persons acting on their behalf which relates to the s ervices 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 effect s, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challe nging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal City Council 14 – 7 8/2/2022
6 or property rights arises by reason of the terms of, or effects arising from this Agreement. Cit y may make all reasonable decisions with respect to its representation in any legal proceeding.
Notwithstanding the foregoing, to the extent Consultant Services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant.
7. RECORDS
Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursem ents 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 a llow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement.
8. CONFIDENTIALITY
If Consultant receives from the City information which due to the nature of suc h 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 t o 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 transferr ed 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 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 n ot have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement.
11. BACKGROUND CHECK REQUIREMENTS
Consultant shall not assign any employee, agent, sub contractors or volunteer to provide services pursuant to this Agreement, if that employee, agent, sub contractors or volunteer is City Council 14 – 8 8/2/2022
7 required to register as a sex offender under California Penal Code Section 290 et seq , has a conviction for any crime of moral turpitude, has a conviction for a violent felony as defined in California Penal Code Section 667.5(c), or has a conviction for a serious felony as defined in California Penal Code Section 1192.7(c). Failure to comply with this Section shall be grounds for immediate termination of this Agreement.
12. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax 714- 647-6956
With Courtesy Copy to:
Executive Director
Human Resources Agency
City of Santa Ana
20 Civic Center Plaza (M-34)
P.O. Box 1988
Santa Ana, California 92702
To Consultant:
William H. Nuesse, M.D. or
Mary Ann Nuesse, D.O.
Sunrise Multispecialist Medical Center
867 South Tustin Street
Orange, California 92866
Fax: 714-771-6918
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) d ays 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 City Council 14 – 9 8/2/2022
8 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 therein, 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, dele gation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City’s ability to have any of the services, which are the subject to this Agreement performed by City personnel or by other consultants retained by City.
15. TERMINATION
Except as otherwise specified herein, this Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed, as of such date, and in such case, such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes, as the City deems appropriate.
b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement.
16. NONDISCRIMINATION
Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, 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, City Council 14 – 10 8/2/2022
9 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.
17. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement.
18. PROFESSIONAL LICENSES
Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of Cal ifornia, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement.
19. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney’s fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement.
c. The parties agree that this Agreement can be signed in counter parts and that electronic or fax signatures can be used in lieu of original wet signatures.
d. Consultant will comply with all applicable federal state and local laws including the Health Insurance Portability and Accountability Act (“HIPAA”).
[This section intentionally left blank]
City Council 14 – 11 8/2/2022
10 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:
SONIA R. CARVALHO CONSULTANT:
City Attorney
By: _______________________ _________________________ Laura A. Rossini William H. Nuesse, M.D.
Chief Assistant City Attorney William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a medical
corporation
Dba Sunrise Multispecialist Medical
Center
RECOMMENDED FOR APPROVAL:
__________________________
Jason Motsick
Executive Director
Human Resources Agency
City Council 14 – 12 8/2/2022
11 EXHIBIT A
RATES/CHARGES
Physicals:
Basic Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Annual Employer Physical (includes UA dip, distance vision, basic color vision) $35.00 Pre-Employment Physical (includes UA dip, distance vision, basic color vision) $35.00 Fit For Duty/Return to Work (MUST have copy of job description) $40.00 Commercial Driver Exams $55.00
Respiratory Fit Testing:
Respiratory Evaluation (includes: Mask Fit Test, OSHA questionnaire review, PFT) $90.00 PFT $40.00
OSHA Questionnaire Review $25.00
Mask Fit Test $25.00
Drug Screens:
Breath Alcohol Test $30.00
5 Panel Rapid $15.00
10 panel Rapid $20.00
9 Panel Non-Dot #1793N $25.00
10 Panel Non-Dot #6633N $30.00
DOT Drug Screen $25.00
MRO Interpretation of Positive Drug Screen $25.00
Drug Screen Collection Only (Not on Sunrise’s lab account) $15.00
City Council 14 – 13 8/2/2022
12 Vision Testing:
Ishihara $10.00
Near Vision $5.00
Jaeger $5.00
Snellen & Basic Color $5.00
Other Services:
Audiograms $15.00
Lift Test – Floor to Waist $5.00
Lift Test – Waist to Chest $5.00
EKG $30.00
TB/PPD Skin Test $28.00
Chest X-Ray (2 Views rule out TB) $30.00
Lumbar X-Ray (4 Views) $50.00
Jamar Grip Strength $5.00
Vaccines:
Tdap $95.00
Hepatitis B $70.00
Varicella $202.00
MMR $144.00
Flu Vaccine $30.00
Titers:
Hepatitis A #35604 $45.00
Hepatitis B #8475 $45.00
City Council 14 – 14 8/2/2022
13 Hepatitis C #8472 $21.00
MMR #802, #8624, and #964 $85.00
Varicella $45.00
Common Labs:
CBC with Diff #6399 $20.00
Lipid Panel #14852 $42.00
Comp Metabolic Panel #10231 $29.00
COVID-19:
Rapid AntigenTesting $99.00
PCR $150.00
City Council 14 – 15 8/2/2022
William H. Nuesse, M.D. and Mary Ann Nuesse, D.O., a Medical Corporation dba Sunrise Multispecialist Medical Center
Pricing as of May 10, 2022
Exhibit A
City of Santa Ana Non-Industrial Medical Services
Physicals:
Basic Employer Physical (includes UA dip, distance vision, basic color vision)$35.00 Annual Employer Physical (includes UA dip, distance vision, basic color vision)$35.00 Pre-Employment Physical (includes UA dip, distance vision, basic color vision)$35.00 Fit For Duty/Return to Work (MUST have copy of job description) $40.00 Commercial Driver Exams $55.00
Respiratory Fit Testing:
Respiratory Evaluation (includes: Mask Fit Test, OSHA questionnaire review, PFT)$90.00 PFT $40.00
OSHA Questionnaire Review $25.00
Mask Fit Test $25.00
Drug Screens:
Breath Alcohol Test $30.00
5 Panel Rapid $15.00
10 panel Rapid $20.00
9 Panel Non-Dot #1793N $25.00
10 Panel Non-Dot #6633N $30.00
DOT Drug Screen $25.00
MRO Interpretation of Positive Drug Screen $25.00
Drug Screen Collection Only (Not on Sunrise’s lab account) $15.00 Vision Testing:
Ishihara $10.00
Near Vision $5.00
Jaeger $5.00
Snellen & Basic Color $5.00
Other Services:
Audiograms $15.00
Lift Test – Floor to Waist $5.00
Lift Test – Waist to Chest $5.00
EKG $30.00
TB/PPD Skin Test $28.00
City Council 14 – 16 8/2/2022
Chest X-Ray (2 Views rule out TB) $30.00
Lumbar X-Ray (4 Views) $50.00
Jamar Grip Strength $5.00
Vaccines:
Tdap $95.00
Hepatitis B $70.00
Varicella $202.00
MMR $144.00
Flu Vaccine $30.00
Titers:
Hepatitis A #35604 $45.00
Hepatitis B #8475 $45.00
Hepatitis C #8472 $21.00
MMR #802, #8624, and #964 $85.00
Varicella $45.00
Common Labs:
CBC with Diff #6399 $20.00
Lipid Panel #14852 $42.00
Comp Metabolic Panel #10231 $29.00
COVID-19:
Rapid AntigenTesting $99.00
PCR $150.00
City Council 14 – 17 8/2/2022
Community Development Agency
santa-ana.org/cd
Item # 15
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Resolution Declaring City-Owned Properties Exempt Surplus Land AGENDA TITLE:
Adopt a Resolution Declaring City-Owned Properties as Exempt Surplus Land for the Purpose of a Real Property Exchange with the State of California
RECOMMENDED ACTION
Adopt a resolution declaring City-owned properties as exempt surplus land pursuant to California Government Code § 54220 et seq. for exchange of State of California real property for the City’s use, and authorize the City Manager to execute any and all documents necessary to complete the exchange.
DISCUSSION
The City is the owner of five real property assets (“City Properties”) that are vacant remnant parcels of land that were acquired for roadway improvements on North Grand Avenue. The improvements are now complete and the remnant parcels are no longer needed for City use. These properties include:
Assessor’s Parcel No. (APN) Address
398-385-03 1222 E 4th St., Santa Ana CA 92701
398-385-04 1225 E 4th St., Santa Ana CA 92701
398-385-05 1221 3rd St., Santa Ana CA 92701
398-453-05 1214 E 3rd St., Santa Ana CA 92701
398-453-06 202 N Grand Ave., Santa Ana CA 92701
On April 21, 2020, the City Council adopted a resolution declaring the City Properties as surplus and the City commenced with the disposition process pursuant to California Government Code section 54221, as they were no longer needed for City purposes. The disposition process was halted, as it was determined that the City Properties were better suited for an exchange of real property with State of California.
The State owns an office building located in the Santa Ana Civic Center at 28 Civic Center Plaza, Santa Ana, CA 92701, APN 008-067-36 ("State Property"). The State Property is enclosed by City-owned property on all four sides, and an exchange of the State Property would be necessary for the City’s potential future redevelopment of City Hall and the Civic Center.
City Council 15 – 1 8/2/2022
Resolution Declaring City-owned Properties Exempt Surplus Land August 2, 2022
2 8
5 8
Additionally, the State’s Housing and Community Development Agency (HCD) would be able to use the exchanged City Properties for affordable housing purposes. HCD has requested that the City Properties be assembled into a single parcel. To aggregate these parcels across 3rd Street, a cul-de-sac is required. The City will complete consolidation of the City Properties into a single parcel prior to conveyance to the State.
An exchange of the City Properties for the State Property is mutually beneficial to both agencies. Adopting this resolution declaring the Properties exempt surplus under California Government Code section 54221 (f)(1)(C) and (D), allows the City to further negotiate with the State for the real property exchange.
CEQA
The exchange of the City Properties is exempt from environmental review under the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15312 (Surplus Government Property Sales). However, if development were proposed on the City Properties and State Property, then that development would be reviewed under CEQA.
FISCAL IMPACT
There is no fiscal impact associated with this item.
EXHIBIT(S)
1. Resolution
2. Location Map
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
City Council 15 – 2 8/2/2022
Resolution No. 2022-XXX
RESOLUTION NO. 2022-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA DECLARING VARIOUS CITY-OWNED
PROPERTIES AS EXEMPT SURPLUS LAND PURSUANT
TO THE SURPLUS LAND ACT, CALIFORNIA
GOVERNMENT CODE SECTION 54220 , ET SEQ. , TO
EXCHANGE FOR STATE O F CALIFORNIA REAL
PROPERTY FOR THE CITY’S USE
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby, finds, determines and declares as follows:
A. The City of Santa Ana (the “C ity”) is the owner of five real property assets as described in Exhibit A attached herewith and incorporated herein by reference (collectively, the " City Properties"), that were acquired for roa dway improvements on North Grand Avenue, which are now complete.
B. The City Properties are vacant remnant parcels from full parcel acquisitions that were made following the City's environmental analysis that the project impacts could not be adequately mitigated if only partial acquisitions were made.
C. The City Properties consist of: 1222 E. 4th St. , Santa Ana, CA 92701 (APN 398-385-03); 1225 E. 4th St. , Santa Ana, CA 92701 ( APN 398- 385-04); 1221 E. 3rd St., Santa Ana, CA 92701 (APN 398 -385-05); 1214 E. 3rd St., Santa Ana, CA 92701 (APN 398 -453-05); and, 202 N.
Grand Ave., Santa Ana, CA 92701 (APN 398-453-06).
D. On April 21, 2020, the City adopted a resolution designating the City Properties, along with other properties, as surplus land pursuant to California Government Code section 54221 as they were no longer needed for City purposes.
E. The disposition process was halted for the City Properties as the City determined that the City Properties were suited for an exchange of real property with the State of California (the “State”).
EXHIBIT 1
City Council 15 – 3 8/2/2022
Resolution No. 2022-XXX
F. California Government Code section 54221(f)(1)(C) defines exempt surplus land to include surplus land that a local agency is exchanging for another property necessary for the agency’s use.
G. The State is the owner of an office building that the State claims as surplus real property, located in the Santa Ana Civic Center at 28 Civic Center Plaz a, Santa Ana, CA 92701 (APN 008 -067-36) ("State Property")
H. The State Property is enclosed by City owned property on all four sides, and an exchange of the State Property is ideal and necessary for the City’s redevelopment of City Hall.
I. The State Housing and Community Development Agency (“HCD”) is a public agency responsible for promoting safe, affordable homes and vibrant, inclusive, sustainable communities for all Californians , inclusive of increasing the supply of affordable places to live.
J. HCD would be able to use the exchanged City Properties for affordable housing.
K. HCD has requested that the City Properties be assembled into a single parcel. To connect these parcels across 3 rd Street, a cul -de-sac is required. The City will complete consolidation of the City Properties into a single parcel prior to conveyance to the State.
L. An exchange of the City Properties from the City to the State for the State Property is mutually beneficial to both agencies.
M. The City intends to exchange the City Properties for the State Property for the City’s use.
N. The City now desires to declare the City Properties as exempt surplus land and authorize the exchange of the City Properties for the State Property.
Section 2. The City Council hereby finds and declares the City Properties exempt surplus land pursuant to California Government Code section 54221(f)(1)(C), based on the true and correct written findings found in Section 1, incorporated herein by this reference.
Section 3. The City Council hereby authorizes the City Manager to execute any and all documents necessary to complete the exchange of the City Properties for the State Property.
EXHIBIT 1
City Council 15 – 4 8/2/2022
Resolution No. 2022-XXX
Section 4. The exchange of the City Properties is exempt from environmental review under the California Environmental Quali ty Act (“CEQA”) pursuant to CEQA Guidelines section 15312 (Surplus Government Property Sales). However, if development was proposed on the City Properties by a subsequent owner, then that development would be reviewed under CEQA.
Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.
ADOPTED this ______ day of ______________, 2022.
_______________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:________________________
Ryan O. Hodge
Assistant City Attorney
AYES: Councilmembers _______________________________________
NOES: Councilmembers _______________________________________
ABSTAIN: Councilmembers _______________________________________
NOT PRESENT: Councilmembers _______________________________________
EXHIBIT 1
City Council 15 – 5 8/2/2022
Resolution No. 2022-XXX
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, , Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2022-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on _______________.
Date: ________________ ____________________________________ Clerk of the Council
City of Santa Ana
EXHIBIT 1
City Council 15 – 6 8/2/2022
Resolution No. 2022-XXX
EXHIBIT A
City of Santa Ana Exempt Surplus Properties
For Exchange with State of California
APN Address Parcel/
Size
398-385-03 1222 E. 4th St.
C7
12,734 SF 398-385-04 1225 E. 4thSt.
398-385-05 1221 E. 3rd.St.
398-453-05 1214 E. 3rd St. C9
25,139 SF 398-453-06 202 N. Grand Ave.
EXHIBIT 1
City Council 15 – 7 8/2/2022
02 27
25 21
17 15
11 31
07 I A s s e s s o r s P a r c e l N o . ( A P N ) A d d r e s s 398-385-03 1222 E 4th St., Santa Ana CA 92701
398-385-04 1225 E 4th St., Santa Ana CA 92701
398-385-05 1221 3rd St., Santa Ana CA 92701
398-453-05 1214 E 3rd St., Santa Ana CA 92701
398-453-06 206 N Grand Ave., Santa Ana CA 92701
Location Map
EXHIBIT 2
City Council 15 – 8 8/2/2022
City Manager Office
www.santa-ana.org/city-managers-office
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Orange County Grand Jury’s Investigative Report, Findings, and Recommendations Regarding “How is Orange County Addressing Homelessness” AGENDA TITLE:
Orange County Grand Jury’s Investigative Report, Findings, and Recommendations Regarding “How is Orange County Addressing Homelessness”
RECOMMENDED ACTION
Receive and file the Orange County Grand Jury’s investigative report, findings, and recommendations regarding Orange County Homelessness and authorize the City Manager to deliver the City’s response to the findings and recommendations to the Presiding Judge of the Superior Court.
DISCUSSION
On June 17, 2022, the Orange County Grand Jury (OCGJ) issued an investigative report with findings and recommendations regarding the regarding addressing Orange County’s homelessness. The Orange County Grand Jury (OCGJ) studied the Continuum of Care Board and the Orange County Office of Care Coordination which administers contracts, monitors budgets and evaluates the result of the funded programs.
Exhibit 1 is the complete OCGJ’s report. As a result of the investigation, OCGJ issued six findings and six recommendations. The OCGJ is requesting that the City of Santa Ana respond to two findings and three recommendations. Exhibit 1 outlines the OCGJ findings, recommendations, and Exhibit 2 is the City’s response. Upon authorization by the City Council, the responses in Exhibit 2 will be submitted to the Presiding Judge of the Superior Court.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
City Council 16 – 1 8/2/2022
Orange County Grand Jury Response Regarding Homelessness August 2, 2022
2 8
6 4
EXHIBIT(S)
1. County of Orange Grand Jury Investigative Report, Findings and Recommendations regarding “how is Orange County Addressing Homelessness”
2. City Response to County of Orange Grand Jury Findings and Recommendations Regarding “How is Orange County Addressing Homelessness” Submitted By: Kristine Ridge, City Manager
Approved By: Kristine Ridge, City Manager
City Council 16 – 2 8/2/2022
How is Orange County Addressing Homelessness?
GRAND JURY 2021-2022
City Council 16 – 3 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page ii
Table of Contents
SUMMARY ................................................................................................................................... 1 BACKGROUND ........................................................................................................................... 1 REASON FOR THE STUDY ...................................................................................................... 4 METHOD OF STUDY ................................................................................................................. 5 INVESTIGATION AND ANALYSIS ......................................................................................... 5 Orange County Continuum of Care Collaboration ................................................................. 5 Prioritizing Homeless Funding ............................................................................................... 6 Continuum of Care Funding Oversight ................................................................................... 7 Major Funding Sources Overseen by the CoC ........................................................................ 8 CoC Process to Address Homelessness ................................................................................... 8 OC System of Care Resources ............................................................................................... 12 FINDINGS ................................................................................................................................... 13 RECOMMENDATIONS ............................................................................................................ 14 COMMENDATIONS ................................................................................................................. 14 RESPONSES ............................................................................................................................... 15 REFERENCES ............................................................................................................................ 20 GLOSSARY................................................................................................................................. 21
City Council 16 – 4 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 1
SUMMARY
Orange County’s homeless population continues to be of great concern to residents. Seeing homeless individuals on the streets raises awareness of this persistent problem, but the elaborate efforts to address homelessness are less evident. Orange County’s response to homelessness is a collaboration led by the independent Orange County Continuum of Care Board (CoC), which oversees the distribution of federal and state homeless funding. The CoC is supported by the Orange County Office of Care Coordination (OCC) which administers contracts, monitors budgets, and evaluates the results of the funded programs.
The Orange County Grand Jury (OCGJ) studied the CoC to understand how the County is working to address homelessness. The collaborative efforts led by the CoC and OCC have resulted in progress in the fight against homelessness, including a system of care across multiple levels of government programs and community providers. It further established a coordinated entry system, a cooperative homeless information system, and consolidated applications for federal and state funds. Together, the members were responsible for a quick and effective response to the coronavirus disease (COVID) pandemic on the homeless, an increase in the number of shelter beds, a decrease in homeless encampments, more outreach and treatment alternatives, and new housing vouchers being available for permanent housing.
This collaborative system of care developed by the CoC and OCC amounts to a great achievement. The graphs in this OCGJ report show the increased outreach, prevention efforts, shelter beds provided, and permanent housing made available that the CoC and OCC achieved.
They also show the additional system of care resources provided by the County of Orange to prevent people from falling into homelessness. Unfortunately, from 2018 to 2021, exits from the CoC homeless system to permanent housing have hovered between 24 percent and 32 percent.1 Orange County is addressing homelessness with elaborate systems even beyond the efforts of the CoC and OCC, but the reality of homelessness is that despite these programs our system has shortcomings and bottlenecks. This OCGJ found that: South Orange County needs an emergency shelter; homeless individuals suffering from mental illness and substance abuse need court- ordered treatment; Orange County does not have enough housing affordable to individuals exiting homeless shelters; and youth aging out of foster care do not have enough safe housing, resulting in many falling into homelessness.
BACKGROUND
There are numerous causes of homelessness. These causes range from poverty, unemployment, lack of affordable housing, and individual issues of mental and/or substance use disorders. Other risk factors include medical problems, physical disability, domestic violence, and youth aging out of the child-care system.2
The continuum of care concept was created by HUD in 1994 to promote communitywide commitment to the goal of ending homelessness. HUD provided funding to quickly rehouse
1 211 OC, Longitudinal Systems Analysis, FY 2018 through 2021, from HMIS data. 2 US Department of Health and Human Services, Substance Abuse and Mental Health Services Administration.
City Council 16 – 5 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 2
individuals and families, promote participation in programs for the homeless, and optimize self- sufficiency among those experiencing homelessness.3
HUD recommended the collaborative development of plans to end homelessness in all communities receiving HUD funding. In response, Orange County created the Commission to End Homelessness that published a Ten-Year Plan to End Homelessness in 2012.4 Over the ensuing decade, implementation of this model Ten-Year Plan was beyond the power of the Commission and major parts of the plan were not achieved.
Meanwhile, in 2009, HUD outlined the process of building a collaborative CoC comprised of organizations and individuals dedicated to ending homelessness. The CoC was created in 2016 along with the OCC. HUD, the major funder of homeless programs, gave the CoC responsibility for prioritizing the distribution of competitive federal homeless assistance program monies. The strategy of the CoC is to prioritize funding of programs that focus on four pillars: Prevention, Outreach, Shelter, and Housing.
Mixed Success in Addressing Homelessness
In Orange County, various approaches to manage homelessness have been tried with varying levels of success.
• Moving the Homeless: When businesses and residents complained about homeless individuals, police were expected to relocate them. Pushing homeless individuals out of town sometimes resulted in simply shifting the problem to neighboring communities. • Ordinances by Cities: Ordinances that criminalized camping on public property or loitering contributed to the incarceration of homeless individuals, including many suffering from mental illness and substance abuse issues. Orange County Sheriff Don Barnes commented, “By default, the Orange County Jail had become the de facto mental hospital of Orange County…. [in] 2018, Orange County jails had about 2,200 inmates with severe mental illnesses.”5
• Housing and Treatment: Recent approaches that emphasized housing only or treatment only fell short in substantially reducing homelessness. • Local Opposition Prevented Shelter and Housing: In Orange County, early efforts to provide low-threshold emergency shelters6 to get individuals off the streets were met with local opposition in most communities, as were developments of housing affordable to individuals exiting shelters. The development of a Coordinated Entry System (CES)7 helped reduce the neighborhood impact of shelters.
3 HUD Office of Community Planning and Development, Continuum of Care 101, June 6, 2009. 4 Orange County Ten Year Plan to End Homelessness, 2012. 5 Nick Gerda, “OC Mental Health Jail Expansion Draws Pushback and Debate”, Voice of OC, October 23, 2019. 6 A Low-Threshold Emergency Shelter offers an alternative to living on the streets. Individuals in these shelters must comply with the shelter rules but are not required to be drug and alcohol free. 7 Coordinated Entry System (CES) is a shared database between service providers that shuttles homeless individuals in and out of shelters eliminating walk-in and walk-out shelter access that caused community opposition. The CES is also a point of referral into permanent housing.
City Council 16 – 6 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 3
• Prevention Investments: Additional assistance for rent or utilities, as well as Section 8 housing vouchers, resulted in increased financial stability of individuals at danger of becoming homeless.
• Outreach Expanded: More homeless individuals were reached through trust-building and outreach efforts resulting in increased numbers being sheltered. • Increased Shelter: Emergency shelter beds available to the homeless increased providing immediate help to more of the unhoused.
• Permanent Housing Added: Some permanent housing opportunities increased through new HUD vouchers, as well as County of Orange Permanent Supportive Housing developments.
Point in Time Count
The HUD-mandated Point in Time Count (PIT)8 is a national effort to create a census of homeless individuals every two years. While this one-day initiative to contact and count the homeless is assumed to result in a significant undercount, it is a consistent approach which shows comparable data collected over time. The most recent PIT was conducted in 2022 and reported a decrease of 1,142 homeless individuals counted in Orange County.
North and Central SPA cities sheltered 49% of their homeless while South SPA cities sheltered on 28% of their homeless according to the 2022 PIT.9
8 Point in Time Count, Orange County Office of Care Coordination, May 2022 9 Ibid.
2208 2899 2661
2584
3961
3057
0 1000
2000
3000
4000
5000
6000
7000
8000
2017 2019 2022
OC Homeless Point in Time Count
Sheltered Homeless
Unsheltered Homeless
City Council 16 – 7 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 4
Federal Court Intervenes and Regional Shelters Are Opened In response to a lawsuit against the County of Orange filed on behalf of the homeless individuals living in large encampments along the Santa Ana River and other public property, a federal District Court got involved in overseeing the County’s actions to clear the encampments.
On February 13, 2018, US District Court Judge David Carter ordered that “OC officials, cities and homeless advocates collaborate to find shelter for hundreds of people who have been living in the camps.”10 Judge Carter issued a Temporary Restraining Order barring the arrest of those living along the Santa Ana River stating, “That order will stand until public officials can identify an alternative place to house those living along the river trail.”11 As a result of this litigation, on July 23, 2019, the District Court brokered a Settlement Agreement between the County of Orange and the advocates for the homeless.12 This agreement outlined the number of emergency shelter beds that must be developed in each Orange County Service Planning Area (SPA)13, before any homeless individuals could be removed from the encampments. This agreement was later adopted by North and Central SPA cities to avoid litigation and became a major impetus to opening low-threshold emergency shelters in the North and Central OC communities. South OC SPA cities did not sign the Settlement Agreement and no new low-threshold emergency shelters have subsequently been opened to meet the need of the South OC homeless identified in the OCGJ investigation.
REASON FOR THE STUDY
Homelessness continues to be one of the most frequently identified issues of concern to Orange County residents.14 Previous Grand Juries examined efforts to address homelessness and made recommendations, many of which have been implemented.15 Yet concerns about homelessness persist in our communities. The purpose of this report is to discuss the effectiveness of the CoC and OCC in collaborating to address Orange County’s homelessness through the services that are provided by the 37 contracts they authorize and oversee. The Grand Jury sought to evaluate the
10 Hannah Fry and Doug Smith, “Frustrated judge demands O.C. find shelter for homeless being evicted from camps”, Los Angeles Times, February 14, 2018
11 Ibid.
12 “Federal Judge Approves Settlement of Homeless Lawsuits”, City News Service, July 23, 2019. 13 Service Planning Area (SPA) is the division of Orange County cities into three regional areas North, Central, and South, for the purpose of facilitating regional collaboration in the provision of services to the homeless. 14 OC Annual Survey, Chapman University 2020.
15 OCGJ Report 2017-18.
“John” was a homeless man who lived in Hart Park in the City of Orange for several years.
He sought housing at the County “BRIDGES at Kraemer” shelter, where he stayed for seven months. He was an Army Veteran and during his time at BRIDGES, the staff worked with him to obtain identification and get his veteran benefits. Together they developed a housing plan and found a permanent home for him in Fountain Valley. He reported his joy when BRIDGES staff even gave him transportation to his new home where he now lives.
City Council 16 – 8 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 5
amount of money is being spent, the outcomes achieved, and whether this investment of public dollars is making a difference.
METHOD OF STUDY
• Reviewed CoC contracts, budgets, and performance evaluations. • Toured emergency shelters, food service providers, substance abuse and mental health treatment programs, and the Collaborative Courts.
• Interviewed federal authorities, city managers, shelter providers, homeless outreach workers, law enforcement personnel, county staff responsible for shelter and affordable housing, mental health professionals, OC jail staff, and homeless individuals. • Reviewed documents including the Ten-Year Plan to End Homelessness, Continuum of Care Board minutes and reports, previous California Grand Jury reports, budgets, articles, and litigation.
• Conducted internet research on homeless issues.
INVESTIGATION AND ANALYSIS
Orange County Continuum of Care Collaboration
Since 1998, Orange County has developed a comprehensive regional continuum of care to address homelessness in Orange County. This collaboration covers Orange County’s 34 cities and unincorporated areas. County departments and agencies, local governments, homeless, housing, supportive service providers, and community groups (including non-profits, faith-based organizations, interested business leaders, schools, individuals with lived experience, and many other stakeholders) joined as participants with the shared mission to address homelessness.
The Orange County Continuum of Care Board (CoC), created in 2016, is the governing body for the continuum of care, whose goal is to oversee and implement this strategic collaboration as authorized by federal legislation.16 The CoC is comprised of diverse representatives of the collaborative participants.
16 Subtitle C of Title IV of the McKinney-Vento Homeless Assistance Act, (42 U.S.C.11381-11389). “James” abruptly found himself homeless and on the street at the age of 18 when his foster parents said they had completed their obligation to him. With few resources, he turned to friends who let him “couch surf”, and then out of desperation, enlisted in the military. After his service, he returned to Orange County where found a friend to stay with and worked to get back on his feet. His lifelong struggles with homelessness coupled with excessive anger issues, addictions, and recovery from negative childhood experiences have required committing to radical personal change. Today in his early 50s, James has a job, and a mission to serve his community, teaching kids and helping the homeless with food, resources, and advice.
City Council 16 – 9 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 6
The CoC vision is to develop a dignified and equitable system to permanently house those experiencing homelessness, on a collaborative and regional basis, to allocate funds to match the greatest needs.
Prioritizing Homeless Funding
The CoC Board is responsible for the distribution of federal, state, and local funding to address homelessness. These dollars are restricted for specific uses by the funding sources. The CoC prioritizes awarding contracts based on four strategic pillars, and the OCC administers, monitors, and evaluates the contracts. The four pillars are:
1. Prevention - short-term intervention to keep people in their homes, avoid eviction, and stabilize their housing.
2. Outreach - seeking, reaching out to, and engaging individuals as a first step towards ending their homelessness and providing services to develop self-sufficiency and independence.
3. Shelters- temporary residence providing protection from exposure and a safety net for the homeless.
4. Housing - including housing coupled with treatment and supportive services enables greater potential success of homeless individuals suffering from mental illness and substance abuse.
Source: Office of Care Coordination.17
17 Contract Inventory 2021, Orange County Office of Care Coordination. $16,369,867
$30,015,965
$5,578,591
$910,062
Housing
Shelter
Outreach
Prevention
OC CoC Annual Contracts by Pillar 2021
City Council 16 – 10 8/2/2022
How is Orange County Addressing Homelessness?
2021-2022 Orange County Grand Jury Page 7
Continuum of Care Funding Oversight
The CoC oversees 37 contracts that outline the terms and agreements as to what services must be provided, and which funding source is used (such as the County General Fund, or various state and federal grants). The source of funds dictates how the funds must be used.
The CoC receives funding through various state and federal sources through a Notice of Funding Availability. The CoC issues a Request for Proposals to which qualified non-profits submit proposals. The CoC and the Commission to End Homelessness work together to establish funding priorities. The CoC selects which proposals to fund and sends them to the Board of Supervisors for legal approval.
All contracts specify that audits may be required. Audits are based on performance and proper use of funds required by the funding source. The County can also request an audit at any time during the contract term. The OCC monitors the contracts through a monthly Expenditure and Revenue report. Along with this financial review, the County conducts yearly site visits for each contract. The on-site audit reviews all aspects of the contract obligations to ensure that the contractors are compliant with the specifications of the funding.
Contractors who meet or exceed their requirements are typically renewed. Those who fail are given the opportunity to explain unexpected hurdles they faced, such as COVID issues or other unavoidable circumstances. After a full review, the CoC Board decides whether to renew or terminate a contract.
NOTE: This pie chart includes some grants awarded for multiple years. Source: Office of Care Coordination.18
18 Ibid.
County Funds
$28,031,000
State Funds
$29,166,000
Federal Funds
$60,562,000
OC Continuum of Care Funding Sources 2021
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Major Funding Sources Overseen by the CoC
A variety of federal, state, and county restrictive grants with specific uses required make up the funding that the CoC allocates.19
CoC Process to Address Homelessness
OCGJ sought to evaluate the effectiveness of the CoC contracts under each pillar using the data from the Homeless Management Information System (HMIS) which is the shared database of all homeless services providers required by HUD for CoC’s and maintained by the non-profit 211 OC.
1. Prevention - CoC investments in homeless prevention, include rental and utility assistance, as well as housing vouchers, and are measured as “increased income” in the graph below.
The CoC system does not represent the only County of Orange expenditures to prevent homelessness. The County allocates significant amounts of funding to prevent individuals and families from becoming homeless as outlined later in this report.
19 Grant sources include: American Recovery Plan Act (ARPA)*, Business, Consumer and Housing Agency, COVID 19 Tenant Relief Act (BCSH)*, California Emergency Solution Housing (CESH), Consolidated Appropriations Act for Rental Assistance (CAA), Coronavirus Aid, Relief and Economic Security A ct (CARES)*, Federal Continuum of Care fund (CoC), Homeless Emergency Aid Program (HEAP), Homeless Housing Assistance Prevention (HHAP), HUD Emergency Shelter Grant program (ESG), HUD Housing Community Development (HCD), Orange County General Fund (GF). * COVID Related Funding. 831
9045
723
6785
0 1000
2000
3000
4000
5000
6000
7000
8000
9000
10000
2020 2021
Prevention Performance
Client Contacts
Increased Income
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2. Outreach – Outreach efforts of CoC non-profit contractors resulted in successful exits from homelessness to shelter increasing about 33 percent from 2,245 in 2019 to 2,994 in 2021. In that period, outreach efforts by non-profits seeking to build trust with homeless individuals resulted in the doubling of client contacts, to over 10,000 a year. Increasing client contacts, building trust, and successful entrance into shelter are measures of successful outreach programs.
Some people believe that chronically homeless individuals do not want permanent housing and are resistant to programs. While this may be true in some cases, the OCGJ learned several reasons for this resistance, including:
• Individuals who lack trust in outreach program staff due to promises previously broken. • Substance abusers who are not ready for treatment.
• Mentally ill individuals who lack awareness of their illness. • Individuals who fear for their safety in shelters or housing. • Individuals who do not like the rule that forbids walking in and out of the shelter and require access by arranged transportation only.
The OCGJ learned from law enforcement and shelter officials that there were not enough rehabilitation and treatment facilities and services to meet the need of homeless Orange County residents suffering from mentally illness or substance abuse.
Source: 211 OC, HMIS data, 2019-21
5220
7532
10,705
2245 2636 2994
0 2000
4000
6000
8000
10000
12000
2019 2020 2021
Outreach Performance
Client Contacts
Successfully Sheltered
A homeless man hanging out at a volunteer organization that provides food and assistance to the homeless described his experience in Orange. He stated that because he did not have a home, he was constantly stopped and harassed by the police, both physically and mentally. He believed that the Be Well Center was just a trick to get people off the streets. They would 5150 (72-hour mental health hold) everyone referred to their program and no one ever saw them again.
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3. Shelter - Emergency shelter capacity increased over 40 percent from 2,665 in 2017 to 3,756 in 2021, primarily in North and Central SPA cities. This increase helped to temporarily house many of the homeless of Orange County.
Low-Threshold Emergency Shelters are open to all individuals whose behavior is consistent with the shelter rules. This includes individuals who are suffering mental illness as well as those who are still using drugs and alcohol. The County of Orange funds two such shelters, BRIDGES in the North SPA and YALE in the Central SPA, but has been unsuccessful in siting a shelter in South SPA.
Navigation Centers are emergency shelters that are funded by cities and other sources.
Shelters have opened in Anaheim, Buena Park, Fullerton, Huntington Beach, Laguna Beach, Placentia, Tustin, and Santa Ana. Additional shelters are operated by various non-profits and faith-based organizations around Orange County. The OCGJ found that no low-threshold emergency shelters had been opened in South SPA cities to meet the identified need.
Various levels of service are provided at the emergency shelters in addition to safe beds, food, and showers. The low-threshold, multi-service county shelters work with the residents to do the following: develop a plan to get into permanent housing; get job training and secure a job; obtain benefits for which they qualify, such as veterans, general relief, disability, or other public assistance; get into treatment programs to help with their substance abuse or mental illness; receive medical care and needed medicine; and overcome other individual challenges to independent living.
Note: Numbers include year-round and seasonal shelters, and 517 temporary COVID beds. 20
20 HIC Report Year Over Year 2017-21, 211 OC, Orange County, 2021. 2665 2921
3494 3584 3756
0 500
1000
1500
2000
2500
3000
3500
4000
2017 2018 2019 2020 2021
Shelter Capacity
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4. Housing - Permanent housing, including Permanent Supportive Housing (PSH), has increased 13 percent over the last five years, from 3,261 in 2017 to 3,689 in 2021.
Source: 211 OC Housing Inventory Count 2017-2121
• Housing Vouchers (Section 8) are issued by local Housing Authorities who set aside some for the homeless. They prioritize individual veterans, disabled, and families with children, as well as designating some for PSH projects. Vouchers are a permanent housing subsidy that require individuals to contribute 30 percent of their income to rent. • Exits from emergency shelters to permanent housing were limited not only by the number of vouchers available, but by the inability of homeless individuals to find housing where landlords would accept vouchers. From 2018 to 2021, exits from the CoC homeless system to permanent housing have hovered between 24 and 32 percent.22 • 2,700 PSH units were needed according to the PIT count in 2017. PSH is for homeless individuals who are living with disabilities and mental illness. OC Housing Community Development leveraged California Mental Health Services Act funds resulting in 2,700 PSH units being built, approved, or in the planning stage as of 2022. • Treatment programs for homeless individuals, who could benefit from permanent housing but require treatment programs to be successful, are in short supply. • Transitional Aged Youth (TAY), are 16–24-year-olds who age out of the Foster Care system. They are vulnerable and many become homeless. The CoC funds one shelter with 25 beds for TAY where the waiting list for a bed is nine months. During the pandemic, housing vouchers for TAY increased from five to 120 but fell short of meeting the 150 beds needed.23
21 Orange County Housing Stock, 211 OC, Housing Inventory Count 2021 Report. 22 Longitudinal Systems Analysis, 211 OC, FY 2018 through 2021. 23 Dr. Shauntina Sorrells, MSW, DSW, Chief Program Officer, Orangewood Children’s Home, Chair CoC TAY Committee, in a presentation to OC Supervisor Foley’s Forum on Homelessness, Santa Ana, April 20, 2022. 652 753 882 956 1087
2609 2546 2243 2496 2602
0 500
1000
1500
2000
2500
3000
3500
4000
2017 2018 2019 2020 2021
Permanent Housing Performance
Permanent Housing
Permanent Supportive Housing
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OC System of Care Resources
While the CoC represents the targeted collaboration to combat homelessness envisioned by HUD, there are additional programs in the Orange County System of Care that serve homeless individuals through other County agencies, such as the following:
• Prevention - Health care services which include: mental health, substance abuse treatment, and public health (infectious disease control); public assistance programs such as: Cal Fresh (EBT, food assistance), Cal WORKS (job training), Cash Assistance Program for Immigrants, Medi-Cal, and General Relief (cash assistance). • Outreach - Link to Services, Housing, Treatment, Basic Skills, and Job Training. • Shelter - All emergency shelter funds go through the CoC Board. • Housing - Housing Choice Vouchers, and Supportive Housing.
Source County of Orange 24
Total Orange County Cost of Homelessness
In addition to the costs of the Orange County System of Care, the county spends significant funds annually on homeless individuals in jail and in the criminal justice system. When these expenditures are included, Orange County homeless costs were an estimated $1.6 billion in FY 2021.25
The graphs in this OCGJ report illustrate the increased outreach, prevention, shelter, and permanent housing that the CoC and OCC achieved, as well as additional system of care
24 OC System of Care Resources, FY 2021-22, Orange County Office of Care Coordination. 25 OC District 2 Services Assessment Final Report, Moss Adams, February 2022. $59
$28
$14
$15
$218
$19
$749
$- $100 $200 $300 $400 $500 $600 $700 $800 $900 Housing
Shelter
Outreach
Prevention
OC System of Care Resources
FY 2021-22 Budget in Millions
Specifically for Homeless
All Residents Including Homeless
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resources provided by the County of Orange. The 2022 Point in Time count documents the resulting decrease in homelessness, even as it shows the remaining challenges.
These County of Orange investments to address homelessness make a big difference by taking many people off the streets, providing shelters with basic services, giving needed medical and mental health care, helping with job training, and creating some permanent housing. While these investments are essential, they do not go far enough to house all the homeless people living in Orange County; in fact, only about 30 percent of the individuals exiting temporary shelters move into permanent housing.
The challenge of homelessness in our changing economy has been evolving as have our systems of care and prevention. It is clear that no one approach is going to eradicate homelessness.
However, if we continue to come together to learn and to improve our collective efforts, we will enable greater success in the exhaustive task of serving this vulnerable population in our community.
FINDINGS
Based on its investigation described in this report, the 2021-2022 Orange County Grand Jury has arrived at the following findings:
F1 South Orange County SPA cities lack low-threshold emergency shelters resulting in more homeless encampments and individuals living on the streets.
F2 Too many of the homeless who are severely and persistently mentally ill and those with addiction issues end up incarcerated instead of more appropriate placements.
F3 The County of Orange and cities within Orange County have been inconsistent in collaboration for support of shelters and services, which has resulted in missed opportunities to end homelessness.
F4 There are an insufficient number of rental units available to those exiting Emergency Shelters, resulting in the majority returning to homelessness when leaving the shelters.
F5 The Office of Care Coordination, in collaboration with the Continuum of Care Board, provides an effective community-based system of setting priorities to address homelessness, learning best practices, awarding and monitoring contracts, and overseeing a comprehensive system of care. However, the challenge of housing all our homeless requires much more.
F6 Transitional Aged Youth who age out of the Foster Care system are a vulnerable population that often become homeless and need assistance in finding housing. There are insufficient resources to adequately serve these young people.
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RECOMMENDATIONS
Based on its investigation described herein, the 2021-2022 Orange County Grand Jury makes the following recommendations:
R1 By July 1, 2023, the CoC and County of Orange should leverage funding to persuade South Orange County cities to open a regional, low-threshold emergency shelter for the homeless, in addition to the Laguna Beach Friendship Shelter. (F1) R2 By July 1, 2023, South OC SPA cities should collaborate in siting and funding a low- threshold emergency shelter for the homeless, in addition to the Friendship Shelter in Laguna Beach. (F2)
R3 The CoC should fund programs in fiscal year 2022-23 for people with severe and persistent mental illness and addiction issues to receive supervised care and treatment. (F2) R4 By July 1, 2024, the County of Orange and cities should collaborate to open facilities that can house people with severe and persistent mental illness and addiction issues in a secure setting. (F2)
R5 By July 1, 2023, the County of Orange, cities and CoC should collaborate to encourage the development of housing affordable to individuals exiting the emergency shelters in Orange County. (F3, F4, F5)
R6 By December 1, 2022, the County of Orange, cities and CoC should collaborate to increase the number of housing opportunities for Transitional Aged Youth. (F6)
COMMENDATIONS
Continuum of Care - The Orange County Grand Jury commends the broad-based collaboration between the County, cities, non-profit shelter and service providers, homeless advocates, faith- based organizations helping the homeless and hungry, and public and private entities, known as the Continuum of Care. This federally supported initiative has a representative board of directors and enjoys the highly effective professional support of the County of Orange Office of Care Coordination.
The OCGJ toured facilities and interviewed those engaged at all levels in this community-wide endeavor and was impressed at the dedication and caring to help the less fortunate in our County.
During the OCGJ investigation into the CoC, several exceptional organizations and dedicated individuals were brought to our attention. While not a direct part of our focus on the CoC, they were part of this broad community effort to address homelessness so the OCGJ thought they warranted honorable mention, including:
• Be Well OC in Orange is an innovative collaboration to provide outreach vans with mental health crisis teams, and a residential facility to reduce the incarceration of individuals with mental illness and/or substance abuse problems. • Mary’s Kitchen in the city of Orange provides dignified services including food to the walk-in homeless. Additionally, clients can receive mail and take showers.
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• Navigation Centers in the cities of Laguna Beach, Fullerton, Buena Park, Placentia, Tustin, and Huntington Beach are providing critical shelter and services to the homeless. • Orange County’s Emergency Shelters, Yale, and Bridges at Kraemer are unique multi- service, low-threshold shelters run by PATH and Mercy House respectfully. • Outreach and Prevention work being done by City Net and city homeless liaisons are the front line in reaching the chronically homeless.
• Permanent Housing is being developed by many entities overcoming various obstacles.
The Grand Jury commends Jamboree Housing for their successful PSH units we toured, and the OC Housing Community Development department for their success in leveraging partnerships to create 2700 units of PSH.
• The Salvation Army operates a low-threshold, comprehensive homeless shelter for the City of Anaheim and is in the process of building an adjacent apartment complex with permanent supportive housing.
• US District Court Judge David Carter played an extraordinary role in bringing the cities and county to the table with the advocates and homeless to create change. His “hands on” approach demonstrated the compassion he expected of all. • Whatever It Takes (WIT) Collaborative Court is an initiative to help high risk, high need, convicted felons, to be successfully reintegrated into society. Coordinated resources and guidance are offered to complete a program of sobriety, housing, employment, counseling, relationship issues, and consistent healthy behavior.
RESPONSES
California Penal Code Section 933 requires the governing body of any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the governing body. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court). Additionally, in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g., District Attorney, Sheriff, etc.), such elected County official shall comment on the findings and recommendations pertaining to the matters under that elected official’s control within 60 days to the Presiding Judge with an information copy sent to the Board of Supervisors.
Furthermore, California Penal Code Section 933.05 specifies the manner in which such comment(s) are to be made as follows:
(a) As to each Grand Jury finding, the responding person or entity shall indicate one of the following:
(1) The respondent agrees with the finding.
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(2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor.
(b) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions:
(1) The recommendation has been implemented, with a summary regarding the implemented action.
(2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation.
(3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report.
(4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor.
(c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision-making authority. The response of the elected agency or department head shall address all aspects of the findings or recommendations affecting his or her agency or department.
The Orange County Grand Jury requires and requests the following responses:
90 Day Response Required F1 F2 F3 F4 F5 F6
OC Board of Supervisors X X X X X X
90 Day Response Required R1 R2 R3 R4 R5 R6
OC Board of Supervisors X X X X X X
90 Day Response Required F1 F2 F3 F4 F5 F6
Aliso Viejo X X X
90 Day Response Required R1 R2 R3 R4 R5 R6
Aliso Viejo X X X X X
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90 Day Response Required F1 F2 F3 F4 F5 F6
Anaheim X X
90 Day Response Required R1 R2 R3 R4 R5 R6
Anaheim X X X
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Brea X X
90 Day Response Required R1 R2 R3 R4 R5 R6
Brea X X X
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Buena Park X X
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Buena Park X X X
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Costa Mesa X X
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Costa Mesa X X X
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Cypress X X
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Cypress X X X
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Dana Point X X X
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Dana Point X X X X X
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Fountain Valley X X
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Fountain Valley X X X
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Fullerton X X
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Fullerton X X X
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Garden Grove X X
90 Day Response Required R1 R2 R3 R4 R5 R6
Garden Grove X X X
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Huntington Beach X X
90 Day Response Required R1 R2 R3 R4 R5 R6
Huntington Beach X X X
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90 Day Response Required F1 F2 F3 F4 F5 F6
Irvine X X X
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Irvine X X X X X
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La Habra X X
90 Day Response Required R1 R2 R3 R4 R5 R6
La Habra X X X
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La Palma X X
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La Palma X X X
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Laguna Beach X X
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Laguna Beach X X X
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Laguna Hills X X X
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Laguna Hills X X X
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Laguna Niguel X X X
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Laguna Niguel X X X X X
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Laguna Woods X X X
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Laguna Woods X X X X X
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Lake Forest X X X
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Lake Forest X X X X X
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Los Alamitos X X
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Los Alamitos X X X
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Mission Viejo X X X
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90 Day Response Required F1 F2 F3 F4 F5 F6
Newport Beach X X
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Newport Beach X X X
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Orange X X
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Orange X X X
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Placentia X X
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Placentia X X X
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Rancho Santa Margarita X X X
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Rancho Santa Margarita X X X X X
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San Juan Capistrano X X X
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San Juan Capistrano X X
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Santa Ana X X
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Santa Ana X X X
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Seal Beach X X
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Seal Beach X X X
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Stanton X X
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Stanton X X X
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Tustin X X
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Tustin X X X
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Villa Park X X
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Villa Park X X X
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90 Day Response Required F1 F2 F3 F4 F5 F6
Westminster X X
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Westminster X X X
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Yorba Linda X X
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Yorba Linda X X X
90 Day Response Requested F1 F2 F3 F4 F5 F6
Office of Care Coordination X X X X X X
90 Day Response Requested R1 R2 R3 R4 R5 R6
Office of Care Coordination X X X X X X
90 Day Response Requested F1 F2 F3 F4 F5 F6
Continuum of Care Board X X X X X X
90 Day Response Requested R1 R2 R3 R4 R5 R6
Continuum of Care Board X X X X X X
REFERENCES
211 OC Website Data: Orange County CoC Dashboard – Orange County HMIS (ochmis.org) 211 OC Housing Inventory Count, Orange County Housing Stock, from HMIS data, 2021 Report 211 OC, HIC Report Year Over Year, from HMIS data, for Orange County 2017-2021 211 OC, Longitudinal Systems Analysis, from HMIS data FY 2018 through 2021 City of Anaheim, Addressing Homelessness FACT SHEET, Winter 2021 Chapman University, OC Annual Survey 2020
City News Service, Federal Judge Approves Settlement of Homeless Lawsuits, 7/23/2019 City of Fullerton, Report of the Fullerton Task Force on Homelessness and Mental Health Services, 5/15/2012
City of Fullerton, Housing Game Plan, 3/9/2021
Fullerton Homeless Plan Committee, Strategic Plan for Addressing Homelessness, 1/24/2020 Los Angeles Times, Frustrated judge demands O.C. find shelter for homeless being evicted from camp, 2/14/2018
Moss Adams, OC District 2 Services Assessment Final Report, February 2022 OCGJ Report, Where there’s a Will There’s a Way, 2018
OCGJ Report, Homeless Report, 2005
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OC Ten Year Plan to End Homelessness, 2012
Orange Housing Finance Trust, https://ochft.org
Orange County, OC System of Care Resources by Resource Type, Budget 2020-2022 Office of Care Coordination (OCC) Contract Map, 2021-22 OCC, Contract Inventory, 2021
OCC, Coordinated Entry System Policy and Procedures 9/11/2019 OCC, Emergency Shelter List by SPA, 3/9/2021
OCC, Contracts Monitoring System Reports, 2021
OCC, Website Documents and Reports, www.ochealthinfo.com/about-hca/directors- office/office-care-coordination/homeless-services/continuum-care OC Community Resources, HUD Consolidated Plan, 6/23/2020 OC Register, Welcome Home OC 12/12/21
Orange County Point in Time Count, 2017-2022
Subtitle C of Title IV of the McKinney-Vento Homeless Assistance Act, (42 U.S.C.11381- 11389). As noted in CFR 24 Part 578.1
US Department of Health and Human Services, Substance Abuse and Mental Health Services Administration
US Department of Housing and Urban Development, CoC Homeless Assistance Programs Populations and Sub-Populations Reports 2016-2020
United Way of OC, Homelessness in Orange County: The Cost to Our Community, 2017 Voice of OC, OC Mental Health Jail Expansion Draws Pushback and Debate, 10/23/2019 Voice of OC, Where does OC’s Homelessness Spending Actually Go? Here’s What We Found Out, 7/25/21
GLOSSARY
211 OC: A non-profit that administers the county Homeless Management Information System and publishes the data on their website.
Chronically Homeless: An individual or family who is homeless and lives in a place not meant for human habitation, for at least 1 year.
Chronic Substance Abuse: adults with a substance abuse problem that is expected to be of indefinite duration and substantially impairs the person’s ability to live independently.
Commission to End Homelessness: A collaborative board of County and city government, private foundations, advocacy groups, community organizations, and other interested stakeholders that promote the success of the Ten-Year Plan to End Homelessness.
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Coordinated Entry System (CES): A system to coordinate program participant intake assessment, and provision of referral.
Continuum of Care (CoC): A HUD-mandated local board of individuals and organizations working together to address homelessness on a regional basis.
Disability: A person with physical, mental, or emotional impairment, which is expected to be of long duration, and substantially impedes an individual's ability to live independently.
Domestic Violence: The act of family member, partner or ex-partner attempting to physically or psychologically dominate another.
Homeless Management Information Systems (HMIS): Computerized data base to capture client-level information on the characteristics and service needs of those experiencing homelessness.
Housing Inventory Count (HIC): The HUD-mandated annual count of homeless shelter beds available, conducted by the CoC.
U.S. Department of Housing and Urban Development (HUD): An agency of the United States Government.
Low-Threshold Emergency Shelter: A facility offering limited shelter as a safe alternative to living on the streets and provides essential services. “Low-threshold” means that individuals do not have to be drug and alcohol free, only that their behavior complies with the shelter rules.
Navigation Center: Another name for emergency shelter, emphasizing the service provided to residents to navigate to permanent housing, jobs, medical care, and other independent living skills.
Office of Care Coordination (OCC): County of Orange staff who provide support to the CoC Board and coordinate homeless program funds and services.
Permanent Supportive Housing (PSH): Long-term, community-based housing that has supportive services for homeless persons with disabilities including mental illness.
Point-in-Time Count & Survey (PIT): A community-wide effort to collect information on the number and characteristics of individuals and families experiencing homelessness.
Severely and Persistently Mentally Ill: adults with mental health problems that are expected to be life-long and substantially impairs the person’s ability to live independently.
Sheltered Homeless: individuals who are in emergency shelters, navigation centers, or other temporary housing.
Service Planning Area (SPA): Divisions of Orange County into North, Central, and South cities to coordinate homeless shelters and services on a regional basis.
Unsheltered Homeless: individuals who spent last night in the streets, a vehicle, an abandoned building, bus/train station, camping not in a designated campground, sleeping anywhere outside, or other place not meant for human habitation or stayed in friend or family’s garage, backyard, porch, shed or driveway.
City Council 16 – 26 8/2/2022
MAYOR
Vicente Sarmiento
MAYOR PRO TEM
Phil Bacerra
COUNCILMEMBERS
Johnathan Ryan Hernandez
Jessie Lopez
Nelida Mendoza
David Penaloza
Thai Viet Phan
CITY OF SANTA ANA
CITY MANAGER’S OFFICE
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
August 3, 2022Via E-mail and U.S. Mail
Honorable Erick Larsh, Presiding Judge
Orange County Grand Jury
700 Civic Center Drive West
Santa Ana, CA 92701
Subject: Response to Grand Jury Report Entitled “How is Orange County Addressing Homelessness” Dear Honorable Judge Larsh:
Please accept this letter as the City of Santa Ana’s response to the Grand Jury’s report entitled “How is Orange County Addressing Homelessness”. This report was presented to the City Council at their meeting held on August 2, 2022, whereby the City Council authorized the City Manager to deliver the City’s response to the Presiding Judge of the Orange County Superior Court. Here are the City’s responses to the items requested by the Grand Jury, specifically for the City of Santa Ana: F3, F4, R4, R5, and R6.
FINDINGS:
F3. The County of Orange and cities within Orange County have been inconsistent in collaboration for support of shelters and services, which has resulted in missed opportunities to end homelessness.
City’s Response: The City agrees with this finding.
F4. There are insufficient number or rental units available to those exiting Emergency Shelters, resulting in the majority returning to homelessness when leaving the shelters.
City’s Response: The City agrees with this finding.
RECOMMENDATIONS:
R4. By July 1, 2024, the County of Orange and cities should collaborate to open facilities that can house people with severe and persistent mental illness and addiction issues in a secure setting. (F2) City’s Response: The City of Santa Ana looks forward to the expansion of Be Well OC to provide this service beyond their existing Orange campus.
SANTA ANA CITY COUNCIL
Vicente Sarmiento
Mayor
[email protected]
Phil Bacerra
Mayor Pro Tem, Ward 4
[email protected]
Thai Viet Phan
Ward 1
[email protected]
Nelida Mendoza
Ward 2
[email protected]
Jessie Lopez
Ward 3
[email protected]
Johnathan Ryan Hernandez
Ward 5
[email protected]
David Penaloza
Ward 6
[email protected]
City Council 16 – 27 8/2/2022
August 3, 2022 Honorable Erick Larsh, Presiding Judge Page 2
SANTA ANA CITY COUNCIL
Vicente Sarmiento
Mayor
[email protected]
Phil Bacerra
Mayor Pro Tem, Ward 4
[email protected]
Thai Viet Phan
Ward 1
[email protected]
Nelida Mendoza
Ward 2
[email protected]
Jessie Lopez
Ward 3
[email protected]
Johnathan Ryan Hernandez
Ward 5
[email protected]
David Penaloza
Ward 6
[email protected]
R5. By July 1, 2023, the County of Orange, cities, and CoC should collaborate to encourage the development of housing affordable to individuals exiting the emergency shelter in Orange County. (F3, F4, F5) City’s Response - The City of Santa Ana regularly collaborates with the County of Orange to increase the supply of affordable housing as evidenced by the development and construction of the following projects jointly funded by the City of Santa Ana and the County or Orange. In pre-development:
oWISEPlace:
OCHFT = $2,480,000
City = $5,740,327 and 25 Project-Based Vouchers
County = $1.5 Million
oCrossroads at Washington:
City = $4,644,909 and 15 Project-Based Vouchers
County = $2,650,701 and 43 Project-Based Vouchers
62-year Ground Lease for County-owned land
62-year Ground Lease for City-owned land
OCHFT = $2,500,000
oFX Residences:
City = $1,656,947 and 3 Project-Based Vouchers
99-year Ground Lease for City-owned land
County = $6,217,047 (includes competitive NPLH award)
OCHFT = $832,015.28
Under construction:
oWestview House:
City = $3,904,341 and 26 Project-Based Vouchers
County = $11,570,817 (includes competitive NPLH award) OCHFT = $1,450,349.19
oLegacy Square:
County = $7,527,376 (includes competitive NPLH award)
City = 8 Project-Based Vouchers
oNorth Harbor Village:
City = $1,687,047 and 89 Project-Based Vouchers
OCHFT = $2,217,769.14
Complete:
oHeroes Landing
City= $477,345.90 and 75 Project-Based Vouchers
County = $2,912,000
oSanta Ana Arts Collective
City = $7,902,631
County = $4,724,430
oDepot at Santiago
$3,000,000 and 8 Project-Based Vouchers
County = $1,615,320
City Council 16 – 28 8/2/2022
August 3, 2022 Honorable Erick Larsh, Presiding Judge Page 3
SANTA ANA CITY COUNCIL
Vicente Sarmiento
Mayor
[email protected]
Phil Bacerra
Mayor Pro Tem, Ward 4
[email protected]
Thai Viet Phan
Ward 1
[email protected]
Nelida Mendoza
Ward 2
[email protected]
Jessie Lopez
Ward 3
[email protected]
Johnathan Ryan Hernandez
Ward 5
[email protected]
David Penaloza
Ward 6
[email protected]
In summary, the City of Santa Ana and the County of Orange collaborate on increasing the supply of affordable housing within the City of Santa Ana.
R6. By December 1, 2022, the County of Orange, cities and CoC should collaborate to increase the number of housing opportunities for Transitional Aged Youth. (F6) City’s Response: The City of Santa Ana plans to utilize approximately $2 million of HHAP Round 1, 2 and 3 dollars to deliver permanent housing dedicated to Youth Homelessness. The City of Santa Ana will be working with a nonprofit and the Department of Health Care Services to fund an Intergenerational project that combines senior citizen housing and youth housing to stretch these dollars to increase the effectiveness. The City of Santa Ana would welcome more collaboration between the County and the CoC toward funding innovative projects that provide housing for Transitional Aged Youth.
Note: Since the release of this report, the Santa Ana Navigation Center opened. The City of Santa Ana operated the temporary Navigation Center in the City of Fullerton listed on page 15 of the report.
Thank you for the opportunity to respond to your request. If you have any questions, please feel free to call me at (714) 647-5200.
Sincerely,
Kristine Ridge
City Manager
Attachments: Staff report dated August 2, 2022 and related exhibits City Council 16 – 29 8/2/2022
City Manager Office
www.santa-ana.org/city-managers-office
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Revive Santa Ana Spending Plan
AGENDA TITLE:
Approve the $128,360,000 Revive Santa Ana Spending Plan, Appropriate Federal American Rescue Plan Act (ARPA) Funding, and Adopt a Resolution to Amend the FY 2022-23 Annual Budget to Add Limited-Term Full-Time Positions (Revive Santa Ana Program)
RECOMMENDED ACTION
1. Approve the updated $128,360,000 Revive Santa Ana Spending Plan to protect and revive the community as Santa Ana continues to emerge from the impacts of the COVID-19 pandemic.
2. Approve an appropriation adjustment of $64,180,000 to authorize spending from the federal American Rescue Plan Act (ARPA) for various expenditures to recover from COVID-19, including authorization for the City Manager to move appropriated money between Spending Plan line items to reflect evolving federal guidelines and individual program popularity. (Requires five affirmative votes)
3. Adopt a resolution to amend the Fiscal Year 2022-23 Annual Budget to add limited-term full-time positions for the implementation of Revive Santa Ana projects.
DISCUSSION
The American Rescue Plan Act (ARPA) of 2021 is the latest COVID-19 stimulus package approved by the U.S. Congress and signed into law by President Biden. ARPA is a $1.9 trillion economic stimulus bill. Within ARPA, the Coronavirus State and Local Fiscal Recovery Fund provides $350 billion in direct funding for states, municipalities, counties, tribes, and territories, including $130.2 billion for local governments split evenly between municipalities and counties. Of this, the City of Santa Ana received $128,360,000.
The Coronavirus State and Local Fiscal Recovery Fund provides a substantial infusion of resources to help turn the tide on the COVID-19 pandemic, address its economic fallout, and lay the foundation for a strong and equitable recovery. The purpose of the use of these funds are as follows:
• Support urgent COVID-19 response efforts to continue to decrease spread of City Council 17 – 1 8/2/2022
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the virus and bring the pandemic under control.
• Replace lost revenue for eligible state, local, territorial, and tribal governments to strengthen support for vital public services and help retain jobs. • Support immediate economic stabilization for households and businesses. • Address systemic public health and economic challenges that have contributed to the unequal impact of the pandemic.
The Coronavirus State and Local Fiscal Recovery Fund provides substantial flexibility for each local government to meet local needs—including support for households, small businesses, impacted industries, essential workers, and the communities hardest hit by the pandemic. These funds can be used to make necessary investments in water, sewer, and broadband infrastructure, among other uses. As a recipient of these funds, the City has been working diligently to find the best way to use the City’s allocation of the Coronavirus State and Local Fiscal Recovery Fund. To that end, the City created Revive Santa Ana, a community engagement initiative and spending plan to use the $128,360,000 in federal funding.
The City received its first of two payments from the U.S. Department of the Treasury, in the amount of $64,180,000 in 2021, and the second payment of $64,180,000 in June 2022. The original Revive Santa Ana Plan, a detailed spending plan for the first allocation, was presented to the City Council for approval at the July 6, 2021 meeting and the City Council approved the item at the July 20, 2021 meeting. The Revive Santa Ana Spending Plan (Exhibit 1) has been updated to reflect the entire ARPA allocation of local fiscal recovery funds.
Revive Santa Ana Spending Plan
The spending plan includes five expenditure categories:
• Recovery from the Pandemic - $8,200,000
oPublic Health Equity, expansion of critical communication methods, sanitization, emergency response, mental health recovery, and support services for COVID-19 response
• Direct Assistance Programs - $22,400,000
oRental assistance, housing vouchers, food supply/distribution, business and non-profit assistance, early childhood support, daycare and head start, after-school programs, youth violence, sexual assault intervention, technology skill courses, direct resident assistance
• Public Health and Safety - $34,235,000
o5k Run, additional green/open space, healthy food access, property compliance programs, rapid response homeless services, park restrooms, increased security for parks and community centers, First Street safety enhancements
• Critical Infrastructure - $51,400,000
oBroadband access, community center renovations, transformation of Central Library to support early childhood learning, expansion of library accessibility, IT and process upgrades, streetlights, storm drain gates, parking structure improvements
• City Fiscal Health - $12,125,000
oLegal support services, contract management, unemployment fund / paid leave reimbursement, accounting and compliance for federal funding, City Council 17 – 2 8/2/2022
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reserve for revenue loss allocation
Appropriation of Funds
Below are the final Revive Santa Ana Spending Plan allocations for each of the proposed expenditure categories for the full allocation:
Expenditure Category Amount
Recovery from the Pandemic $8,200,000
Direct Assistance Programs $22,400,000
Public Health and Safety $34,235,000
Critical Infrastructure $51,400,000
City Fiscal Health $12,125,000
Total $128,360,000
Staff recommends that the City Council approve the updated Revive Santa Ana Spending Plan, and appropriate the City’s second ARPA allocation of $64,180,000. Staff anticipates the Spending Plan will evolve, as the U.S. Department of Treasury is continually updating the spending guidelines and program popularity and use will affect spending priorities.
Similar to the spending authorization for the Coronavirus Aid, Relief and Economic Security (CARES) Act, staff requests that the City Council grant authorization to the City Manager to shift money between line items within the spending plan. The City Manager will not have the authority to increase or decrease the overall appropriation.
Administration of Revive Santa Ana Programs
The implementation of the Revive Santa Ana programs requires an extensive amount of staff resources to administer and manage in accordance with federal program guidelines.
In order to successfully administer the large volume of programs, staff is requesting the addition of several limited-term positions to augment existing staff resources and deliver these programs in an efficient and effective matter. The table below outlines the amount of limited-term positions requested by department. The complete list of requested classifications is outlined in Exhibit 2.
Department Number of Limited-Term Full-
Time Positions Requested 9-Month Total
City Manager’s Office 1 $87,480
Public Works Agency 9 $649,620
Police Department 1 $68,310
TOTAL 11 $805,410
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Multiple departments will manage the various spending initiatives, and accounting units have been set-up accordingly in the ARPA special revenue fund 181 to account for City Council 17 – 3 8/2/2022
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$128,360,000 of expenditures.
Department Account Number Amount
City Attorney’s Office 18108013-6XXXX 500,000
City Manager’s Office 18103013-6XXXX 6,425,000
Community Development 18118013-6XXXX 20,935,000
Finance 18110013-6XXXX 12,000,000
Human Resources 18109013-6XXXX 200,000
Information Technology 18120013-6XXXX 5,500,000
Library 18111013-6XXXX 23,000,000
Parks and Recreation 18113013-6XXXX 3,050,000
Planning and Building 18116013-6XXXX 5,250,000
Police 18114013-6XXXX 1,500,000
Public Works 18117013-6XXXX 50,000,000
EXHIBITS
1. Revive Santa Ana Spending Plan
2. Resolution
Submitted By: Daisy Perez, Assistant to the City Manager Approved By: Kristine Ridge, City Manager
City Council 17 – 4 8/2/2022
Total Lead Agency
Recovery from the Pandemic
Mental Health Recovery 1,000,000.00$ CMO
Feasibility of Public Health Department 400,000.00$ CDA Expansion of Critical City Communications Methods 2,000,000.00$ CMO Sanitization & Prevention 3,800,000.00$ PWA
COVID Emergency Response 1,000,000.00$ FIN
8,200,000.00$
Direct Assistance Programs
Early Childhood Support & Head Start & Child/Day Care 1,500,000.00$ PRCSA After‐School / Youth Sport Programs 1,000,000.00$ PRCSA Emergency Rental Assistance Program* 14,026,593.00$ CDA Emergency Housing Vouchers* 1,805,508.00$ CDA
Food Supply / Distribution 1,500,000.00$ CMO
Business/Non‐Profit Assistance 3,600,000.00$ CDA
Youth Violence/Sexual Assault Intervention/Reentry 2,000,000.00$ PRCSA Technology Skills / Digital Literacy Education 500,000.00$ LIB Resident Direct Assistance 12,000,000.00$ CDA
Rent Stabilization and Just Cause Eviction Program 300,000.00$ CDA * Not ARPA Funded
22,400,000.00$
Public Health & Safety
Revive 5k Run 50,000.00$ PRCSA
First Street Pedestrian Safety Project 5,000,000.00$ PWA Addition of Park/Open Space $ 12,250,000.00 PWA
Healthy Food Access 1,500,000.00$ CMO
Property Compliance/Assistance Program 5,250,000.00$ PBA Rapid Response Homeless Services 3,135,000.00$ CDA
Upgrade Park Restrooms 3,000,000.00$ PWA
Enhanced security for usability of Parks/Community Centers 1,000,000.00$ PRCSA Public Health Plaza 4,000,000.00$ PWA
$ 35,185,000.00
Critical Infrastructure
Parking Structure Improvements & Safety Enhancements 1,500,000.00$ CDA Broadband Access 3,500,000.00$ IT
Community Center Renovations 14,000,000.00$ PWA
Transformation of Main Library 16,500,000.00$ LIB
New Library Branch/Expansion of Library Accessibility 6,000,000.00$ LIB Pedestrian & Mobility Improvements 4,000,000.00$ PWA
Information Technology & Process Upgrades 2,000,000.00$ IT Neighborhood Safety Streetlights 2,000,000.00$ PWA
Storm Drain Gates & Channel Fencing $ 950,000.00 PWA $ 50,450,000.00
City Fiscal Health
Legal Support Services & Contract Management Support 500,000.00$ CAO Accounting & Compliance for Federal Funding 1,000,000.00$ FIN HR Service Enhancement Program 200,000.00$ HR
Reserve for Revenue Loss Allocation 10,000,000.00$ FIN Administration of Federal Reporting Requirements 425,000.00$ CMO 12,125,000.00$
128,360,000.00$
SPENDING PLAN
Total
EXHIBIT 1
City Council 17 – 5 8/2/2022
EXHIBIT 2
Resolution 2022-
XXX Page 1 of 4
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 BUDGET TO ADD LIMITED-TERM FULL-TIME
POSITIONS IN THE CITY MANAGER’S OFFICE , POLICE
DEPARTMENT, AND PUBLIC WORKS AGENCY FOR THE
IMPLEMENTATION O F AM ERICAN RESCUE PLAN ACT
PROJECTS
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 21, 202 2, the City Council passed a nd adopted Ordinance No. NS-3021, establishing the City’s Budget for Fiscal Year 2022-2023 and authorizing position a llocations for Fiscal Year 2022-2023. The Ordinance also sets for th the requirement that alterations in the allocation of authorized positions be reviewed and a pproved by the City Council.
B. The City Manager of the City Manager’s Office requests to amend its Fiscal Year 202 2-2023 budget to add one (1) limited-term full -time Management A nalyst (Excepted) for the implementation of the American Rescue Plan Act projects.
C. The Chief of Police requests to amend it s Fiscal Year 2022 -2023 budget to ad d one (1) limited full-time Police Athl etic/Activities League Assistant Director for the implementation of American Rescue Plan Act projects.
D. The Executive Director of the Public Works Agency requests to amend its Fiscal Year 2021 -2022 budget to add two (2) limited-term full-time Associate Engineers, add one (1) limited -term full -time Management Analyst, one (1) limited -term full -time Man agement A ide, one (1) limited-term full -time Assistant Parks/Landscape Planner , one (1) limited-term full-time Associate Park and Landscape Planner , one (1) limited-term full -time Maintenance Assistant , one (1) limited -term full - time Projects Manager , and add one (1) limited -term full -time Public Works Projects Specialis t for the implementation of the American Rescue Plan Act projects.
E. It is now desired to amend the Fiscal Year 202 2-2023, as amended, in order to effect this change, as shown below.
City Council 17 – 6 8/2/2022
Resolution 2022-XXX
Section 2: The City’s Annual budget for Fiscal Year 202 2-2023, as amended, is hereby further amended by:
A. Adding the following position in the City Manager’s Office, at the monthly six-step range as indicated:
6-Step Salary Rate Range Effective 08/02/2022
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Management Analyst (Excepted) 1 $6,863 - $8,346 B. Adding the following position in the Police Department, at the monthly five- step range as indicated:
Classification Title 5-Step Salary Rate Range Effective 8/2/2022 Number of Positions Added Monthly Salary
Police Athletic/Activities League
Minimum-Maximum
1 $5,278 - $6,415
Assistant Director
C. Adding the following positions in the Public Works Agency, at the monthly seven-step range as indicated:
7-Step Salary Rate Range Effective 8/02/2022
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Assistant Parks/Landscape Planner 1 $5,818 - $7,799
Associate Park and Landscape Planner 1 $7,427 - $9,955
Maintenance Assistant 1 $3,449 - $4,624
Projects Manager 1 $7,761 - $10,401
Public Works Projects Specialist 1 $6,446 - $8,641
Associate Engineer 2 $6,080 - $8,149
D. Adding the following positions in the Public Works Agency, at the monthly six-step range as indicated:
6-Step Salary Rate Range Effective 8/02/2022
Classification Title Number of Positions Added Monthly Salary Minimum-Maximum
Management Analyst (UC) 1 $6,863 - $8,346
City Council 17 – 7 8/2/2022
EXHIBIT 2
Resolution 2022-XXX
Management Aide (UC) 1 $4,296 - $5,762
Section 3: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated.
Section 4: That except as amended by this Resolution, all other provisions of the Annual Budget for Fiscal Years 202 2-2023, as amended, shall rema in in full force and effect.
Section 5: This Resolution is operative from and after the date upon which it is adopted.
ADOPTED this 2nd day of August, 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
City Council 17 – 8 8/2/2022
Resolution 2022-XXX
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, ________, Deputy 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 _________, 2022.
Date: ___________________ ____________________________ Deputy Clerk of the Council
City of Santa Ana
City Council 17 – 9 8/2/2022
City Manager’s Office
www.santa-ana.org/city-managers-office
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 2, 2022
TOPIC: Voter Ballot Measure for the November 8, 2022 General Municipal Election to Amend the City Charter
TITLE
Direct Staff to Place a Proposed Charter Amendment Voter Ballot Measure for Public Consideration at the November 8, 2022 General Municipal Election; Adopt a Resolution, Authorize and Designate City Councilmembers to File an Argument; Direct City Attorney to File an Impartial Analysis; and Other Related Documents Calling for a General Municipal Election and Consolidating it with the Statewide General Election
RECOMMENDED ACTION
1. Adopt a Resolution of the City Council of the City of Santa Ana calling for the placement on the ballot of a measure for the November 8, 2022 General Municipal Election for the submission to the qualified voters of the question of whether the City Charter should be amended to update the City Charter by imposing a lifetime ban for the Mayor after completion of 4 terms and a lifetime ban for Councilmembers after completion of 3 terms, requiring approval of 2/3 of the City Council to adopt a budget, expanding the application of the Code of Ethics, utilizing gender neutral language throughout the Charter, changing references to the “Clerk of Council” to “City Clerk” and making other minor clean-up updates.
2. Request that the Board of Supervisors of Orange County Consolidate the City’s General Municipal Election with the Statewide General Election.
3. Authorize the filing of Arguments and Rebuttals.
a. Designate up to five (5) Councilmembers to author an Argument and Rebuttal Statement.
4. Direct the City Attorney to prepare an Impartial Analysis.
5. Direct the Clerk of the Council to publish legal notices as required by law.
City Council 18 – 1 8/2/2022
Voter Ballot Measure to Amend the City Charter
August 2, 2022
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DISCUSSION
In 2020, the Mayor created a Charter Review Ad Hoc Committee that considered numerous potential City Charter amendments. The Ad Hoc Committee ultimately recommend to the full City Council that 17 amendments to the City Charter be placed on the ballot for the November 2020 General Municipal Election. After consideration of the proposed Charter Amendments at a series of public meetings in 2020, the City Council declined, at that time, to place the recommended Charter amendments on the ballot.
In 2022, the Mayor created a Charter Review Ad Hoc Committee that considered both the 2020 Charter amendment recommendations, along with some additional changes to the City Charter relating to City Council term limits, the term of the Mayor, City Council compensation, and adoption of the City budget. The 2022 Charter Review Ad Hoc Committee ultimately recommended to the full City Council placing 16 of the 17 2020 recommendations on the ballot.
The 16 proposed Charter amendments from 2020 are administrative in nature. These 16 amendments are intended to have the City Charter conform with various federal, state, and/or applicable laws, such as by revising Civil Service provisions, updating anti-discrimination provisions, and removing provisions relating to work stoppages. In addition, these amendments remove outdated provisions that are not necessary to be included in the Charter, reorganize sections to improve the readability of the Charter, and update provisions to improve the delivery of City services.
At the July 19, 2022 meeting, staff presented a recommendation from the Charter Review Ad Hoc Committee regarding two new proposed Charter amendments: (1) adopting a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms; and (2) requiring a 2/3 vote by the City Council to adopt the City budget. The City Council concurred with the Ad Hoc Committee’s recommendation to move forward with these two items, in addition to the 16 administrative/clean-up items.
These 16 proposed administrative/clean-up Charter amendments, along with the two new proposed Charter amendments (lifetime ban for Mayor and Councilmembers) are summarized below.
Summary of Proposed Charter Amendments
16 Administrative/Clean-Up Items
Section 400: Number, Selection and Term of Members
The current Charter states that the term of each councilmember, including the mayor, shall begin at 6:00 p.m. on the second Tuesday of December following certification of election results. This amendment clarifies that term of each councilmember, including the mayor, shall begin at 6:00 p.m. on the first regularly scheduled City Council meeting or at a special City Council meeting following certification of election results.
City Council 18 – 2 8/2/2022
Voter Ballot Measure to Amend the City Charter
August 2, 2022
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Section 401.01: Term Limits (new section)
This amendment removes term limit provisions for the mayor and councilmember, from Sections 404 and 401, respectively, and restates those term limit provisions in their entirety into a new Section 401.01 of the Charter. The purpose of this amendment is to reorganize all provisions relating to term limits into one new section.
Section 401.05: Code of Ethics and Conduct (new section) The current Charter states that the City shall adopt a Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence in the integrity of the City. This amendment expands the applicability of the Code of Ethics and Conduct to include elected officials, the City Attorney, City Manager, Clerk of Council, Police Chief, and directors of all City departments. Furthermore, this amendment prescribes a process for documenting alleged violations of the Code of Ethics and Conduct in writing to the City Council, as well as a procedure for the City Council to review such alleged allegations.
Section 405: Mayor Pro Tem
The current Charter provides that at the first City Council meeting following any general or special election when councilmembers, including the mayor, are elected, the City Council shall elect a mayor pro tem. This amendment clarifies that the election of the mayor pro tem shall occur each calendar year at the first City Council meeting in January. Furthermore, this amendment clarifies that the mayor pro tem from the previous year cannot be elected as mayor pro tem for the following year, and that the mayor pro tem may be replaced by the affirmative votes of four members of the City Council.
Section 406: Council Judge of Elections and Qualifications of Members This section declares that the City Council shall be the judge of the election and of the qualifications of its member(s) as defined in Section 401, and shall meet on the first regularly scheduled City Council meeting following certification of election results to declare such election results and install members. This amendment provides that the City Council may also meet at a special City Council meeting to do the same.
Section 413:Adoption (Ordinances)
The current Charter provides a procedure for the adoption of ordinances. This amendments adds resolutions as part of this procedure, as well as clarifies the following: that ordinances may not be amended after the first reading, and that if an ordinance is amended after the first reading, that it must be re-introduced to be consistent with state law; that a resolution or ordinance must be signed as soon as possible, but no later than 72 hours following its adoption; and that if the mayor does not sign a resolution or ordinance, that the mayor pro tem or any councilmember who voted to approve such ordinance or resolution may sign instead.
Section 613:Claims— Formalities; Treasury Warrants
The process for claims as prescribed in the Charter is outdated. This amendment revises this process to streamline the claims and payment process.
City Council 18 – 3 8/2/2022
Voter Ballot Measure to Amend the City Charter
August 2, 2022
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Section 1000: Civil Service System
This amendment revises the equal opportunity provisions to clarify that civil service rules and regulations shall provide for such matters as the City Council and Personnel Board may deem necessary, and clarifies that these matters shall be determined with concurrence of the City Council.
Section 1002: Civil Service and Excepted Service
This amendment provides administrative clean-up revisions to ensure compliance with CalPERS rules and other applicable laws and regulations.
Section 1010: Prohibitions
This amendments updates the Charter’s anti-discrimination provisions, as well as requires that the City Council adopt an anti-nepotism policy.
Section 1011: Contract for Performance of Administrative Functions In 2018, the City Council adopted a resolution changing the name of the Personnel Services Agency to the Human Resources department. To be consistent with these organizational changes, this amendment replaces the word “personnel” to “human resources”.
Section 1014: Work Stoppages
Removes this section in its entirety to be consistent with state law and other applicable laws and regulations.
Section 1208: Enforcement
Section 1206 prescribes rules relating to campaign contribution limits for candidates for mayor or councilmember. Section 1207 prescribes rules relating to campaign committees and bank accounts. Section 1208 provides enforcement provisions relating to Sections 1206 and 1207.
This amendment allows that the City to contract with a state or county entity to enforce such provisions.
Section 1400: Employees’ Retirement System
This amendment revises the in-text references to Section 1002 to be consistent with the proposed revisions in Section 1002 relating to Civil Service.
Gender Pronouns (various sections)
Throughout the current Charter, references to City officials use gender-specific pronouns such as he/his/him or his or her. This amendment replaces gender-specific pronouns with they/them to be more inclusive. This change aligns with the contemporary use of pronouns relating to gender.
Clerk of the Council Title (various sections)
The Clerk of the Council intends to replace the title "clerk of the council" with "city clerk" to modernize and better identify this position.
City Council 18 – 4 8/2/2022
Voter Ballot Measure to Amend the City Charter
August 2, 2022
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6 6
Two New Items
Section 607: Budget Adoption
This amendment would change the voting requirement to approve the City budget from a majority of the City Council to a two-thirds vote of the City Council. This change would be consistent Section 609 relating to the two-thirds voting requirement to appropriate City funds.
Sections 401 and 404, and Proposed New Section 401.01)
This amendment would impose a “lifetime ban” by removing the eight-year cooling-off provision (sections 401 and 404). This means that after a Mayor or member of the City Council has reached their term limit (four 2-year terms for Mayor and three 4-year terms for Councilmember), they would no longer be eligible to serve on the City Council.
The full text of each of the Charter amendments is attached to this staff report as Exhibit A to the attached resolution (Exhibit 1).
Next Steps
The California Elections Code requires that the City Council adopt the attached resolution (Exhibit 1) to place the voter ballot measure before the voters at least 88 days in advance of the election. By adopting the attached resolution, the City will meet this deadline and have the voter ballot measure before the voters at the November 8, 2022 General Municipal Election.
Second, the City may file written arguments in favor or against the voter ballot measure by members of the City Council, any individual voter eligible to vote on the voter ballot measure, or a bona fide association of such citizens, or any combination thereof. The Elections Code specifies that members of the City Council may be given preference and priority. If the attached resolution is adopted, any member of the City council who desires to submit an argument will be able to do so.
Third, the City Council may direct the City Attorney to prepare an impartial analysis of the voter ballot measure that explains the effect of such voter ballot measure on existing law and the operation of the voter ballot measure. The impartial analysis would not exceed 500 words in length. The impartial analysis would be printed in the voter information guide. This direction is included in the attached resolution.
Finally, if the attached resolution is adopted, the Clerk of the Council would be required to file a certified copy with the Orange County Board of Supervisors and the Registrar of Voters of Orange County at least 88 days before the date of the election. Furthermore, as the City’s elections official, the Clerk of the Council would be required to publish legal notices relating to the General Municipal Election as prescribed by state law, along with other tasks.
Conclusion
The proposed voter ballot measure, if approved by a majority of qualified voters, would approve all of these proposed Charter amendments. By placing the measure on the ballot, the City City Council 18 – 5 8/2/2022
Voter Ballot Measure to Amend the City Charter
August 2, 2022
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Council is not endorsing or taking a position, but rather asking the voters of Santa Ana to consider the proposed Charter amendments. Therefore, staff recommends that the City Council adopt the resolution necessary to place the Voter Ballot Measure before the voters of Santa Ana.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The voter ballot measure to amend the Charter is intended to be revenue neutral, but there will be an expense associated with placement of a voter ballot measure on the November 8, 2022 General Municipal Election ballot, which is a budgeted expense. Staff confirmed with the Clerk of the Council the latest estimate of $100,000 for the ballot question.
Funds are budgeted and made available in the following accounts for the specified year:
Fiscal Year Accounting
Unit-Account #
Fund
Description
Accounting
Unit, Account
Description
Amount
FY 2022-23 01107031-
62300
Clerk of the
Council—Admin.
Contract
Services-
Professional
$100,000
EXHIBIT(S)
1. Resolution
Submitted By: Kristine Ridge, City Manager
Approved By: Kristine Ridge, City Manager
City Council 18 – 6 8/2/2022
Resolution No. 2022-XXX
RESOLUTION NO. 2022-XXX
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA GIVING NOTICE OF A GENERAL MUNICIPAL
ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON
NOVEMBER 8, 2022 FOR THE SUBMISSION OF A BALLOT
MEASURE TO THE QUALIFIED VOTERS FOR CHARTER
CLEAN-UP AMENDMENTS, ADOPTION OF A LIFETIME
BAN FOR THE MAYOR AFTER 4 TERMS AND A LIFETIME
BAN FOR CITY COUNCILMEMBERS AFTER 3 TERM S,
REQUIRING APPROVAL OF 2/3 OF THE CITY COUNCIL
TO ADOPT A BUDGET , EXPANDING APPLICATION OF
THE CODE OF ETHICS, AND PROVIDING FOR THE FILING
OF ARGUMENT AND REBUTTAL STATEMENTS
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:
Section 1. By Resolution No. 2022 -044, the City Council has declared that a General Municipal Election shall be held on November 8, 2022 for the election of municipal officers and the City Council asked that the General Municipal Election be consolidated by the County of Orange with the Statewide Election on November 8, 2022.
Section 2. The California Elections Code directs that the City Council approve the form of the ballot question to be submitted to the voters and the City of Santa Ana desires, on its own motion, to submit to the voters a question of whether clean-up amendments to modernize and streamline the City Charter, along with adoption of a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms, requiring a 2/3 vote of the City Council for approval of the budget, and expanding the application of the Code of Ethics shall be submitted to the voters at the General Municipal Election to be held on Tuesday, November 8, 2022.
Section 3. In 2020, the Mayor created a Charter Review Ad Hoc Committee that considered numerous potential City Charter amendments. The Ad Hoc Committee ultimately recommend to the full City Council that 17 amendments to the City Charter be placed on the ballot for the November 2 020 General M unicipal Election . After consideration of the proposed Charter Amendments at a public meeting, the City Council declined, at that time, to place the recommended Charter amendments on the ballot.
Section 4. In 2022, the Mayor created a Charter Review Ad Hoc Committee that considered both the 2020 Charter amendment recommendations and some additional changes to the City Charter relating to City Council term limits, the term of the Mayor, City Council compensation, and adoption of the City budget. The 2022 Charter Review Ad Hoc Committee ultimately recommended to the full City Council placing 16 of the 17 2020 recommendations on the ballot, as well as, two new Charter amendments adopting a City Council 18 – 7 8/2/2022
Resolution No. 2022-XXX
lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after 3 terms and requiring a 2/3 vote by the City Council to adopt the budget.
Section 5. The ballot question for the proposed Charter amendments shall be as follows, with identifi cation as determined in accordance with the California Elections Code:
MEASURE #___
Shall the Santa Ana City Charter be amended to update the Charter by imposing a lifetime ban for the Mayor after 4 terms and a lifetime ban for Councilmembers after completion of 3 terms, requiring approval of 2/3 of the City Council to adopt a budget, expanding the application of the Code of Ethics, utilizing gender neutral language throughout the Charter, changing references to the “Clerk of Council” to “City Clerk” and making other minor updates?
Yes
No
Section 6. The text of the Charter amendments to be submitted to the voters is attached to this Resolution as Exhibit “A” and incorporated herein by this reference.
Section 7. Should said measure be approved by the requisite vote of a majority of the qualified voters , in addition to the changes in Section 6 above, to modernize the language, (a) all references in the Santa Ana City Charter to he/his/him or his/her would be replaced with they/them/their; and (b) all references in the City Charter to the “Clerk of Council” would be changed to “City Clerk.”
Section 8. If the ballot measure receives a majority of the votes cast on it at the election, the Charter amendments shall be enacted accordingly.
Section 9. That pursuant to Elections Code Section 9280, the City Council hereby directs the Clerk of Council to transmit a copy of the Ballot Measure to the City Attorney to prepare an impartial analysis of the Ballot Measure which shall not exceed 500 words in length.
Section 10. That pursuant to Elections Code Section 9282, the City Council, or a member or members of the City Council authorized by the City Council, or an individual voter who is eligible to vote on the measu re, or bona fide association of citizens or combination of voters and associations, may file a writ ten argument for or against the Ballot Measure in accordance with Article 4, Chapter 3, Division 9 of the Elections Code.
An argument shall not exceed 300 words in length.
City Council 18 – 8 8/2/2022
Resolution No. 2022-XXX
Section 11 . That pursuant to Elections Code Section 9287, if more than one argument for or more than one argument against the Ballot Measure is submitted to the Clerk of Council within the time prescribed by law, he or she shall select one of the arguments in favor and one of the arguments against the Ballot Measure for printing and distribution to the voters, giving preference in such selection in the following order:
1. The City Council, or a member or members of the City Council authorized by the City Council.
2. The individual voter, or bona fide association of citizens, or combination of voters and associations, who are the bona fide sponsors or proponents of the measure.
3. Bona fide association of citizens.
4. Individual voters who are eligible to vote on the measure.
Section 12. That pursuant to Elections Code Sections 92 20 and 9285, when the Clerk of Council has selected the argumen ts for and against the Ballot Measure which will be printed and distributed to the voters, the Clerk of Council shall send copies of the argument in favor of the Ballot Measure to the author or authors of the argument against, and copies of th e argument against the Ballot Measure to the author or authors of the argument in favor. The author or authors may su bmit a rebuttal argument to the direct argument not exceeding 250 words. Rebuttal arguments shall be printed in the same manner as the direct arguments and shall immediately follow the direct argument, which it seeks to rebut. All previous resolutions providing for the filing of rebuttal arguments for City measures are repealed, and this Section shall only apply to the election on the Ballot Measure to be held on November 8, 2022.
Section 13. In accordance with California Elections Code Section 10002, the City Council requests the Orange County Board of Supervisors to permit the county elections official to render specified services to the City relating to the conduct of an election , for which the City shall reimburse the County i n full for the services performed upon presentation of a bill to the City. The Board of Supervisors is also requested to consent and agree to the consolidation of the City’s general election with any other election occurring on November 8, 2022, and the City hereby consents to any such consolidation.
Section 14. The services requested by the City of the county elections official, or such other official as may be appropriate and authorized to perform, include: the preparation, printing, and mailing of sample ballots and polling place cards; the establishment or appointment of precincts, polling places, and elections officers; opening and closing of polling places, and making such publications as are required by law in connection therewith; the furnishing of ballots, voting booths, and other necessary supplies or materials for polling places; the canvassing of the returns of the election and City Council 18 – 9 8/2/2022
Resolution No. 2022-XXX
the furnishing of the results of such canvassing to the Clerk of the Council; and the performance of such other election services as may be requested by the City.
Section 15. All persons qualified to vote at municipal elections in the City on the day of election herein provided shall be qualified to vote on the ballot measure hereby submitted at the general municipal election.
Section 16. In all particulars not recited in the Re solution, the election shall be held and conducted as provided by law for holding general municipal elections in the City.
Section 17. Notice of the time and place of holding the general municipal election is given, and the Clerk of the Council is authorized, instructed, and directed to give further or additional notice of the election in the time, form, and manner as required by law.
Section 18. The Clerk of the Council shall receive the canvass as it pertains to the general municipal election and shall certify the results to the City Council, as required by law.
Section 19. Pursuant to California Elections Code Section 9295, this Resolution and the attached ballot measure will be available for public examination for no fewer than ten (10) calendar days prior to being submitted for printing in the sample ballot. The examination period will end on the day that is seventy-five (75) days prior to the date set for the election.
Section 20. If any section, subsection, sentence, clause, phrase or provision of this Resolution or the application thereof to any person or circumstances is held invalid or unconstitutional by any court of competent jurisdiction, such invalidity or unconstitutionality shall not affect the validity of any other provision or applica tions, and to this end the provisions of this Resolution are declared to be severable. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause, phrase or provision thereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases or provisions thereof be declared invalid or unconstitutional.
Section 21. This Resolution shall take effect immediately upon its adoption by a majority of the City Council.
City Council 18 – 10 8/2/2022
Resolution No. 2022-XXX