Agenda packet — Santa Ana City Council, August 1, 2023 (part 3 of 5)

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open out to the general zoo area, amphitheater, and staff and service areas. The facility will use environmentally sustainable materials in its construction.

On February 22, 2023, the Public Works Agency (PWA) released a Request for Proposal (RFP) No. 23-033 to select a professional architectural services firm for the Santa Ana Zoo Educational Hub Building project. These services include all design and engineering as required for the project scope. The RFP was advertised on the City’s online procurement management and publication system, PlanetBids, with electronic proposals due March 7, 2023. Eleven responsive proposals were received and evaluated by a selection committee comprised of PWA staff, Santa Ana Zoo staff, and a representative from FOSAZ. The following table summarizes the three top-ranking firms that were interviewed by the selection committee after the first round of proposal reviews:

Firm City Rank
LOC Architects Los Angeles, CA 1
TAIT & Associates Santa Ana, CA 2
Dahlin Group, Inc. Irvine, CA 3
Based upon the scope of work and selection criteria outlined in RFP 23-033, Staff recommends awarding an agreement to LOC Architects (Exhibit 1). The selected proposal demonstrates that this firm has the necessary capacity and expertise to complete professional architectural services for the Santa Ana Zoo Educational Hub Building project.

The State of California Natural Resources Agency has approved and fully executed an amendment to Grant Agreement GF2107-0 (Exhibit 2) to allocate $385,120 for the design phase of this project.

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

FISCAL IMPACT
Fiscal Year 2023-24 funds (Exhibit 3) will be carried over and budgeted as seen in the table below.

Fiscal
Year
Accounting
Unit –
Account No.
(Project No.)
Fund
Description
Accounting Unit,
Account Description Amount
2023-24
16113262-
66200
(23-2601)
PRCSA Capital
Grants
State Resources Agency
Grant, Building
Improvement
$385,120
TOTAL $385,120

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Santa Ana Zoo Educational Hub Building Project
August 1, 2023

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EXHIBIT(S)

1. Agreement with LOC Architects

2. Grant Agreement Amendment

3. Fiscal Year 2023-24 CIP Sheet
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager

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CONSULTANT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND LOC

ARCHITECTS TO PROVIDE PROFESSIONAL ARCHITECTURAL SERVICES FOR

THE SANTA ANA ZOO EDUCATIONAL HUB BUILDING PROJECT
THIS AGREEMENT FOR CONSULTANT SERVICES (“Agreement”) is made and entered into this 1st day of August, 2023 by and between LOC Architects ("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'') hereinafter collectively referred to as the “Parties”.

RECITALS
A. On February 22, 2023, the City issued a Request for Proposal (“RFP”) No. 23 -033, by which it desired to retain a consultant having special skill and knowledge in the field of professional architectural services for the Santa Ana Zoo Educational Hub Building Project (“the Project”) for the City’s Public Works Agency.

B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that Consultant is able and willing to provide such services described in the scope of work that was included in the RFP No. 23-033.

C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services pe rformed 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 those services described and identified in “Exhibit A - Scope of Work” which was made part of RFP No. 23 -033, and is attached hereto an incorporated herein by this reference, and as further described and identified in “ Exhibit B - Consultant’s Proposal ,” attached hereto and incorporated herein by this reference.

2. COMPENSATION
a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in “Exhibit C - Consultant’s Fee Proposal,” attached hereto and incorporated herein by this reference . The total s um to be expended under the term of this Agreement, including any extension period(s), shall not exceed $385,120.00, and is comprised of the base amount of $ 350,120.00 and a contingency amount of $35,000.00 for any additional and necessary services, to be exercised at the City’s sole discretion.

EXHIBIT 1

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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 August 1, 2023, and shall terminate on July 31, 2026, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended at the sole discretion of City for one (1) additional two (2) year period upon a writing to the Consultant executed by the City Manager and the Ci ty Attorney. Thereafter, further extension of this Agreement may only be made by amendment upon mutu al agreement of the Parties.

4. INDEPENDENT CONTRACTOR

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

5. OWNERSHIP OF MATERIALS

This Agreement creates a non -exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non -exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement.

Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk.

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6. INSURANCE

Consultant shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with the performance of the work hereunder and the results of that work by the Consultant, its agents, representatives, employees or subcontractors.

a. Consultant shall no t commence work for the City until it has provided evidence satisfactory to the City that it has secured all insurance required under this Section. In addition, Consultant shall not allow any subconsultant to commence work on any subcontract until it has secured all insurance required under this Section.

b. Insurance coverage shall be at least as broad as:

(i) 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 $ 1,000,000.00 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.
(ii) Automobile Liabil ity: 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 $1,000,000.00 per accident for bodily injury and property damage.
(iii)Workers’ Compen sation 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 .00 per accident for bodily injury or disease.
(iv) Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant’s profession, with limit no less than $2,000,000 .00 per occurrence or claim, $2,000,000.00 aggregate.
(v) If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shal l 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. c. Other Insurance Provisions. T he insurance policies are to contain, or be endorsed to contain, the following provisions:
(i) Additional Insured Status. The City, its officers, officials, employees,

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and volunteers are to be covered as additional insureds on the CGL policy with respect to l iability 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 t o 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 edition is used).
(ii) Primary Coverage. For any claims related to this contract, the Consultant’s insuran ce coverage shall be primary insurance 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, emplo yees, or volunteers shall be excess of the Consultant’s insurance and shall not contribute with it.
(iii)Notice of Cancellation. Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. (iv) Waiver of Subrogation. Consultant hereby grants to City a waiver of any right to subrogation which 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 m ay 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.
(v) 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.
(vi) Acceptability of Insurers. Insurance is to be placed with insurers authorized to conduct business in the state with a curr ent A.M. Best’s rating of no less than A:VII, unless otherwise acceptable to the City. (vii) Claims Made Policies. If any of the required policies provide coverage on a claims-made basis:
• The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work.
• Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the

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contract of work.
• 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 contract work.
(viii) Verification of Coverage. Consultant shall fur nish 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 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. (ix) 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.
(x) 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.

7. INDEMNIFICATION

Consultant agrees to defend, and shall indemni fy and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for, personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant , its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and ( 2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due to the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the servi ces described in section 1 of 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 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 Consultant' s performance under this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding

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the foregoing, to the extent Consultant ' s services are subject to Civil Code Section 2782. 8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782. 8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willfu l misconduct of the Consultant.

8. INTELLECTUAL PROPERTY INDEMNIFICATION

Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and al l liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement.

9. RECORDS

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

10. CONFIDENTIALITY

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

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11. CONFLICT OF INTEREST CLAUSE

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

12. 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.

13. EXCLUSIVITY AND AMENDMENT

This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements , oral or written, between the P arties. In the event of a conflict between the terms of this Agreement and any exhibits or other 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 purc hase 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. This Agreement and all related obligations and services hereunder are intended for the sole benefit of City and Consultant and are not intended to create any third-party rights or benefits.

14. ASSIGNMENT

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

15. TERMINATION

This Agreement may be terminated by either party for default after five (5) days written notice to the other if the other party has substantially failed to fulfill any of its obligations under this Agreement after a thirty (30) day noticed cure period . CITY has and reserves the right to terminate this Agreement at its convenience and without cause upon thirty (30) days written notice

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to Consultant. In the event that the City should terminate this Agreement for its convenience, Consultant shall be entitled to payment for services provided hereunder, as provided in Section 2, Exhibit A – Phase One, including for such services performed prior to the effective date of said termination, including travel, accrued as of the date of the termination, which payment shall be per the terms set forth in Section 2, Exhibit A – Phase One, subject to the following conditions:

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

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

16. WAIVER

No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies.

17. JURISDICTION – VENUE

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

18. PROFESSIONAL LICENSES

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

19. 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:

City Clerk
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:

To CONSULTANT:

Poonam Sharma
Principal
LOC Architects
3203 E. 4th Street
Los Angeles, CA 90063

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

Any correctly addressed notice that is refuse d, unclaimed, or undeliverable because of an act or omission of the party to be notified shall be deemed effective as of the first date that said notice was refused, unclaimed, or deemed undeliverable by the postal authorities, messenger, or overnight delivery service.

20. MISCELLANEOUS PROVISIONS

a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective P arties 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.

Nabil Saba
Executive Director, Public Works Agency
City of Santa Ana
20 Civic Center Plaza
P.O. Box 1988
Santa Ana, CA 92702

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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:

Jennifer L. Hall
City Clerk
APPROVED AS TO FORM:

SONIA R. CARVALHO
City Attorney
Jonathan T. Martinez
Assistant City Attorney
CITY OF SANTA ANA:
______________________________
Kristine Ridge
City Manager
CONSULTANT:
___________________________

Poonam Sharma
Principal
RECOMMENDED FOR APPROVAL:

Nabil Saba
Executive Director
Public Works Agency

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EXHIBIT A

SCOPE OF SERVICES

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EXHIBIT B

CONSULTANT’S PROPOSAL

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LOC Architects
RFP

ARCHITECTURAL SERVICES

FOR THE
SANTA ANA ZOO COMMUNITY HUB BUILDING: THE HIVE
MARCH 23, 2023

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LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
2 TABLE OF CONTENTS

1. Statement of Qualifications
a. Cover Letter 3
b. Contract Agreement Statement 6
c. Firm and Team Experience 8
d. Understanding of Need 28
e. Relevant Project Experience 30
f. References 43

2. Scope of Services and Schedule 45

3. Fee Proposal (submitted separately)

4. Certificates 50

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QUALIFICATIONS

COVER LETTER

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LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
4 LOC
3203 E. 4th Street
Los Angeles, CA 90063
213.537.0480
www.loc-arch.com
March 23, 2023
Gilbert Castillo
Project Manager
Public Works Agency
20 Civic Center Plaza, M-36
Santa Ana, CA 92701
Re: RFP for Professional Architectural Services for the Santa Ana Zoo Community Hub Building, “The Hive”
Dear Mr. Castillo
LOC is pleased to present you with these qualifications and to provide complete architectural services for the proposed project at the Santa Ana Zoo. We feel that we will be a great fit for this project due to our extensive experience in educational projects in the context of a larger organization, such as the Santa Ana Zoo
LOC is an award-wining group of young architects that is deeply committed to the quality of the built environment of our educational environments. Our focus on human-centered experience makes us uniquely suited to take on the challenges of new educational facilities that serve the leaders of the future while working to embrace sustainable principles. We would like to bring our extensive experience in designing educational environments to contribute to your mission and your belief to instill a passion for the natural world through recreation, education and conservation. LOC would make an excellent choice to assist the City of Santa Ana and the zoo in many of their goals, most importantly in helping to provide innovative, relevant and inspiring learning environments for the following reasons:
• Our firm’s personnel have a successful track rec ord in creating vibrant educational and performing arts environments, including:
o A 12 year relationship with Crossroads School for Arts and Sciences, a private K-12 institution in Santa Monica, CA, having completed a master plan and multiple classroom buildings including visual and performing arts classrooms and a black box theater. o A 15,000 SF MPR and classroom addition and renova tion for City of Knowledge School, a K-12 Islamic school in Pomona, CA, currently under construction. o Multiple Montessori preschool classroom buildings
o The design of a campus facility at Charles Drew U niversity containing a medical and dental clinic and food bank, a community garden, and a new surface parking lot. o Several projects with Alliance College Ready Char ter Schools including the conversion of a library to counselor’s offices, a concept design for creating outdoor space and additional classrooms at an urban site, which is the basis of this RFP , and a CUP modification to change the use of an existing school, and a ground up 10,000 sf classroom building in South Los Angeles, currently in permitting.
• Knowledge of and experience implementing the most current educational technology and spatial strategies for enhancing educational outc omes. • Award-winning and widely published work.

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LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
5 • A young and agile firm that can effectively respo nd to our clients’ needs and schedules • Readiness: Our firm has several large scale proje cts reaching their construction completion and plan check submittals and will be a ble to devote our resources to the successful implementation of the requirements of t his project. • A collaborative work process that builds long ter m relationships and can effectively leverage your institution’s human and technical ca pital. • A deep dedication to sustainable principles. LOC has been recognized for its implementation of sustainable practices in respons e to the challenges that our cities and our planet are facing as a result of climate chang e. We are signatories to the AIA 2030 Challenge that maps a path for the design communit y to reduce the climate change impacts of new construction and major renovation p rojects through our implementation of design strategies, energy efficient technologies, on-site renewable energy systems. • Ability to navigate various public agencies for p lanning and permitting. Our firm has successfully obtained planning and plan check appr oval in the City of Los Angeles, City of Santa Monica, Santa Barbara, West Hollywood, an d other local and out of state jurisdictions. As the challenges of 2020 arose, w e have been able to quickly adapt to changing protocol in obtaining these approvals.
• LOC is a certified DBE (Disadvantaged Business Enterp rise), SBE (Small Business Enterprise), MBE (Minority Business Enterprise), SABE (Su bcontinent Asian Business Enterprise, and a SDB (Small Disadvantaged Business).

Our principals, Ali Jeevanjee and Poonam Sharma are deeply dedicated to the thoughtful design of educational spaces. As LOC is small firm, both principals will remain fully involved in the project from start to end. We have assembled a team that has worked together successfully to deliver similar types of project for similar clients, creating stellar spaces that respond to the modern needs of today’s students, inspiring the occupants to have ownership over these spaces, while adhering to the constraints of both time and budget. Our dedication to sustainable practices informs our design decisions and helps to create spaces that are healthy for the students and the faculty through the introduction of natural ventilation, natural lighting, and constantly finding opportunities for materials and systems that anchor the community to a responsible future.

I very much enjoyed visiting the site and meeting with yourself and the zoo team and in speaking with our civil engineer at KFPP who directly worked on the master plan and is currently working on the Howler Monkey Exhibit, we believe that we have a good understanding of the role that the Santa Ana Zoo plays in the community at large.

Our combination of deep experience with the design of educational experience and the capabilities of young, dynamic firm make LOC uniquely suited to assist your team in the development of your campus. In appreciation of your consideration, Poonam Sharma
Principal
LOC Architects
[email protected]

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CONTRACT AGREEMENT STATEMENT

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LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
7 LOC is in concurrene with all provisions contained in the Agreement which was included as Attachement 2 in the Appendix of the RFP .

Poonam Sharma

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QUALIFICATIONS

FIRM AND TEAM EXPERIENCE

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LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
9 SANTA ANA ZOO
Abrari and Associates
Border
KPFF
KPFF
Poonam Sharma, Principal
Ali Jeevanjee, Principal
Aashna Singh, Intermediate Designer
Tianze Wu, Intermediate Designer
Henry Abrari, Principal in Charge
Duane Border, Principal in Charge
Sharad Gangu, Principal in Charge
Devlin Thomas, Project Manager
Ramzi Hodali, SE
CLIENT

ARCHITECT

STRUCTURAL ENGINEER

CIVIL ENGINEER

MEP ENGINEER

LANDSCAPE ARCHITECT
LOCArchitects

ORGANIZATIONAL CHART

City Council
15 –
31 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
10 Project Team
LOC Project Team:

Poonam Sharma Principal-in-Charge,
Poonam will be the principal-in-charge of this project, responsible for managing the client relationship, consultants, and the design team at large. Poonam will be involved in all phases of the project and will work directly with the client on a regular basis to ensure proper coordination and communication. Poonam will be involved throughout the course of the project until project close out. Involvement is 60% of time. (CV on following pages).

Ali Jeevanjee Principal, Project Architect
Ali will be responsible for developing design, coordinating the preparation of the drawing set, design team coordination, and producing deliverables throughout the design process, Consultant coordination, including drawings review and design integration. Involvement is 50% of time. Ali will be involved in the project from inception to project close out.

City Council
15 –
32 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
11 RELEVANT PROJECT EXPERIENCE
City of Knowledge K-12 School
15,000 sf addition and renovation to an existing K-12 private school in Pomona, CA, currently under construction.

Crossroads School for Arts and Science
Various projects including:

Crossroads Lushing Classroom Building
17,000 sf existing office/ warehouse was gutted and converted to classrooms, theater prop shop, and assembly space.

Crossroads Arts and Athletics Facility
12,000 sf existing bow truss warehouse was gutted and
converted to arts and athletics facility.

Crossroads Humanities Classrooms
5,000 sf warehouse was gutted to accommodate new
humanities seminar rooms, teacher offices, and private work areas for Crossroads School.

Crossroads Modulars
LOC provided complete architectural services for site design, permitting and installation of temporary DSA approved modular facilities to accommodate three classrooms (approximately 640 square feet each) and three offices (approximately 300 square feet each).

Poonam Sharma, Principal
Education
Master of Architecture
Southern California Institute of
Architecture, Los Angeles, CA
Bachelor of Arts, Major: Literature
Scripps College, The Claremont
Colleges, Claremont, CA
Poonam Sharma is a founding principal of LOC Architects bringing a vast school design experience to the firm.
-Over 20 years of professional experience
-Diverse portfolio including public art, educational, retail, entertainment, commercial, mixed use, and residential.
-Excellent at working with clients and collaborating with team members.

Excellent communication and presentation skills.
-Experience in all phases of design, from planning and entitlement work through construction administration.
-Projects widely recognized for innovative design, including several publications and awards.
-Ability to lead and guide the production of construction documents -Thorough knowledge of codes and zoning regulations
-QA/QC
-Leadership and mentorship of staff and internal project team City of Knowledge School
Crossroads Arts and Athletics Facility
Crossroads Humanities Classroom
L O CArchitects

City Council
15 –
33 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
12 Crossroads Office TI
LOC designed and permitted the conversion of an industrial building to be used as offices.

Crossroads School for Arts and Science Master
plan
LOC provided a feasibility study of potential sites for the proposed Performing Arts Campus serving the Crossroads middle and upper school populations. This feasibility established a preliminary program and through careful site analysis identified the most suitable site(s) adjacent to the Crossroads campus with proposed configurations.

Crossroads School for Arts and Sciences
Performing Arts Campus
Based on the Master Plan, LOC developed conceptual floor plans and renderings of a proscenium theater, a black box theater, and a recital hall for fundraising purposes.

Crossroads Middle School Renovation
LOC designed and permitted the remodel of classrooms and the configuration of disabled access in the Steve Morgan Middle School Building.

New Horizons School Westside
A master plan and fundraising package for a K-6 Islamic parochial school for 200 students on an urban infill site in west Los Angeles. The existing school occupies the same site in a series of modular buildings as well as an existing apartment building. The school is currently fundraising to develop the site.

Alliance Judie Ivie Burton Technology High School
LOC is currently working on the design and permitting of a 9,450 sf ground up classroom building for the Alliance College- Ready Charter School group of schools.

Crossroads Master Plan
New Horizons School Westside
Poonam Sharma Resume
Crossroads Middle School
Alliance College Ready Public Schools, Judie
Ivie Technology High School

City Council
15 –
34 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
13 RELEVANT PROJECT EXPERIENCE
City of Knowledge K-12 School
15,000 sf addition and renovation to an existing K-12 private school in Pomona, CA, currently under construction.

Crossroads School for Arts and Science
Various projects including:

Crossroads Arts and Athletics Facility
12,000 sf existing bow truss warehouse was gutted and
converted to arts and athletics facility.

Crossroads Humanities Classrooms
LOC designed the complete renovation of an existing 5,000 sf warehouse to accommodate new humanities seminar rooms,
teacher offices, and private work areas for Crossroads School.

Crossroads Office TI
LOC designed and permitted the conversion of an industrial building to be used as offices.

Ali Jeevanjee, Principal
Education
Master of Architecture II
Harvard University, Graduate School
of Design, Cambridge, MA
Bachelor of Architecture
Cornell University, Ithaca, NY
CA Licensed Architect C30267
WA Licensed Architect 11863
Professional Affiliation: AIA
Ali Jeevanjee is a founding principal of LOC Architects and brings great technical and design expertise to the team.
-Licensed architect with over 22 years of professional experience. -Diverse portfolio including education, sports, entertainment, theater, commercial, mixed use and residential.
-Ability to manage clients and implement their needs, and collaborate with consultants while building strong relationships.
-Experience in all phases of design, from planning and entitlement work through construction administration.
-Skilled in developing and adapting building system s and detailing to solve complex and unusual building constraints and geometries. -Proven ability as a rigorous and innovative design er and problem- solver learned working closely with designers as diverse as Edwin Chan (Gehry Partners), Barton Myers and Kathryn Gustafson.

City of Knowledge School
Crossroads Arts and Athletics Facility
L O CArchitects

City Council
15 –
35 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
14 Crossroads School for Arts and Science Master
plan
LOC provided a feasibility study of potential sites for the proposed Performing Arts Campus serving the Crossroads middle and upper school populations. This feasibility established a preliminary program and through careful site analysis identified the most suitable site(s) adjacent to the Crossroads campus with proposed configurations.

Crossroads Middle School Renovation
LOC designed and permitted the remodel of classrooms and the configuration of disabled access in the Steve Morgan Middle School Building.

Crossroads Master Plan
Ali Jeevanjee Resume
New Horizons School Westside
Alliance College Ready Public Schools, Judie
Ivie Technology High School

City Council
15 –
36 8/1/2023

STRUCTURAL ENGINEER

City Council
15 –
37 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
16

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City Council
15 –
38 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
17

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City Council
15 –
39 8/1/2023

CIVIL ENGINEER

City Council
15 –
40 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
19 700 South Flower Street Suite 2100 Los Angeles, CA 90017 213.418.0201 kpff.com Sharad Ganju, PE (C85128)
Principal | Project Manager | Civil Engineering
With a background in land development industry that includes more than 20 years of experience in the design, development and management of projects for institutional, government, commercial and healthcare clients, Sharad Ganju is responsible for new project development in greater Los Angeles, client relationships, business development and providing unparalleled client service. He is experienced in managing multiple sub-consultants on large projects, delivering on schedule while meeting clients’ expectations.

Sharad specializes in campus master plan designs, utility infrastructure design and has worked on challenging campus setting projects involving existing utility infrastructure. Sharad’s personal knowledge and experience working in occupied and operational campus facilities, brings valuable expertise to this project.

Sharad is also the lead civil peer reviewer on Department of Veteran Affairs’ Western Region Projects.

Listed below are representative projects for which Sharad has been responsible:

Compton Community College Utility Infrastructure, Compton, CA Compton Community College Master Plan, Compton, CA
Antelope Valley College Utility Infrastructure, Lancaster, CA Antelope Valley College Student Services Building, Lancaster, CA Antelope Valley College Academic Commons Building, Lancaster, CA Antelope Valley College Campus Design Standards, Lancaster, CA LAVC Gold Creek Fire Damage Repairs, Los Angeles, CA
Chaffey College Campus Center, Rancho Cucamonga, CA
UC Riverside Student Success Center, Riverside, CA
UCR Material Science & Engineering Building, Riverside, CA UCR School of Medicine Building, Riverside, CA
UCR North District Student Housing, Riverside, CA
LAUSD - South Park School Food Services & Lunch Shelter, Los Angeles, CA
Flintridge Sacred Heart Academy Fine Arts Facility, La Canada Flintridge, CA
Flintridge Sacred Heart Academy Auditorium Remodel Phase 1, La Canada Flintridge, CA
Education
Rutgers, the State University of New
Jersey, New Brunswick, NJ
MS, Civil Engineering (2003)
Center for Environmental Planning &
Technology, India
BE, Civil Engineering (2000)
Registration
Professional Engineer: CA (C85128)
Professional Affiliations
American Society of Civil Engineers

City Council
15 –
41 8/1/2023

MEP ENGINEER

City Council
15 –
42 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
21 HENRY R. ABRARI, P.E .

Electrical Engineer
Henry Abrari has over 39 years of Electrical Engineering experience. As an accomplished engineer and retired Glendale Water and Power engineering manager with extensive utility and facilities design experience, he stablished Abrari and Associates in 2002

EXPERIENCE

ABRARI & ASSOCIATES, FOUNDER
MARCH 2002-PRESENT
x Electrical Engineering
x Power Analysis and coordination
x Arc Flash and Fault Current Studies
x EV Charger Design
x Solar Design
x Construction Administration
x Lighting Design
x Street Lighting Design
x Utility and Title-24 Consulting
x Dry Utility Consulting
x Power Quality, Power Measurement, Megger, Earth
Resistance, Relay Testing
ABRARI & ASSOCIATES INC.

Utility Consulting and MEP Engineers
1713 Standard Ave.

Glendale, CA 91201
T
: 818-956-1900
E: [email protected]

OBJECTIVE
To provide a reliable and
cost -effective Electrical Design

SKILLS & ABILITIES
Design Automation
Minimalizes errors
3D Modeling
Reliable Calculations

AUTOCAD
Revit

TYPES OF PROJECTS
Multi-Residential
Mixed Use -Residential
Educational
Hospitality
Commercial
Retail
Surgery C
enter
Offices
High
-End Luxury Single Family Homes
Medical
Restaurants
Small Lot Divisions
Street Lighting
d l

City Council
15 –
43 8/1/2023

2 EXPERIENCE ELECTRICAL DESIGN SOFTWARE

SKIM POWER TOOLS

TIME CURRENT COORDINATION PLANS AND SETTINGS

DETERMINATIONS

DESIGN MASTER CALCULATIONS
VISUAL
3D MODELING

City Council
15 –
44 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
23 4

EXPERIENCE
11600 PICO BLVD.- SURGERY CENTER
Electrical Design
x 400A 120Y/240V 3Phase 4-wire
x Health Care Facility
x Photometric Egress
x Emergency Design
3 separate emergency feeds
o Life Safety Branch
o Equipment Branch
o Critical Branch
269 S. MARIPOSA AVE.- 121 UNITS MIXED USE APARTMENT
Electrical Design
x 3000A 208Y/120V 3Phase 4-wire
x LADWP Transformer Pad
x Emergency Inverters for Egress lighting
x All Electric appliances
Building Overview
x Mixed Use Building
x 121 units
x Amenities: Gym, community room, recreation room
x Over 4,000sqft of Retail Space

City Council
15 –
45 8/1/2023

LANDSCAPE ARCHITECT

City Council
15 –
46 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
25 Santa Ana Zoo Community Hub Building RFP

DUANE BORDER / ASL A , PL A
Principal
Duane Border is an award-winning landscape architect and Design Director at BORDER, a boutique studio in Los Angeles that utilizes an interactive design process combining lifestyle, sustainability and art to generate creative design solutions and interactive environments.

Using a wide range of design influences, he explores the boundaries of landscape architecture by embracing the cultural, artistic and environmental influences of each site to craft a unique sense of place and developing an engaging experience.

Duane’s design philosophy is to immerse individuals in the richness and wonder of the natural environment. BORDER is an evolution of Duane’s philosophy of providing contemporary, urban landscape solutions that maintain the romance of the garden he used in the founding of his previous firm, Duane Border Design, in 2012. BORDER elevates this philosophy to includes a focus on the restorative properties of landscape design.

Under his leadership, BORDER has built a reputation as a collaborative studio with an award-winning tradition.

RELE VANT PROJECT E XPERIENCE
MARSH PARK / Los Angeles, CA
Marsh Park is a 3.9 acre open space adjacent to the LA River and thriving Elysian Valley River bike trail. While at Melendrez (RELM), Duane Border led the design eﬀort with the firm’s planning team and the Santa Monica Mountain Conservancy to re-imagine a brownfield that disconnected the neighborhood from the LA River.

MARILYN HAWLEY HILTON SCHOOLYARD / Santa Monica, CA
The redesign altered the perception of a parking lot used as a schoolyard to provide students and their families with a sense of campus pride and identity while maintaining the parish's commitment to sustainable practices.

LAPD PUBLIC ADMINISTRATION BUILDING / Los Angeles, CA
Duane Border, as lead designer at Melendrez, viewed challenging site and contextual conditions as opportunities for social, publicly accessible spaces rather than constraints that dictate a static, rigid design of impediments and barriers.

Defensible space can still be social space.

LICENSURE
Registered Landscape Architect
CA 5810 // UT 5301

EDUCATION
Bachelor of Science in Landscape
Architecture
Purdue University
AWARDS
ASLA Southern California

LAPD PAB
Marsh Park
Hilton Schoolyard
Santa Monica College Quad
444 South Flower Street
Not-A-Cornfield

AFFILIATIONS
ASLA Southern California Ex Com
2010 - 2020
ASLA Education Advisory Committe
2020-2022

RESUMES

City Council
15 –
47 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
26 Santa Ana Zoo Community Hub Building RFP

DARREN SHIRAI / ASLA, PLA
Landscape Architect
Darren Shirai brings a passion for design and nature to BORDER as a landscape architect and Education Studio Leader. His experience includes a variety of award- winning civic, education, and mixed-use projects throughout Southern California.

Growing-up in Honolulu, Hawai’i, Darren learned about the uniqueness and global significance of Hawaiian ecosystems and the role of nature in indigenous Hawaiian culture. Nature was an integral part of daily life at the schools he attended throughout childhood with lush campuses that reflected community values and role of nature in creating a high quality of life.

Child development experts theorize the origin of healthy environmental ethics in adults begins early in life, the result of sustained positive experiences in nature and the personal value associated with those experiences. Darren is motivated by the belief that the design of outdoor spaces can result in a sustainable positive relationship with local ecologies and a legacy of reconnecting people to the restorative power of the natural world.

As a result of his personal experiences and values, education is at the heart of Darren’s work, in practice and approach. His engaging design process has created a long list of enthusiastic collaborators, clients, and designers whom he has mentored.

RELEVANT PROJECT EXPERIENCE
TESORO CARSON ONE / Carson, CA
A new corporate campus for administrative oﬀices with environmental education garden, social spaces, softball field, basketball court and perimeter fitness trail.

Outdoor learning spaces provide a venue for the company’s environmental education outreach programs.

LA COUNTY OFFICE OF EDUCATION / Los Angeles, CA
The COVID-19 pandemic challenged educators to re-imagine and be creative with campus outdoor space to support the safe return to in-person instruction.

The Los Angeles County Oﬀice of Education published design guidelines to help schools and facilities professionals create equitable everyday outdoor learning experiences on their campuses.

BURROUGHS MIDDLE SCHOOL / Los Angeles, CA
The project will restore the historic quad, once the focus of the school campus with new sports fields, a three-story cafeteria building, and new locker rooms. Social and interpretive environmental education spaces provide daily opportunities for the campus community to engage with nature and each other.

LICENSURE
Registered Landscape Architect

EDUCATION
Landscape Architecture Certificate
UCLA, Los Angeles Extension
Bachelor of Arts, Economics
Creighton University
AWARDS
Next LA / AIA Design Awards
Wilshire Grand Hotel
ASLA Southern California
Marsh Park
Long Beach Airport
Passenger Concourse

AFFILIATION
ASLA Southern California

RESUMES

City Council
15 –
48 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
27 Santa Ana Zoo Community Hub Building RFP

RACHEL ISON / ASLA
Landscape Designer
Rachel Ison is a Southern California native who brings her experiences of living in the region to her work as a landscape designer at BORDER. These experiences influence her approach to research, site analysis and enhance her appreciation for the environments in which she works.

Dedicated to developing designs with purpose, Rachel explores a site’s history, culture, and position within its context to create a narrative and character that is as unique and fresh as the project itself.

Her eﬀorts as project design lead on projects such as Ballona Creek Feasibility Study and Jordan Downs are examples of her commitment to finding the essence of design from context clues and cultural influences. Rachel is a talented designer and uses a keen eye and attention to detail to create thoughtful graphic exhibits and detailed drawings from concept to construction for BORDER.

Her focus is on engaging and connecting communities through landscape design while respecting and enhancing the local flora and fauna. This passion was recognized and rewarded with the honor of an Olmsted Scholarship from the Landscape Architecture Foundation.

RELEVANT PROJECT EXPERIENCE
BALLONA CREEK FEASIBILITY STUDY / Los Angeles, CA
Ballona Creek Feasibility Study included landscape design services and community outreach eﬀorts for storm water management along the Ballona Creek corridor. BORDER led stakeholder meetings and incorporated storm water BMP strategies to manage over 9 acres of storm water collection.

EAH MARTEL / West Hollywood, CA
EAH Martel, an aﬀordable senior housing project of inviting and engaging courtyard, is built around restorative landscape practices for residents and visitors, including increased pollinators, abundant shade, and gathering spaces.

JORDAN DOWNS BRIDGE HOUSING / Los Angeles, CA
The newest residential community in Jordan Downs addresses the need for aﬀordable housing and quality outdoor recreation. A community gathering space with social courts, multi-function lawn, seating gardens, and outdoor BBQ spaces give residents and neighbors a diverse collection of outdoor spaces for year- round activity.

EDUCATION
Masters of Landscape Architecture
University of Southern California
B.A. in Environmental Studies
B.A. in Anthropology
T ufts University
AWARDS
Landscape Architecture Foundation
National Olmsted Scholar Finalist
2018

RESUMES

City Council
15 –
49 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
28 RELEVANT EXPERIENCE UNDERSTANDING OF NEED

City Council
15 –
50 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
29 • The Santa Ana Zoo is seeking proposals for full architectural services to design, permitting, bidding, and construction administration of a building that will occupy the existing campus and contain classroom type spaces along with offices that will form the community hub for the zoo. Users will include field trip students, volunteers for the zoo, and the Friends of the Santa Ana Zoo, a nonprofit entity that supports the Santa Ana Zoo. • The project is to be located in an approximately 9, 000 sf of area and in the general area designated on the Masterplan that was provided as part of the RFP . The project is to consist of 6,000 sf of built space of which 3,000 sf would be back of house (including offices and restrooms) and 3,000 sf to be flex space/classrooms. A 1,000 sf patio is also required. • The building siting is defined by two large existing Ficus trees. Design is to provide access to amphitheater, and connect the visitor experience to the interior of the zoo. • The building is to be accessible to visitors inside the zoo, and accessible to staff. • The design of the building is to incorporate an indoor/outdoor feel, lots of light, to be uncluttered with a neutral palate and blend in with the surrounds and respond to the master plan.
• The building design should incorporate sustainable practices and use local materials where possible.
• Architect will be responsible for providing a full design team including, Civil, Geotech nical, Structural, Landscape, and Mechanical, Electrical, and Plumbing design.

City Council
15 –
51 8/1/2023

RELEVANT PROJECT EXPERIENCE

City Council
15 –
52 8/1/2023

LOC Architects is the Los Angeles practice of partners Poonam Sharma and Ali Jeevanjee, founded in 2006. With a strong belief that architecture is about people, the firm is driven by a passionate approach to bringing people together in a collaborative design process to create transformative experience through design.

The firm’s process driven and socially responsive approach has allowed them to take on a wide range of projects that span in scale and type from art installations to master plans, single family residences to multi-family, and office campuses to schools. The design of schools and learning environments is an area of deep personal interest and remains a focus of the work they do. The spaces of a school can help to define the education experience for students, and the people- driven and carefully considered approach of LOC can enable these spaces to have a meaningful impact on a large number of people.

DESIGN PROCESS PEOPLE EXPERIENCE
LOC
Architects

City Council
15 –
53 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
32 Crossroads Athletics and Arts Facility
Location: Santa Monica, CA
Client: Crossroads School for Arts & Sciences
Size: 12,000 SF
Budget: $3 Million
Year Completed: 2019
LOC Architects designed this 12,000 sf Visual and
Performing Arts and Athletics facilities building within an existing bow truss warehouse on the Crossroads
School for Arts and Sciences Middle and High School
campus in an industrial area of Santa Monica. This
project included a complete gutting of warehouse
space, creating distinct spaces for arts and athletics, an entry garden, and lounge areas, and all new MEP
systems as well as extensive daylighting to optimize the educational environment. The project is characterized
by the introduction of natural light, a large slanted
polycarbonate wall, and warm plywood surfaces.

City Council
15 –
54 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
33 Alliance Burton Tech High School
Location: South Los Angeles
Client: Alliance College-Ready Charter Schools
Size: 9,400 sf
Budget: $6 Million
Projected Completion: December 2024
LOC won the RFP to design a new building to
compliment the Alliance College-Ready School’s
Judie Ivie Burton Technology High School campus.

Working closely with the school team, LOC designed
a two story classroom builidng with a rooptop outdoor
space. The project maximizes natural light and view to
the exterior while making a connection to the existing
campus and helping to foster the school’s role as a
pivotal entity in the South Los Angeles neighborhood.

The project is currently in permitting.

City Council
15 –
55 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
34 Southern California Gas Company
Headquarters
Location: Anaheim
Client: Southern California Gas Company
Size: 27,000 sf
Budget: $6 Million
Completion: February 2022
LOC was hired for complete architectural
services to gut and convert and exisitng
27,000 sf tilt-up concrete building to
to accommodate 170 employees with
new conference rooms, indoor and
outdoor break areas, complete with the
latest workplace technology. Extensive
organizational and space planning was
undertaken to best serve the needs of this
large and complex organization.

City Council
15 –
56 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
35 City of Knowledge School
Location: Pomona, CA
Client: City of Knowledge School
Size: 15,000 sf
Budget: $5 Million
Projection Completion: May
LOC Architects designed this 15,000 sf addition
and renovation to an existing Islamic K-12 parochial
school. The project, currently under construction will include a new gym/assembly hall, new classrooms, a
ceramics studio, locker rooms, and restroom facilities
for both adults and students and serve a hub for the
local Islamic community . Working very closely with
the administration at the school, LOC developed a
language of architecture that spoke to the Islamic
roots of the school to create a sense of identity and
community for this organization. LOC created a
series of tiled dome structures that are inspired by
Islamic architecture.

City Council
15 –
57 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
36 Avis and Mark Ridley-Thomas Wellness
Center at Charles Drew University with APLA
Location: Willowbrook, CA
Client: Charles Drew University
Owner’s Rep: Elaine Nesbit
Size: 10,000 sf
Budget: $4 Million
Year Completed: 2021
LOC Architects designed this two story modular
building to house a medical clinic, a dental clinic
and a food bank managed by Vance North
Necessities of Life Program on the campus
of Charles Drew University in Willowbrook.

While providing for 3 distinct entries for the 3
entities housed in this building, LOC worked to
integrate the project into the existing campus
of CDU and helped to establish a material
and color palate for future development at the
university. LOC also undertook the design of a
community vegetable and fruit garden adjacent
to the building. In addition to this project, LOC
has been involved in several projects across the
campus of Charles Drew University.

City Council
15 –
58 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
37 LOC Architects
Santa Ana Zoo Community Hub Building
Green Heart Families Park & Community Center
Santa Ana, CA
Structural engineering services for a new 3,188 SF community center that includes a large multi-purpose room, adjoining kitchen and support spaces. The single-story high ceiling structure includes unique sloping, articulated roof structures. The site also includes a playground, restrooms and half-size basketball court. 3-D REVIT modeling was successfully leveraged during design to coordinate structural, architectural and MEP conflicts.

Owner
Latino Health Access
Size
3,188 SF Community Center
Date Completed
2013
Image Credit: Ryan Beck Photography
Image Credit: Ryan Beck Photography

City Council
15 –
59 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
38 LOC Architects
Santa Ana Zoo Community Hub Building
Earvin “Magic” Johnson Recreation Area Community Center Los Angeles, CA
Phase 1A of the Earvin “Magic” Johnson Recreation Area
encompasses a 22-acre core portion of the master planned project and includes a new community center, wedding pavilion, outdoor amphitheater, reflecting pool and splash pad, sculpture garden and civic plaza, group picnic area, restroom building, children’s play area, entry gate and kiosk and walking trails.

The community center is 20,000 SF, single story structure that houses a multipurpose room, classrooms, restrooms, kitchen, support area for staff and storage, and maintenance/electrical areas. The wedding pavilion is a 1,250 SF single story partially covered structure with garden amenities including arbors and trellises. The 1,500-seat outdoor amphitheater includes, stairs, stepped slabs, and security/ performance lighting systems supports. The reflecting pool and splash pad area includes a linear reflecting pool, entry fountain and children’s water play area. The 20,000 SF sculpture garden and civic plaza includes garden areas, signage posts, seating benches, statues, and monuments.

The project also includes a 100-person picnic area, a 500 SF restroom building, children’s play area with playground equipment and shade structures, a new entry gate and kiosk with monument signage and security fencing along with walking trials with signage and exercise equipment.

Owner
County of Los Angeles Department of
Parks & Recreation
Construction Value
$59 M
Size
22 Acre Recreation Area
20,000 SF Community Center
Date Completed
2020
LEED Status
Gold Certified
Awards
2022, Westside Urban Forum, Public/
Open Space Honor Award
2021, ASCE, MLAB Award for
Outstanding Sustainable Engineering
2021, LABC, Architectural Awards Civic
Award
2021, Grands Prix Du Design, Public
Building/Institutional Building Award -
Silver Winner
2021, NAFSMA, Green Infrastructure
Award - 1st Place

City Council
15 –
60 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
39 LOC Architects
Santa Ana Zoo Community Hub Building
City of Anaheim Miraloma Park Community Center
Anaheim, CA
Structural engineering services for the renovation and redevelopment of Miraloma Park. This effort included the creation of a new community center through the adaptive re-use, renovation and seismic retrofit of an existing CMU industrial building. This new Park and Family Resource Center includes multi-purpose rooms, classrooms, counseling offices, a kitchen, computer center, lounge, and restrooms.

The redevelopment of the existing park included the addition of solar canopies, storm/bio swales, a perimeter exercise loop trail, skate plaza, outdoor classroom plaza, picnic/BBQ area, events plaza, playground, interactive water feature, play areas, native gardens, vertical garden wall, and other landscape and hardscape improvements.

Owner
City of Anaheim
Construction Value
$4.2 M
Size
5,415 SF Community Center
2 Acre Park
Date Completed
2015
LEED Status
Silver Certified

City Council
15 –
61 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
40

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City Council
15 –
62 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
41 Santa Ana Zoo Community Hub Building RFP
The landscape design is based on Southern California sustainable landscape principles of water conservation, increased biodiversity, storm water capture, filtration and recharge.

Marsh Park is a 3.9 acre open space adjacent to the LA River and thriving Elysian Valley River bike trail. While at Melendrez (RELM), Duane Border led the design eﬀort with the firm’s planning team and the Santa Monica Mountain Conservancy to re-imagine a brownfield that disconnected the neighborhood from the LA River.

The project has successfully engaged residents and visitors with the wonder of the natural environment through engaging teaching and recreational opportunities.

Most importantly, the park acts as a conduit for local Angelenos to access the LA River while utilizing planting and site design to filter and recharge storm water prior to its connection to the LA River.

LOCATION
Los Angeles, CA
CLIENT
Santa Monica Mountains
Conservancy
YEAR
Completed 2015
SCOPE
Schematic Design
Design Development
Construction Documentation
Construction Administration
AWARDS
2016 Honor Award
ASLA Southern California

MARSH PARK

EXPERIENCE
* Completed prior to BORDER

City Council
15 –
63 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
42 Santa Ana Zoo Community Hub Building RFP
Envisioned as a transparent gesture of architecture and site design, the LAPD PAB was designed as a metaphorical reference to the desired relationship between the public and the public-serving entity.

Duane Border, as lead designer at Melendrez, viewed challenging site and contextual conditions as opportunities for social, publicly accessible spaces rather than constraints that dictate a static, rigid design of impediments and barriers.

Defensible space can still be social space.

The landscape design includes a palette of kinetic, water conserving plant materials and irrigation systems. Plazas are punctuated with large expanses of planting areas with integrated seat walls and lighting. The design is built to be flexible enough for large public gatherings while allowing for individual interaction within the natural landscape.

At a big-picture level, the site and landscape design for the LAPD Police Administration Building has started a dialog for rethinking urban design approaches in Downtown Los Angeles, and more importantly, the role of landscape design in the discussion.

LOCATION
Compton, CA
CLIENT
City of Los Angeles Department of
Engineering
YEAR
Completed 2009
SCOPE
Schematic Design
Design Development
Construction Documentation
Construction Administration
AWARDS
2012 Honor Award
ASLA Southern California
AIA/LA
Project Team of Year
2009

LAPD PUBLIC ADMINISTRATION BUILDING

EXPERIENCE
* Completed prior to BORDER

City Council
15 –
64 8/1/2023

REFERENCES

City Council
15 –
65 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
44 Elaine Nesbit, Architect
Yasser Abdulridha
Project Manager, Client Rep.

YSK Construction Group Inc.

Full architectural services on 15,000 sf addition a nd remodel in- cluding multipurpose room/assembly hall and new classrooms.

Elaine Nesbit
Client Rep/Project Manager
Full architectural services on approximately 12 pro jects with this project manager for Crossroads School and Charles Drew [email protected]
[email protected]
Emma Ponco
Project Manager
Southern California Gas Company
Full architectural services on 27,000 remodel of e xisting building for new offices
[email protected]

City Council
15 –
66 8/1/2023

BASE SCOPE INFORMATION

SCOPE OF SERVICES AND SCHEDULE

City Council
15 –
67 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
46 LOC is responsible for facilitating the project’s d esign and planning process within the constraints o f the Owner, governing authorities, and sub-consultants’ req uirements. LOC is always committed to producing the ideal project for the Owner within the stated requirements and identified constraints.

Pre-Design 6 weeks
Preliminary design shall include Kick-off meeting with City Staff (representatives from Public Works Agency, Parks, Recreation and Community Services Agency and Santa Ana Zoo) to discuss scope of work, project goals and objectives, potential elements and issues, schedule, review of existing information and site investigation.

Deliverables shall include a Work Task Plan, Schedule, Geotechnical Report and Site Survey Concept Design 8 weeks
• Develop program with zoo team and provide written narrative of project scope. • Based upon a detailed review of the program, test fits sit e constraints, and budget requirements, LOC shall develop a set of schematic design documen ts illustrating the scale and relationship of the project components.
• These drawings shall include a site plan, building plans, sections and elevations. • Deliverables (1): One set of schematic design documents. • Renderings: (3) conceptual electronic renderings.
• Meetings (2): 1. 50% schematic design review; 2. 100% schematic design review for approval. • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the test fits • LOC confirms that this effort shall be completed in three weeks. • Concept design shall include up to three (3) meetings with City Staff to brainstorm and review potential layouts.
• Deliverables shall include up to three (3) schematic concept designs, with one final renderedconcept site plan and perspective drawing for fundraising and presentation purposes.

Design Development 12 weeks
• Upon the Owner’s approval of Schematic Design, LOC shall refine the design to include mo re detailed information i.e. refine location of furniture, walls, doors, windows per Owner’s comments.

Develop Site Plan, Floor Plans, Building sections, Exterior Elevations, and Schedules as necessary. • Prepare and present exterior and interior materia l and finish samples. Assist the Owners in selection. • Assist the Owners in selecting fixtures, appliances, door and window systems, and related hardware. • Typical construction details and equipment layout s shall be determined. • Deliverables (1): One set of design development documents. • Renderings: (3) conceptual electronic renderings updated to reflect material selection etc. • Meetings (2): 1. 50% design development review; 2. 100% design development review for approval. • Allowable Revisions: Any revisions that do not revisit approved decisions documented in the

City Council
15 –
68 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
47 schematic design documents.
•
• LOC confirms that this effort shall be completed in six weeks. • Deliverables shall include a 50% set of plans, including site section stu dies, draft specification, “Opinion of Probable Cost.”
Construction Documents 12 weeks
Develop thorough drawings required for City submittal and Bidding (Site Plan, Floor Plans, Electrical/ Lighting Plans, Interior and Exterior Elevations, Building Sections, Details) incorporating any structural or sub-consultant requirements that are intended for construction. • Establish in detail the quality level of materials and system used in the project. • Deliverables (2): 1. one set of permit submittal documents; 2. one set of bid documents. • Renderings: N/A
• Meetings (2): 1. 50% construction documents review; 2. 100% construction documents review for approval.
• Allowable Revisions: Any revisions that do not revisit approved decisions documented in the design development documents.
• LOC confirms that this effort shall be completed in twelve weeks. • Deliverables shall include 90% and 100% plans, structural calculations, CASP report, final technical specifications, finalized “Opinion of Probable Cost”.

Plan Check and Bidding (concurrent)
• Submit drawings for Plan Check review by the City of Los Angeles • Assist in bidding process, provide additional clarification/ information/ addenda as necessary. • Review and address City issued Plan Check corrections as well as any required departmental clearances.
• Obtain Ready to Issue certificate from the City.
• Deliverables (2): 1. plan check corrections as necessary; 2. Ready to Issue certificate • Renderings: N/A
• Meetings : N/A
• Allowable Revisions: Any revisions that do not revisit approved decisions documented in the approved construction documents.
• The duration of the plan check process is not entirely within the control of the Architect, but LOC shall make every effort to conclude it within the allotted time.

Construction Observation 52 weeks
• LOC shall visit the site once a week to ensure th at the project is being built in conformance with the Contract Documents.
• LOC shall respond to RFI’s and submittals in a ti mely fashion • LOC shall review and certify the amounts due the Contractor and shall issue certificates in such

BASE SCOPE INFORMATION

City Council
15 –
69 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
48 amounts.
• Deliverable: N/A
• Renderings: N/A
• Meetings (20): Weekly on-site OAC meeting
• Allowable Revisions: Any revisions necessary to accommodate unforeseen site conditions. • The duration of the construction process is not entirely within the control of the Architect, but LOC shall make every effort to assist the contractor in meeting scheduled milestones. •
•
• Plans: Plans shall include, but are not limited to the following:
•
• Title Sheet
• Civil Engineering
• o Site Erosion Plan
• o Horizontal and Vertical Control Plan
• o Grading and On-Site Drainage Plan
• o Site Utility Plan
• Landscape Architectural
• o Site Layout/Construction Plans and Details (including plumbing) • o Site Sections, as applicable
• o Planting Plans/Details/Notes
• o Irrigation Plans/Details/Calculations/Notes
• Architectural
• o Holding Facility Plans
• o Holding Facility Interior elevations, Finish schedule • o Roof Framing Plan
• o Reflected Ceiling Plan
• o Exterior Elevations
• o Interior Elevations
• o Mechanical and Plumbing Plans/T-24
• o Electrical Plans, as applicable
• o Architectural Details
• o Structural Calculations
• o Door/Window/Finish Schedules, as applicable
• Structural Engineering
• o Structural Design and Detailing
• Mechanical Engineering & Plumbing
• Electrical Engineering
• o Electrical Site Plan to include walkway lighting, irrigation.

City Council
15 –
70 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
49 • o Location of panels, switchgear, meters
• o Schedules
• o Details
• o Notes, specifications
•
• Plan Check & Permits:
• Construction drawings shall be in accordance with the 2022 California Building Code and will require review/approval by the City Planning and Building Agency. •
• As a condition of plan check approval, plans, speci fications and structural calculations must be signed by a California licensed architect / landscape archit ect /civil engineer/structural engineer as appropriate. Plans shall be organized so that they can be segregated cleanly for distribution to the various plan checking entities.
• Construction drawings shall be submitted at 90% completion for review by Public Works Design Engineering and Santa Ana Zoo staff and revised per their comments. The 100% complete construction drawing package will then be submitted for final City review to the following City Agencies:
• Parks, Recreation and Community Services Agency/Sa nta Ana Zoo • Planning and Building Agency
• Public Works Agency Design and Construction Engineering Divisions • The Public Works Agency Project Manager will coordinate th e submittal and review process. Once complete, the consultant will revise the Contract Documents •
• Final Opinion of Probable Cost
• Consultant shall provide updated opinion of probable construction cost which shall reflect finalized plans, materials, systems, details of construction, and known or anticipated changes in the bidding market relative to the project. Should project scope exceed available budget, project plans/specifications will be phased as appropriate.
•
• Task 5: Bid Advertisement, Construction Administra tion, Record Drawings:
•
• Bid Advertisement
• Consultant shall provide support to the City during the Bidding phase by assisting with questions, requests for information/clarification, or conflicts arising out of the bidding process. Consultant shall also attend pre-bid meeting, if scheduled.
• Construction Administration
• Consultant shall provide support to the City during the Construction Administration phase by assisting with questions, requests for information/clarification, and/or reviewing submittals. •
• Record Drawings / As-built Plans:
• Upon construction completion, consultant shall incorporate as-built information, as provided by the General Contractor, into the drawing files to provide record drawings for City archives

City Council
15 –
71 8/1/2023

CERTIFICATIONS

City Council
15 –
72 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
51 City Council
15 –
73 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
52 City of Santa Ana RFP
Page A3-2
Appendix
ATTACHMENT 3-2: NON-LOBBYING CERTIFICATION

CERTIFICATIONS

The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:

1. No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of 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
LOC Architects
Principal
03/22/2023
Poonam Sharma

City Council
15 –
74 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
53 City of Santa Ana RFP
Page A3-3
Appendix
ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION

CERTIFICATIONS

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

1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmat ive action to ensure that applicants are employed, and that employees are treated during e mployment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and se lection for training, including apprenticeship. The Consultant agrees to post in conspicuous p laces, available to employees and applicants for employment, notices to be provided se tting 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 c onsideration 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 notic e 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 avail able to employees and applicants for employment.

4. The Consultant shall comply with all provisions of Executive O rder 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 E xecutive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursua nt thereto, and will permit access to his/her books, records, and accounts by the admi nistering agency and the Secretary of Labor for purposes of investigation, to ascertain compl iance with such rules, regulations, and orders.

6. In the event of the Consultant’s non-compliance with the nondiscrim ination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be c anceled, terminated, or suspended in whole or in part and the Consultant may be declared ineli gible for further Government contracts or federally assisted construction contracts in accordance with pro cedures 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

City Council
15 –
75 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
54 City of Santa Ana RFP
Page A3-4

by rules, regulations, or orders of the Secretary of Labor issued purs uant 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 enforc ing 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 o r vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States.

8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended,

No discrimination shall be made in the employment of persons upon public works becaus e of race, religious creed, color, national origin, ancestry, physical handicap s, 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:

LOC Architects
03/22/2023
Principal

City Council
15 –
76 8/1/2023

LOC SANTA ANA ZOO
COMMUNITY HUB BUILIDNG “THE HIVE” RFP
March 23, 2023
Architects
55 Our experience in creating successful educational
environments working closely with small to
medium-sized institutions, in combination with
our agile and collaborative process, would
make LOC an ideal strategic partner in the
development of your campus.

We thank you for your consideration.

City Council
15 –
77 8/1/2023

EXHIBIT C

CONSULTANT’S FEE PROPOSAL
(including hourly rates if applicable)

City Council
15 –
78 8/1/2023

LOC
3203 E 4th St.

Los Angeles, CA 90063
213.537.0480
www.loc-arch.com

PRICING
Compensation
We propose to complete this effort for a not to exceed fee of Three Hundred and Fifty Thousand, One Hundred and Twenty Dollars ($350,120)
The fee breakdown is as follows:

Architect $156,000
Structural Engineer $30,000
MEP Engineer . $48,000
Civil Engineer $30,000
Landscape Architect $46,000
Geotechnical Engineering $9,560
Surveyor $5,240
Sub-consultants Subtotal $168,800
Markup (15%) $25,320
Total $350,120
In the event that the Owners authorizes an increase in the project scope or construction budget giving rise to a substantial increase in the Scope of Work, LOC has the right to renegotiate the fee on which this proposal is based. For work outside of the scope of this agreement, our hourly rate schedule is as follows:

Hourly Rate Schedule

Principal $175/hr
Designer II $110/hr
Designer I $90/hr

City Council
15 –
79 8/1/2023

LOC
3203 E 4th St.

Los Angeles, CA 90063
213.537.0480
www.loc-arch.com
Schedule
Completion of architectural services up to the conclusion of Construction Documents and the issuance of a Ready-to-Issue Building Permit is estimated at approximately 38 weeks, with interim milestones as described below. The Schedule is subject to revision based on any changes in the Scope of Work.

Schematic Design 6 weeks
Design Development8 weeks
Construction Documents12 weeks
Permitting / Bidding12 weeks
Construction Observation52 weeks
Payment Schedule
The Architectural fee shall be billed monthly based upon the following allocation per phase:

Schematic Design (15%) $23,400
Design Development (25%) $39,000
Construction Documents (35%) $62,400
Bidding (5%) $7,800
Construction Observation (20%) $23,400
Total Fee $156,000
Unless otherwise agreed to, payments for services shall be made monthly in proportion to services performed. Payments are due and payable upon presentation of the Architect's invoice.

Exclusions
The cost of sub-consultants necessary to complete this project not expressly included herein. Sub-consultants shall be engaged by and managed by LOC and shall be billed at a rate of 1.15 time the actual cost. Presentation quality models of the project are at the architect’s discretion unless specifically requested by the Owner as an Additional Service. Reproduction or other project related expenses, which shall be billed at a rate of

1.15 time the actual cost.

City Council
15 –
80 8/1/2023

State of California Natural Resources Agency
General Fund Specified Grant
AMENDMENT #1 TO GRANT AGREEMENT GF2107-0
GRANTEE NAME: City of Santa Ana
PROJECT TITLE: City Santa Ana Zoo and Park Projects
This amendment is hereby made and agreed upon by the State of California, acting through the Natural Resources Agency and by the City of Santa Ana pursuant to the above identified program. The State and Grantee, in mutual consideration of the promises made herein and in the agreement, of which this is an amendment, agree to the following:

Upda
te Exhibit A-1 Cost Estimate
In all other respects, the agreement and the terms and conditions if relevant thereto, shall remain in full force and effect. In witness whereof, the parties hereto have executed this amendment as of the date entered below.

CITY OF SANTA ANA ST ATE OF CALIFORNIA

NATURAL RESOURCES AGENCY
By By
Kristine Ridge
Title City Manager
Andrea Scharffer
Title Deputy Assistant Secretary
Date Date
CERT

IFICATION OF FUNDING

AMOUNT OF ESTIMATE

FUNDING AGREEMENT NUMBER FUND
$4,000,000.00 GF2107-0 0001– General Fund
ADJ. INCREASING
ENCUMBRANCE FI$Cal PO Number
$ 1342
ADJ. DECREASING

ENCUMBRANCE FUNCTION
$ Local Assistance

UNENCUMBERED BALANCE REF NUMBER FUND ENACTMENT

YEAR ACCOUNT NUMBER ALT ACCOUNT
$ 101 0001 2021 5432000 5432000000

PROGRAM PCBU PROJECT ACTIVITY RPTG

STRUCTURE SVC LOC AGENCY
USE
BUDGET
PERIOD
0320 0540 0540GF21070 21133 05400001 21133 2022
I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance __________________________________________________

SIGNATURE OF ACCOUNTING OFFICER
__________________________
DATE

DocuSign Envelope ID: 8B7C0318-7479-4B72-BDA1-6ADC2B2AFEAB 6/23/2023
6/26/2023
7/3/2023
7/3/2023
7/3/2023

City Council
15 –
81 8/1/2023

Exhibit A-1 - Revised
Amendment 1
Total
Original
General Fund
Grant
Cost
Estimate
Revision
Revised
General Fund
Grant
City of Santa
Ana Funds

1.1 Design Engineering (Planning) 150,125.00 115,125.00 234,995.00 350,120.00 35,000.00 Sub-total 150,125.00 115,125.00 234,995.00 350,120.00 35,000.00

2.1 Design Engineering (Planning) 194,895.00 115,125.00 88,965.00 204,090.00 79,770.00 Sub-total 194,895.00 115,125.00 88,965.00 204,090.00 79,770.00 Non-Construction Sub-total 345,020.00 230,250.00 323,960.00 554,210.00 114,770.00

3.1 Contractor Costs 1,535,000.00 1,535,000.00 (119,870.00) 1,415,130.00 -

3.2 Construction Engineering (Construction Management) 310,375.00 115,125.00 (115,125.00) - 195,250.00

3.3 Contingency 234,750.00 234,750.00 234,750.00 -
Sub-total 2,080,125.00 1,884,875.00 (234,995.00) 1,649,880.00 195,250.00

4.1 Contractor Costs 1,535,000.00 1,535,000.00 260,910.00 1,795,910.00 - 4,2 Construction Engineering (Construction Management) 175,605.00 115,125.00 (115,125.00) - 60,480.00

4.3 Contingency 324,750.00 234,750.00 (234,750.00) - 90,000.00 Sub-total 2,035,355.00 1,884,875.00 (88,965.00) 1,795,910.00 150,480.00 Construction Sub-total 4,115,480.00 3,769,750.00 (323,960.00) 3,445,790.00 345,730.00 Grand Total 4,460,500.00$ 4,000,000.00$ -$ 4,000,000.00$ 460,500.00$ City of Santa Ana
City of Santa Ana Zoo and Park Projects
GF2107-0
Exhibit A-1 Cost Estimate - Revised
Amendment 1
Project Elements
*Overhead costs are allowable and generally limited to 15% of total direct costs of the grant. In-service payroll may not include a “billable rate” or administrative cost allocation.
**All invoices and receipts for all project expenditures from all funding sources will be retained and made available in the event of any future State Audits.

1. Zoo Project: Planning, Design & Permitting

2. Park Playground Project: Planning, Design & Permitting

3. Zoo Project: Construction

4. Park Playground Project: Construction
DocuSign Envelope ID: 8B7C0318-7479-4B72-BDA1-6ADC2B2AFEAB

City Council
15 –
82 8/1/2023

CITY OF SANTA ANA FY 23/24CIP

CAPITAL IMPROVEMENT PROJECT WORKSHEET
PROJECT DESCRIPTION:

The project goal is a building including a flex space, classroom(s), and hub for community volunteers and education staff. The classrooms are flexible in design and layout to maximize their use potential throughout the day and year. The facility would use environmentally sustainable materials in its construction.

PROJECT NEED:

This facility serves as a reception area for school children coming to the zoo and is directly adjacent to the existing outdoor amphitheater.

Different sides of the building will open out to the general zoo area, the amphitheater, or staff and service areas.

PROJECT TITLE:

Santa Ana Zoo Educational Hub
PROJECT CATEGORY:

City & Park Facility Improvements
Park Facility

LOCATION MAP
DIVISION: CONTACT: DATE:AGENCY:

Public Works Agency CIP Engineering Gilbert Castillo, Senior Engineer 01-Aug-2023 PROJECT COSTS FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 Construction 1,614,880 - - - - - -
Contingency 35,000 - - - - - -
Engineering 230,250 - - - - - -
Planning 350,120 - - - - - -
TOTAL 2,230,250 - - - - - -
SOURCE OF FUNDS FY 23/24 FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 A & D District 3 230,250 - - - - - -

CA RESOURCES AGENCY
GRANT
2,000,000 - - - - - -
TOTAL 2,230,250 - - - - - -
EXHIBIT 3

City Council
15 –
83 8/1/2023

Human Resources
www.santa-ana.org/departments/human-resources/
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: Approve Amendment to the Agreement with Governmentjobs.com dba NEOGOV for Online Recruitment Services
AGENDA TITLE:

Approve Amendment to Agreement A-2021-090 with Governmentjobs.com dba NEOGOV to continue Recruitment and Onboarding Services (General Fund)

RECOMMENDED ACTION
Authorize the City Manager to execute a First Amendment to Agreement A-2021-090 with NEOGOV to continue the services of Insight platform, Candidate Text Messaging, and eSkill Integration for a period of July 1, 2023 through June 30, 2024 with the option of one, one (1)-year renewal, for an additional amount of $50,000 over the two years (approximately $25,000 each year), subject to non-substantive changes approved by the City Manager and City Attorney.

DISCUSSION
Staff recommends adopting an Amendment to the current Agreement with NEOGOV, the City’s vendor for applicant tracking, onboarding, and performance management services. The Amendment would expand Agreement A-2021-090 to include applicant tracking for the remaining term of the agreement, FY 2023-2024, and an option to renew for FY 2024-2025. This platform allows employees to transition from applicant to employee, complete required new hire forms online, and to provide employees information on benefit enrollment. It also helps staff with workflow processes and efficiency.

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

FISCAL IMPACT
The Amendment is for a one-year period from July 1, 2023 to June 30, 2024 with the option for one, one (1)-year renewal and an amount not to exceed $50,000 over the two years (approximately $25,000 each year). This will bring the total agreement amount to $152,452.28 (inclusive of the two above-referenced terms). $75,000 has been budgeted in the Human Resources Contract Services – Professional account (01109050-62300)

City Council
16 –
1 8/1/2023

Approve Amendment to Agreement with Governmentjobs.com Inc. dba NEOGOV August 1, 2023

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and the second year, if exercised, will be budgeted out of that account as well subject to City Council approval.

EXHIBIT(S)

1. Amendment to Agreement A-2021-090
Fiscal Impact
Verified By: Kathryn Downs, CPA, Executive Director of Finance and Manager Services
Submitted By: Jason Motsick, Executive Director of Human Resources Approved By: Kristine Ridge, City Manager

City Council
16 –
2 8/1/2023

City Council
16 –
3 8/1/2023

City Council
16 –
4 8/1/2023

City Council
16 –
5 8/1/2023

City Council
16 –
6 8/1/2023

City Council
16 –
7 8/1/2023

Human Resources Department
https://www.santa-ana.org/human-resources
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: Approve Changes to 2024 Employee Benefits
TITLE
Authorize the City to retain life, accidental death & dismemberment (AD&D), and long- term disability (LTD) insurance with The Standard Insurance Company, and approve Agreement with REACH Employee Assistance, Inc. for employee assistance program services effective January 1, 2024 through December 31, 2026.

RECOMMENDED ACTION
(1) Authorize the City to retain life, AD&D, and LTD disability group and voluntary life and AD&D insurances through The Standard Insurance Company, subject to annual competitive rate evaluation seeking the best service for the best price and non-substantive changes approved by the City Manager and City Attorney. (2) Authorize the City Manager to execute an Agreement with REACH Employee Assistance, Inc. (“REACH”) to continue employee assistance program (“EAP”) services effective January 1, 2024 through December 31, 2026, subject to annual competitive rate evaluation seeking the best service for the best price and non- substantive changes approved by the City Manager and City Attorney.

DISCUSSION
Along with competitive salaries, the City enhances employees’ total compensation package with City-sponsored and voluntary benefit programs. Each year staff initiates an evaluation of the City’s existing benefit plans in order to ensure that the City is receiving the best value as well as discover and evaluate other types of benefits that may be worth bringing into the City’s benefit package. Keenan, the City’s Benefits Broker, assisted in a market study to compare services to ensure that rates and coverages are competitive. City staff evaluated the options along with the employee demographics and needs and selected a mix of benefits for the next calendar year.

The Standard has offered a proposal to maintain existing coverage obligations with an estimated 46.72% combined savings compared to the existing agreement, with fee reductions of 50.98% for group life, 25.00% for group AD&D, and 26.83% for LTD coverages, with a rate guarantee of three (3) years. The Standard will also provide a one-time implementation credit of up $15,000 to assist with transition communications

City Council
17 –
1 8/1/2023

Approve Changes to 2024 Employee Benefits
AUGUST 1, 2023

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3 6
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and resources. Employee cost will remain the same to maintain existing coverages for voluntary life and AD&D coverages. The costs of the supplemental insurance benefits are born entirely by the employees who elect to participate in voluntary plans (as the City does not contribute monies toward additional voluntary coverage options). The Standard has an A (Excellent) rating.

Providing an EAP contributes to decreased absenteeism, reduced accidents, fewer workers compensation claims, greater employee retention, fewer labor disputes, and significantly reduced medical costs arising from early identification and treatment of individual mental health and substance use issues. The City has contracted with REACH to provide EAP services, which include licensed and certified employee assistance professionals that provide short-term counseling, assessment, and referral services. The City provides this invaluable service to all full- and part-time employees and their families as a City-sponsored benefit. REACH has offered a proposal to maintain existing monthly cost of $1.85 per full-time and $1.25 per part-time employee with a rate guarantee of three (3) years.

ENVIRONMENTAL IMPACT
The consideration and approval of the proposed action do not constitute a project under the California Environmental Quality Act.

FISCAL IMPACT
Both vendors have guaranteed these rates for the next three (3) years. The current fiscal year funding is available in the FY 23-24 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration.

Fiscal
Year
Accounting
Unit –
Account No
Fund Description Accounting Unit – Account
No. Description Amount
Agreement Term (January 1, 2024 through December 31, 2026) - Group Life Insurance, AD&D and LTD Coverage
2023-
24 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 105,500.00
2024-
25 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 211,000.00
2025-
26 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 211,000.00
2026-
27 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 105,500.00
TOTAL $ 633,000.00

City Council
17 –
2 8/1/2023

Approve Changes to 2024 Employee Benefits
AUGUST 1, 2023

Page 3 ends

3 6
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Fiscal
Year
Accounting
Unit –
Account No
Fund Description Accounting Unit – Account
No. Description Amount
Agreement Term (January 1, 2024 through December 31, 2026) - EAP 2023-
24 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 13,000.00
2024-
25 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 26,000.00
2025-
26 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 26,000.00
2026-
27 08109053-
64010
Employee Group
Insurance
Employee Group Insurance-
Insurance payment $ 13,000.00
TOTAL $ 78,000.00

EXHIBIT(S)

1. Agreement with REACH
Fiscal Impact
Verified By: Kathryn Downs, CPA, Executive Director of Finance and Manager Services
Submitted By: Jason R. Motsick, Executive Director of Human Resources Approved By: Kristine Ridge, City Manager

City Council
17 –
3 8/1/2023

REACH EMPLOYEE ASSISTANCE PROGRAM

SERVICES AGREEMENT
This Employee Assistance Program Services Agreement is made and entered into as of 1st day of January, 2024, between REACH Employee Assistance, Inc. (hereinafter referred to as “REACH”), a California corporation, 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 (hereafter referred to as “City”.)

WHEREAS REACH is engaged in the Employee Assistance Program Services business and desires to service City; and

WHEREAS City desires to obtain the Employee Assistance Program Services of REACH.

IT IS THEREFORE AGREED AS FOLLOWS: This is a contract for service outlining the duties and responsibilities of REACH Employee Assistance, Inc., to the City of Santa Ana.

1. Scope of Services

REACH will provide Assessment/Counseling/Referral for Employees and Dependents. A total assessment will be administered for a well- rounded analysis of the client’s problem.

Employees and immediate family members are entitled to up to three (3) sessions per incident every six (6) months. REACH provides professional assessment/counseling to the point of referring the client to an outside counseling professional or agency. In addition, REACH provides follow -up consultation. The number of sessions offered, within this limit, will be at the sole discretion of the REACH counseling staff.

The City will be assigned a REACH liaison person. REACH provides quality, experienced counselors knowledgeable in assessment skills to provide personal counseling to employees and immediate family members. REACH also provides qualified and experienced staf f to assist management on all aspects of Employee Assistance Program. Dr Marcus Dayhoff is administratively, operationally and clinically responsible for REACH.

2. Confidentiality and Release of Information

As a general rule REACH shall not disclose to the City the identity of City employees or immediate family members of City employees who elect to participate in the REACH Program offered under this Agreement. In particular, any report consisting of any of the following information: 1) diagnosis; 2) summary of treatment of therapeutic procedures 3) disabilities, limitations of employee (except for whether the employee can perform the essential functions of the employee’s job with the City); and 4) recommendations on further treatment shall be consi dered confidential information not subject to disclosure by REACH unless the City employee has on file with REACH and any treatment service provider in the REACH Program an irrevocable authorization(s), RELEASE OF INFORMATION to the City. On receipt of the City's request for the above information, REACH shall notify in writing, the City employee of the City's request.

City Council
17 –
4 8/1/2023

Notwithstanding the above, REACH shall release to the City in writing the following information on employees who have been referred into the REACH Program as a condition of employment with the City:

A) Whether employee has agreed to participate in the Assistance Program.

B) List of all appointments of employee kept and missed, together with reason, if any, for missing the appointment.

C) Submission of the employee’s anticipated treatment plan as a participant in the Program.

This plan shall consist of the following:

1) The anticipated number of visits, appointments, or sessions requested of the employee.

2) The type of therapeutic procedures in general terms that the employee is to receive during the employee's participation with the REACH Program or the treatment provider(s).

3) Description of the treatment service provider the employee is referred to by REACH.

4) Any other information not contained in the employee's treatment service provider medical record deemed appropriate by the City to evaluate the employee's participation in the Assistance Program.

D) Any conclusion or opinion of REACH or employee's treatment service provider that the employee is limited or restricted in his/her ability to perform the employee's job duties, such limitation may be, but not necessary, limited to physical, psychological, or medical reasons.

E) Any conclusion or opinion of REACH or employee's treatment service provider that employee's participation may necessitate employee's absence from the City.

F) That employee has failed, refused, or otherwise has discontinued to proceed with the REACH Program or any treatment service provider.

NOTE: The City agrees that in cases where an employee agrees to be referred by management to REACH, the Supervisor will seek written permission from the employee to inform REACH of the circumstances leading up to the referral.

The C ity agrees to in no way insist or demand confidential information from the REACH program on specific individuals who do not want their information released to the City.

Service Providers: Exceptions will also be made in cases when the employee and/or immediate family members sign a written release authorizing the release of information by REACH to one or more agreed upon service providers.

2 City Council
17 –
5 8/1/2023

3 3. Definitions

a. “Client” shall mean an employee or his/her immediate family member participating in the REACH EAP program.
b. “Treatment Service Providers” or “Service Providers” shall mean an outside counseling professional or agency, referred by REACH, whose services will be paid by the client.

4. Counseling Hours

REACH provides counseling hours from 8:00 a.m. to 8:00 p.m. Monday through Thursday, Friday 8:00 to 5:00 p.m. and will respond appropriately and effectively to employee needs.

Every attempt will be made to see management referrals and employees in crisis as early as possible to the time of call and no later than 24 hours (during business hours) of the call being made. All other clients will be seen within 48 hours of the call being made.

The City agrees to provide REACH with names and telephone numbers of liaison individual(s) at the City who can be contacted in cases of emergencies and keep REACH appraised of changes in contacts and telephone numbers.

5. 24-Hour Availability, 7 days a week

REACH provides confidential intake and psycho- social assessment and counseling to the point of referral to employees and their immediate family members with a 24 hour telephone service. REACH assures that no calls go unanswered and that all crisis callers receive courteous and prompt service. During non- business hours, all calls answered by the REACH answering service will be connected to the on-call counselor. The REACHline number is 1-800-273-5273.

6. Location

Employees and family members will have a choice of counseling either at one of our several conveniently located offices or at one of our service provider's office.

7. Referral Network

When necessary, REACH will refer employees and dependents to appropriate, cost effective, geographically convenient and high quality services provided by individuals and agencies which have been screened by our staff.

City Council
17 –
6 8/1/2023

4 8. Monitoring/Follow-up

REACH will monitor and follow -up as long as appropriate all people referred by the REACH program to outside individuals and community resources to assure the problem is resolved and that the person is satisfied with the quality of referrals. In cases of ma nagement referrals, REACH will also follow-up regularly with the City on status of job performance.

9. Service Utilization Reports

REACH will provide quarterly confidential reports on service utilization, aggregate client profiles, assessed problems and outcome at case closure. Customer satisfaction reports will be available upon request by the City.

10. Benefits

The City agrees to provide REACH with copies of all the City employee benefit plans and appraise REACH of all changes as they occur.

11. Avoiding Conflict of Interest

REACH agrees to avoid conflict of interest by providing up to three (3) referrals to clients based on competency, geography and the most cost effective modality to deal with the client's problem(s). No referrals will be made to the private practices of REACH counseling staff members or to any private practitioner and/or agency with whom a REACH counselor has an economic relationship. Only the City can make exceptions to this rule.

12. Alcoholism and Chemical Dependency Intervention Services

REACH provides job related alcoholism and chemical dependency intervention services as required.

13. Policy and Procedure

The City agrees to consider implementing a policy and procedure statement on employee assistance when appropriate. REACH will provide technical assistance to the City staff in writing a policy and procedure statement on employee assistance.

14. Training

REACH will provide Management and Supervisory training sessions annually. It is recommended that no more than 25 managers/supervisors attend each session. The purpose of these training sessions is to make managers and supervisors aware of City employee assistance program policy and procedures, of how to identify poor job performance as it relates to personal problems

City Council
17 –
7 8/1/2023

5 and to familiarize them with the processes of referrals and follow-up. The effectiveness of each training session will be evaluated.

15. Management Guidelines

REACH supplies on request Management and Supervisor Employee Assistance Program guidelines for inclusion in City personnel management guidelines.

16. Manager/Supervisor Consultation and Assistance

REACH will assist managers and supervisors calling REACHline for consultation on how to deal with specific employee incidents or problems, which may require EAP intervention. The City agrees to encourage managers and supervisors to take advantage of this consultation service.

17. Program Promotion

The City agrees to support REACH in developing a yearly EAP program promotion plan.

a. EAP orientation classes for employees in groups of up to 50 will be available to the City as a means of introducing City EAP policy and procedures and utilization of REACH services.

b. "Munch & Learn" presentations will be conducted periodically upon request by the City, at City locations to maximize utilization of REACH services.

c. REACH brochure & REACHline cards will be supplied to the City for distribution to all employees.

d. REACH Frontline will be electronically supplied to the City quarterly for distribution to all supervisors.

e. REACHline.com will be available for online use to all employees and family members. Employees will be supplied a password as mentioned on REACH employee brochure for online secure area access.

f. REACHline Posters will be supplied from time to time to the City for posting on official staff bulletin boards.

g. Originals of promotional materials for inclusion as short articles in internal staff newsletter or as check stuffers will be supplied upon request by the City.

h. REACH staff will participate at the City's employee benefit fair upon request.

City Council
17 –
8 8/1/2023

6 i. REACH will assist with drafting of any EAP related materials to announce REACH services to employees.

18. Quality

REACH conducts on-going quality assurance audits on all aspects of the program from inception to end of the contract year. REACH will supply the City with quarterly reports.

19. City’s Understanding

a. Top management support and commitment is essential to the success of the REACH Employee Assistance Program at the City of Santa Ana.

b. REACH is a totally confidential program. The City will only be aware of employees referred officially by management and information about that employee will not be released without written consent of the employee.

c. REACH will not, in all cases, be able to resolve the employee's or dependent's problem(s) in the set number of counseling sessions. In such cases the employee or family member will be referred to quality, cost effective resources available within the community.

d. Employees and dependents will not be charged for the services provided by REACH. If referrals are necessary, those referrals may result in additional cost to the City's benefit plan and may result in added costs to the employee or family member.

e. The REACH program is made available to all full- and part-time employees and their dependents. The REACH benefit starts on the first day of employment.

f. It is anticipated that the yearly employee utilization rate will be a minimum of 6-8%.

The REACH promotional program will aim at achieving at least this utilization rate.

III. TERMS AND CONDITIONS

1. The Agreement period will be from January 1, 2024 to December 31, 2026.

2. The total cost to the City for the services to be provided to the City and its employees by REACH under this Agreement shall be $1.85 per full time employee per month, and $1.25 per part time employee per month. While the number of persons employed by the City may fluctuate from time to time during the term of this Agreement, the City agrees the amount of compensation payable to REACH during the term of the Agreement shall be based on the number of persons employed by the City at the beginning of the month invoiced for.

City Council
17 –
9 8/1/2023

7 3. The City will be invoiced on the first of each month for that month's installment. Checks will be made payable to REACH Employee Assistance, Inc. and mailed to 650 N. Rose Drive, #350, Placentia, CA 92870 - Attn.: Accounts Receivable.

4. The City will make payment within 30 days from the date of the receipt of the invoice from REACH Employee Assistance, Inc.

5. REACH Employee Assistance, Inc. agrees to indemnify, defend, and hold harmless the City, its officers, employees, agents and representatives, from any and all claims, demands, purported liability, or consequential damages of any kind or nature arising out of or in connection with REACH's acts or omissions in carrying out the terms of this Agreement or exercising the rights herein granted; excepting those claims, demands, purported liability, or consequential damages which arise out of the sole negligence of City.

6. REACH agrees to maintain during the course of this Agreement the following insurance coverage:

a. Comprehensive general liability insurance coverage, including personal injury and contractual liability coverage, in an amount equal to One Million Dollars ($1,000,000.00) per occurrence, combined single limit;

b. Worker's Compensation insurance as required by State of California statutes;

c. Professional liability insurance with a One Million Dollar ($1,000,000.00) limit, per occurrence. REACH agrees to keep such policy in force and effect for at least five (5) years from the date of completion of this Agreement.

Also, the City of Santa Ana, its officers, agents and employees will be named as additional insured on the above referred comprehensive general liability coverage and REACH will provide an endorsement to that effect. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self -insurance programs maintained by the City; and (c) contain standard separation of insured’s provisions. Such insurance will be evidenced by certificate and issued by companies licensed to do business in California and acceptable to the City. Before REACH performs any work, it will furnish certificates of insurance and endorsements, as required by City, evidencing the aforementioned general liability, and professional liability insurance coverages on forms acceptable to the City which shall provide that the insurance in force not be canceled or modified without 30 days prior written notice to the City.

In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney’s fees and costs against REACH by way of set-off or recoupment from the sums due REACH, at City’s option; (b) im mediately terminate this Agreement; or (c) self insure the risk, with all damages and costs incurred, by judgment,

City Council
17 –
10 8/1/2023

8 settlement or otherwise, including attorney’s fees and costs, being collectible from REACH, by way of set-off or recoupment from any sums due REACH.

7. No Assignment

REACH shall not assign or transfer this Agreement or any rights hereunder without the prior written consent of the City and approval by the City’s City Attorney, which may be withheld in the City’s sole discretion. Any unauthorized assigned or transfer shall be null and void and shall constitute a material breach by REACH of its obligations under this Agreement. No assignment shall release the original parties or otherwise constitute a notation.

8. Compliance With All Laws

REACH shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof.

9. Attorney’s Fees

If any action at law or in equity is brought to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney’s fees, costs and necessary disbursements in addition to the relief to which such party may be entitled.

10. Interpretation

a. Applicable Law and Choice of Forum. This Agreement, and the rights and duties of the parties hereunder (both procedural and substantive), shall be governed by and construed according to the laws of the State of California, with venue regarding any claims or controversial arising out of or related to performance under this Agreement in Orange County.

b. Entire Agreement. This Agreement, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). To the extent there is any conflict or inconsistency between the terms and provisions of this Agreement and the exhibits attached hereto, the terms and provisions of this Agreement shall govern the rights and obligations the parties hereto.

c. Written Amendment. This Agreement may only be changed by written amendment signed by REACH and the City Manager of the City or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Agreement shall be of no force or effect.

City Council
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11 8/1/2023

9 d. Severability. If any provisions of this Agreement is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Agreement, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Agreement.

e. Order of Precedence. In case of conflict between the terms of this Agreement and the terms contained in any document attached as an exhibit or otherwise incorporated by reference, the terms of this Agreement shall strictly prevail.

11. Time is of The Essence

Time is strictly of the essence of this Agreement and each and every covenant, term and provision hereof.

12. Authority of REACH

REACH hereby represents and warrants to the City that REACH has the right, power, legal capacity and authority to enter into and perform its obligations under this Agreement, and its execution of this Agreement has been duly authorized.

13. Notices

Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Santa Ana or any other City department is not adequate notice.

To City: City Clerk
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax 714- 647-6956

Copies to: Executive Director of Human Resources
City of Santa Ana
20 Civic Center Plaza (M-24)
P.O. Box 1988
Santa Ana, California 92702
Fax 714- 647-6930

City Council
17 –
12 8/1/2023

10 City Attorney
City of Santa Ana
20 Civic Center Plaza (M-29)
P.O. Box 1988
Santa Ana, California 92702
Fax 714- 647-6515

If to REACH: REACH Employee Assistance, Inc.
101 East Lincoln Avenue, Suite 230
Anaheim, CA 92805
Attn.: Dr. Marcus Dayhoff
Fax: 714-533-5700

Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party.

14. Termination Without Cause

The City or REACH may terminate this Agreement in whole or in part at any time, for any cause or without cause, upon sixty (60) calendar days’ written notice to the other. If the Agreement is thus terminated by the City for reasons other than REACH’s failure to perform its obligations, the City shall pay REACH a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be REACH’s exclus ive remedy for termination without cause.

15. Default

In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Agreement by written notice to the defaulting party. The notice shall specify the basis for the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice.

Termination for cause shall relieve the terminating party of further liability or responsibility under this Agreement, including the payment of money, except for payment of services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of (1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance.

16. Equal Employment Opportunity

During the performance of this Agreement, REACH agrees as follows:

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11 a. REACH shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, national origin or mental or physical disability, or any other protected category prohibited by state or federal law.

REACH will ensure that applicants are employed and that employees are treated during employment, without regard to race, color, religion, sex, national origin or mental or physical disability. Such actions shall include, but not limited to the following:
employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation and selection training, including apprenticeship. REACH agrees to post in conspicuous pla ces, available to all employees and applicants for employment, a notice setting forth provisions of this non- discrimination clause.

b. REACH shall, in all solicitations and advertisements for employees placed by, or on behalf of REACH, state that all qualified applicants will receive consideration for employment without regard to race, age, color, religion, sex, national origin, or mental or physical disability.

c. REACH shall cause the foregoing paragraphs (a) and (b) to be inserted in all subcontracts for any work covered by this Agreement, provided that the foregoing provisions shall not apply to subcontracts for standard commercial supplies or raw materials.

19. Conflict of Interest

REACH hereby represents, warrants and certifies that no member, officer or employee of REACH is a director, officer or employee of the City, or a member of any of its boards, commissions or committees, except to the extent permitted by law.

(Signatures on Following Page)

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

ATTEST: CITY OF SANTA ANA

JENNIFER HALL KRISTINE RIDGE
City Clerk City Manager

APPROVED AS TO FORM: REACH Employee Assistance, Inc.

SONIA R. CARVALHO
City Attorney

By: By:

Laura A. Rossini Marcus Dayhoff
Chief Assistant City Attorney CEO & Clinical Director

RECOMMENDED FOR APPROVAL:

Jason Motsick

JASON MOTSICK
Executive Director
Human Resources

Signature:

Email:

[email protected]

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Human Resources
www.santa-ana.org/human-resources
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs

AGENDA TITLE
Approve Renewal of Joint Powers Authority Agreement between the City of Santa Ana and Independent Cities Risk Management Authority (ICRMA), and Agreement between the City of Santa Ana and Arthur J. Gallagher and Approve Appropriation, Associated Insurance Premiums, Costs, Programs, and Regulatory Fees for an Amount Not to Exceed $11,625,000 (Non-General Fund)

RECOMMENDED ACTION

1. Authorize the City Manager to approve the Agreement between the City of Santa Ana (“City”) and Arthur J. Gallagher, broker of record, from July 1, 2023 to June 30, 2024, for insurance brokerage services, subject to non-substantive changes approved by the City Manager and City Attorney.

2. Authorize the City Manager to approve payment of insurance premiums and associated programs to ICRMA in an amount not to exceed $7,500,000 protection of City assets, from July 1, 2023 to June 30, 2024 including but not limited to:
a. Excess Liability Program
b. Excess Workers’ Compensation Program
c. Auto Physical Damage Program
d. Property and Equipment Program
e. Crime Program
f. Cyber Program
g. Associated Programs

3. Authorize the City Manager to approve payment of insurance premiums to Arthur J.

Gallagher, Broker, in an amount not to exceed $3,325,000 for ancillary coverages of City’s assets, from July 1, 2023 to June 30, 2024 including but not limited to:
a. General Liability Buffer Program
b. Workers’ Compensation Buffer Program
c. Earth Movement & Flood and Difference in Coverage Program d. Terrorism Insurance Program
e. Underground Storage Tank and Environmental Program

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ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023

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4. Authorize the City Manager to approve funding to cover FY 2023/24 City Special Events Insurance for events including but not limited to Fourth of July fireworks show, winter events, and other City-sponsored events as created and held, in an amount not to exceed $300,000.

5. Authorize the City Manager to approve the City’s obligation to pay the State of California DIR estimated assessment in the amount not to exceed $500,000.

6. Approval of the Appropriation Adjustment will recognize $1,300,000 in Liability and Property Insurance Revenue, Prior Year Carryforward revenue account (No. 08009002-50001) and appropriate the same amount into the Liability & Property insurance account (No. 08009051-64010). (Requires five affirmative votes)

DISCUSSION
Staff is recommending renewal with ICRMA, a joint powers authority formed in 1980 in accordance with California Government Code Section 6500. ICRMA’s purpose is to provide: 1) excess and re-insurance to protect members from extensive financial debt due to large claims, settlements, and judgments, 2) group insurance purchasing power that can offer broader coverage at a lower cost, 3) rate stability, and 4) protect individual member cities through pooling of losses and self-insurance. ICRMA also offers to its members actuarial services, appraisal services, loss control assessments and recommendations, safety trainings, claims audits, contract risk transfer consultation, and other services and resources. Currently comprised of 14 California cities, Santa Ana joined ICRMA in July 2019.

For this renewal period:
•The City’s Workers’ Compensation coverage experienced an increase of approximately thirteen percent (13%).
•The City’s Liability and Property premiums increased approximately twenty-one percent (21%).
•The City’s Cyber experienced a 10% decrease in premium along with enhanced coverages.

Cost of insurance continues to increase primarily due to the following ongoing reasons:

1. An insurance market with continually decreasing excess carriers willing to quote municipal government entities in California, primarily those with Police departments;

2. A continuing rise in jury awards and settlement amounts;

3. A rising amount of ADA claims in both cyber and physical environments;

4. The continual rise in frequency of vehicle collisions and costs for repair and replacement of damaged vehicles, property, and equipment;

5. Aging City infrastructure including sidewalks, streets, and buildings; and

6. Increasing instances of sexual molestation and abuse.

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ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023

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QUOTED & ESTIMATED PREMIUMS & FEES
WORKERS’ COMPENSATION COVERAGES FY 2021/22 FY 2022/23 FY 2023/24 Excess Pool Workers’ Compensation
Program $ 298,553 $ 345,678 $ 415,464 Excess Workers’ Compensation
Buffer $ 240,118 $ 257,356 $ 264,085 Total $ 538,671 $ 603,034 $ 679,549 Percent Change -7% 12% 13%
LIABILITY AND PROPERTY COVERAGES FY 2021/22 FY 2022/23 FY 2023/24 Excess Pool Liability Program $ 3,936,181 $ 5,123,142 $ 6,070,925 Auto Physical Damage Program $ 119,215 $ 129,488 $ 145,108
Property & Equipment Program $ 472,724 $ 485,380 $ 593,557 Crime Program $ 11,914 $ 14,233 $ 15,394 Cyber Program $ 66,441 $ 111,964 $ 100,445 Excess Liability Buffer $ 993,265 $ 1,233,321 $ 1,743,398 DIC Earth Movement & Flood $ 985,856 $ 1,126,819 $ 1,283,147 Terrorism $ 12,330 $ 13,164 $ 13,723 Underground Storage Tanks-
Environmental $ 10,157 $ 11,112 $ 12,761 Total $ 6,608,083 $ 8,248,623 $ 9,978,458 Percent Change 69% 25% 21%
FY 2021/22 FY 2022/23 FY 2023/24
City Special Events Insurance $ 300,000
State of California DIR $ 500,000
Total $ 11,458,007

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

FISCAL IMPACT
The recommended action includes appropriating $1.3 million of the General Liability fund balance. The following table compares the most recent actuarial valuation for claims liability to the estimated fund balances in the Workers Compensation and General Liability funds. Actuarial estimates of the liability are more than the City has on deposit.

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ICRMA JPA Renewal / Broker Agreement / Associated Premiums and Costs August 1, 2023

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Workers Compensation General Liability
Actuarial Valuation as of
June 30, 2023
$44,631,000 $26,456,000
Estimated fund balance as
of June 30, 2023
$16,739,939 $14,190,056
Estimated Shortfall $27,891,061 $12,265,944
After appropriation adjustment, the following table summarizes the funds budgeted and available for estimated premium and administrative costs.

Fiscal
Year
Accounting Unit
– Account No
Fund
Description
Accounting Unit –
Account No.

Description
Amount
2023-24 08209054-64010
Workers
Compensation
Workers
Compensation,
Insurance Payment
$ 1,300,000
2023-24 08009051-64010
Liability &
Property
Insurance
Liability & Property
Insurance, Insurance
Payment
$ 9,036,300

APPROPRIATION ADJUSTMENT
2023-24 08009051-64010 Liability &
Property
Insurance
Liability & Property
Insurance, Insurance
Payment
$ 1,300,000
Total: $ 11,636,300

EXHIBIT(S)

1. Agreement with Arthur J. Gallagher Insurance Brokers of California, Inc. For Insurance Broker Services, Client Service Agreement
Submitted By: Jason Motsick, Executive Director Human Resources Approved By: Kristine Ridge, City Manager

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AGREEMENT FOR CONSULTANT SERVICES BETWEEN
CITY OF SANTA ANA AND ARTHUR J. GALLAGHER RISK

MANAGEMENT SERVICES LLC

INSURANCE BROKER SERVICES
THIS AGREEMENT is made and effective as of August 1, 2023 between the City of Santa Ana, a municipal corporation (hereinafter referred to as “City"), and Arthur J. Gallagher Risk Management Services LLC, a Delaware limited liability company (hereinafter referred to as "Consultant"). City and Consultant are also referred to collectively as “ the Parties” or singularly as a “Party.” In consideration of the mutual covenants and conditions set forth herein, the Parties agree as follows:

1. TERM
This Agreement shall commence on August 1, 2023, and shall remain and continue in effect until tasks described herein are compl eted, but in no event later than August 31, 2026 unless sooner terminated pursuant to the provisions of this Agreement. The Parties acknowledge that Consultant has been providing services since July 1, 2023. This Agreement can be canceled by either Party with thirty (30) days written notice to the other Party.

2. SERVICES
Consultant shall perform insurance brokerage services for the placement of the City of Santa Ana’s insurance programs as outlined in Exhibit A.

3. PERFORMANCE
Consultant shall at all times faithfully, competently and to the best of his or her ability, experience, and talent, perform all tasks described herein. Consultant shall employ, at a minimum, generally accepted sta ndards and practices utilized by persons engaged in providing similar services as are required of Consultant hereunder in meeting its obligations under this Agreement.

4. PAYMENT
a. The City agrees to pay Consultant for insurance premiums invoiced for insurance placements.
b. Consultant will submit invoices for insurance premiums. Invoices shall be submitted once insurance coverage is bound. Payment shall be made within thirty (30) days of receipt of each invoice as to all non-disputed fees. If the City disputes any of Consultant's fees, it shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice.

5. LEGAL RESPONSIBILITIES
The Consultant shall keep itself informed of all local, State and Federal ordinances, laws and regulations which in any manner affect those employed by it or in any way affect the performance of its service pursuant to this Agreement. The Consultant shall at all times observe and comply with all such ordinances, laws and regulations. The City, and its officers

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and employees, shall not be liable at law or in equity occasioned by failure of the Consultant to comply with this section.

6. RELEASE OF INFORMATION

a. All information gained by Consultant in performance of this Agreement shall be considered confidential and shall not be released by Consultant without City's prior written authorization. Consultant, its officers, employees, agents or subcontractors, shall not without written authorization from Risk Manageme nt Department or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories or other information concerning the work performed under this Agreement or relating to any project or property located within the City. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives City notice of such court order or subpoena.
b. Consultant shall promptly notify City should Consultant, its office rs, employees, agents or subcontractors be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions or other discovery request, court order or subpoena from any party regarding this Agreement and the work performed there under or with respect to any project or property located within the City. City retains the right, but has no obligation, to represent Consultant and/or be present at any deposition, hearing or similar proceeding. Cons ultant agrees to cooperate fully with City and to provide City with the opportunity to review any response to discovery requests provided by Consultant. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.

7. NOTICES
Any notices which either party may desire to give to the other party under this Agreement must be in writing and may be given either by (i) personal service, (ii) delivery by a reputable document delivery service, such as but not limited to, Federal Express, that provides a receipt showing date and time of delivery, or (iii) mailing in the United States Mail, certified mail, postage prepaid, return receipt requested, addressed to the address of the party as set for th below or at any other address as that party may later designate by Notice. Notice shall be effective upon delivery to the addresses specified below or on the third business day following deposit with the document delivery service or United States Mail as provided above.

Mailing Address: City of Santa Ana
20 Civic Center Plaza, M-28
Risk Management, 4th Floor
Santa Ana, CA 92701
AND

City Clerk
City of Santa Ana
20 Civic Center Plaza, M-30
Santa Ana, CA 92702

To Consultant: Arthur J. Gallagher & Co., Insurance Brokers of California., Inc.

Susan J. Blankenburg
San Francisco, CA 94111
415-536-8417
[email protected]

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8. ASSIGNMENT

The Consultant shall not assign the performance of this Agreement, nor any part thereof, nor any monies due hereunder, without prior written consent of the City. Upon termination of this Agreement, Consultant's sole compensation shall be paym ent for actual services performed up to, and including, the date of termination or as may be otherwise agreed to in writing between the City Council and the Consultant.

9. LICENSES

At all times during the term of this Agreement, Consultant shall have in full force and effect, all licenses required of it by law for the performance of the services described in this Agreement.

10. GOVERNING LAW

The City and Consultant understand and agree that the laws of the State of California shall govern the rights, obligations, duties and liabilities of the parties to this Agreement and also govern the interpretation of this Agreement. Any litigation concerning this Agreement shall take place in the municipal, superior, or federal district court with geographic jurisdiction over the City of Santa Ana. In the event such litigation is filed by one party against the other to enforce its rights under this Agreement, the prevailing party, as determined by the Court's judgment, shall be entitled to reasonable attorney fees and litigation expenses for the relief granted.

11. ENTIRE AGREEMENT

This Agreement contains the entire understanding between the parties relating to the obligations of the parties described in this Agreement. All prior or contemporaneous agreements, understandings, representations and statements, oral or written, are merged into this Agreement and shall be of no further force or effect. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material.

12. AUTHORITY TO EXECUTE THIS AGREEMENT

The person or persons executing this Agreement on behalf of Consultant warrants and represents that he or she has the authority to execute this Agreement on behalf of the Consultant and has the authority to bind Consultant to the performance of its obligations hereunder. The Risk Management Department is authorized to enter into an amendment on behalf of the City to make the following non-substantive modifications to the agreement: (a) name changes; (b) extension of time; (c) non-monetary changes in scope of work; (d) agreement termination.

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed the day and year first above written.

CITY OF SANTA ANA Arthur J. Gallagher & Co.

By: By:

Kristine Ridge
City Manager Michael Gallagher, Area President
ATTEST:

By:

Jennifer Hall
City Clerk
APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney
By:

Laura A. Rossini CONSULTANT
Chief Assistant City Attorney Arthur J. Gallagher & Co.

Susan J. Blankenburg
1255 Battery Street, Suite 450
San Francisco, CA 94111
(415) 536-8417
[email protected]
PM Initials:

Date:

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CLIENT SERVICE AGREEMENT

EXHIBIT A

The following outlines Services provided by Gallagher over the term of this Agreement:

 Use its best efforts to secure the following lines of insurance coverage on Client's behalf:

o List of Insurance Placements:
 Underground Storage Tanks
 Excess Liability (Buffer)
 Excess Workers' Compensation (Buffer)
 Terrorism
 Difference in Conditions (Earth Movement & Flood)

 Work with Client to prepare comprehensive underwriting data and criteria for insurance carrier negotiations.

 Formally present coverage submissions to agreed upon insurance carrier(s) and negotiate terms on behalf of Client.

 Summarize the results of executing the marketing strategy developed with Client and communicate program recommendations.

 Provide consultation to Client on exposures, existing coverage, and the desirability and/ or feasibility of potential program changes, retention and data analysis as recommended by Gallagher.

 Request change endorsements, when requested by the Client or when otherwise necessary, ensuring accuracy and delivery in a timely manner.

 Administration of insurance program (only if applicable), including policy review and issuance, invoicing, coordination and/ or issuance of required documentation, i.e., certificates of insurance, and other program administration, as required by the Client.

 Review accounting and billing data; audit information from insurance carriers to ensure accuracy.

 Other Services:
o Risk Control Services
o Loss control consultation and claim advocacy
o Certificate Tracking

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Police Department
www.santa-ana.org/police
Item # 19
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: FY 2022 Department of Justice Office on Violence Against Women Grant Funds

AGENDA TITLE
Appropriation Adjustment and Memorandum of Understanding Accepting Fiscal Year (FY) 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program Funds

RECOMMENDED ACTION

1. Approve an appropriation adjustment recognizing $210,000 in grant revenue from the U.S. Department of Justice Grants and appropriate same to the Office on Violence Against Women Improving Criminal Justice Response expenditure account (Requires five affirmative votes).

2. Authorize the City Manager to execute a Memorandum of Understanding with Human Options, Inc. accepting the FY 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant in the amount of $210,000, for the period of October 1, 2022 through September 30, 2025, subject to non-substantive changes approved by the City Manager and City Attorney.

DISCUSSION
The United States Department of Justice Office on Violence Against Women solicited grant applications for the FY 2022 Improving Criminal Justice Response to Domestic Violence, Dating Violence, Sexual Assault, and Stalking grant program, which implements certain provisions of the Federal Violence Against Women Act. The program enhances victim safety and offender accountability in cases of sexual assault, domestic violence, dating violence, and stalking by encouraging jurisdictions to implement pro-arrest policies as an effective intervention that is part of a coordinated community response. An integral component of the Improving Criminal Justice Responses program is the creation and enhancement of collaborative partnerships between criminal justice agencies, victim services providers, and community organizations which respond to sexual assault,
domestic violence, dating violence, and stalking.

In April 2022, Human Options, in collaboration with the Santa Ana Police Department,

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FY 2022 Department of Justice Office on Violence Against Women Grant Funds August 1, 2023

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submitted a grant application to the United States Department of Justice Office on Violence Against Women and was later awarded $500,000 for the period performance of October 1, 2022 through September 30, 2025. Human Options is the lead agency for this program and the Santa Ana Police Department is the criminal justice agency partner that will investigate domestic violence cases. The Santa Ana Police Department was awarded $210,000 for its partnership efforts.

In partnership with Human Options, the Santa Ana Police Department will use this award to assist with the implementation of the Collaborative's project, specifically, by providing funds for police officer overtime and training. Special Crimes/Domestic Violence detectives, investigators, and police officers from the Santa Ana Police Department will investigate domestic violence cases, update cases in the Police Department’s Report Management System, and assist with the mobile domestic violence response team comprised of a Human Options domestic violence advocate and a Santa Ana Special Crimes detective or police officer.

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

FISCAL IMPACT
Approval of the appropriation adjustment will recognize $210,000 in the Department of Justice Grants revenue account (no. 12714002-52001) and appropriate same to the Office on Violence Against Women Improving Criminal Justice Response expenditure accounts for projected expenditures as follows:

Fiscal
Year
Accounting Unit
– Account No. Fund Description
Accounting Unit –
Account No.

Description
Amount
FY 22-23 12714406-61040 Department of
Justice Grants
OVW-Improving
Criminal Justice
Response,
Overtime
$ 20,000
FY 23-24 12714406-
Various
Department of
Justice Grants
OVW-Improving
Criminal Justice
Response, Various
$ 95,000
FY 24-25 12714406-
Various
Department of
Justice Grants
OVW-Improving
Criminal Justice
Response, Various
$ 85,500
FY 25-26 12714406-61040 Department of
Justice Grants
OVW-Improving
Criminal Justice
Response,
Overtime
$ 9,500
Total $210,000

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The amount shown above for FY 2022-23 represents an estimated total of overtime costs spent by the Police Department on domestic violence cases during the first nine months of the grant performance period. Any remaining balances not expended at the end of each fiscal year will be presented to City Council for approval of carryovers to the subsequent fiscal year.

EXHIBIT(S)

1. MOU with Human Options
Submitted By: David Valentin, Police Chief
Approved By: Kristine Ridge, City Manager

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037 Memorandum of Understanding Page 1 of 10

MEMORANDUM OF UNDERSTANDING BETWEEN
Human Options, Inc., and the City of Santa Ana
WHEREAS, this 1st day of August 2023, Human Options, Inc. (Human Options), a domestic violence victim service provider, and The City of Santa Ana, a California Municipal Corporation, have come together to collaborate on a grant proposal and application for the FY 2022 Improving Criminal Justice Responses to Sexual Assault, Domestic Violence, Dating Violence, and Stalking Grant Program; and WHEREAS the applican t a nd partner below have agreed to enter int o a partne rship in which Human Options will be the lead agency and The City of Santa Ana will be a partner; and WHEREAS the partners herein, collectively referred to as the Domestic Violence Response Team (DVRT), agree to enter into a Memorandum of Understanding (MOU) setting forth the services to be provided by the project partners using the information obtained during the planning phase outlined in the FY 2022 ICJR Solicitation; and WHEREAS, the applicati on prepare d a nd approve d by the CDVRC throug h it s partne rs was selected for funding by the Offic e on Violence Against Women on September 23, 2022; The parties, therefore, agree as follows that this MOU stands as evidence that Human Options and The City of Santa Ana, partners in this collaborative, have consulted and coordinated in a meaningful way and intend to work together as partners to develop and deliver integrated services Exhibit 1

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 2 of 10

to strengthen legal advocacy and other victim services for victims of domestic violence, dating violence, sexual assault, and stalking, including strengthening assistance to such victims in immigration matters (Purpose Area 5).

1. Partner Agency Information
Human Options (Applicant) is a private nonprofit organization specializing in domestic violence victim services. Incorporated in 1981, Human Options provides domestic violence services throughout Orange County, California. Human Options’ mission statement is as follows:

We ignite social change by educating Orange County to recognize relationship violence as an issue that threatens everyone, advocating for those affected by abuse, extending a safe place for victims, and empowering survivors on their journey of healing.

Human Options has evolved from a small grassroots effort into a large nonprofit organization that provides comprehensive domestic violence prevention and victim services, including 24 -hour bilingual domestic violence hotline counseling, a continuum of housing options for victims of domestic violence and their children, legal advocacy, mental health counseling, children’s therapeutic services, prevention education, and professional training programs. Human Options is well-regarded in Orange County and California as a leader in the domestic violence movement and a catalyst for progressive, collaborative, trauma -informed, and empowering services that improve the safety and well-being of families and communities affected by domestic violence.

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 3 of 10

Human Options is dedicated to serving unserved and underserved victims of domestic violence.

To increase access to its services, Human Options has established a network of community-based services offered in multiple locations, including nine family resource centers throughout Orange County. Each year, Human Options responds to 5,300 calls for assistance through its hotline and walk-in centers and serves 450 domestic violence survivors through its shelter and transitional housing programs, 1,450 people through its community-based programs, and 11,000 community members through community education. Human Options is the only domestic violence service provider with offices in Santa Ana.

The City of Santa Ana (partner) Founded in 1869, the City of Santa Ana is in Southern California, 10 miles from the California coast, in central Orange County. The city utilizes a council-manager system of local government to govern its 335,052 residents.

The City of Santa Ana’s mission is:

To d eliver efficient public services in partnership with our community , which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents.

The City of Santa Ana’s 5-year vision:

By 2025, Santa Ana honors its rich cultural history as it becomes a thriving urban center with welcoming green spaces and world-class amenities, services, and infrastructure. The efficient and financially stable City government will further diversify Santa Ana’s housing and economy,

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Memorandum of Understanding Page 4 of 10

increase the community’s safety, and support programs and services that enhance residents’ quality of life.

The Santa Ana Police Department (SAPD)
The SAPD is a community-oriented police department committed to high-quality services, innovative leadership, and problem prevention through highly trained and professional employees in modern facilities using the latest technology. Our values act as the guideline for the discretionary use of police powers and are the basis by which employee actions are evaluated.

History of the Collaborative Relationship
Human Options has a long and productive history of collaboration with the Santa Ana city government and the SAPD on a variety of projects related to domestic violence. From 2009 to 2012, the City of Santa Ana provided Emergency Service grant funding for Human Options’ domestic violence shelter. Human Options has also received numerous Santa Ana Community Development Block Grants for emergency housing for victims of domestic violence. In 2015 - 2016, the City of Santa Ana granted Human Options funding to educate youth and parents about teen dating violence and healthy relationships. Human Options also has a standing MOU with the City of Santa Ana and SAPD, established in 2001, to provide services to victims of domestic violence. Through this MOU, the SAPD links domestic violence victims to Human Options’ 24 - hour emergency hotline so that hotline advocates can assess victim needs and assist in providing immediate shelter or referrals to victims. Human Options and SAPD have also historically cross -

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 5 of 10

referred victims and participated in community-based projects through two family resource centers in Santa Ana.

In 2014 the City of Santa Ana adopted a five-year Strategic Plan, which addressed community needs related to domestic violence and sexual assault. In support of the strategic plan, the SAPD developed several initiatives to promote education and services to domestic violence and sexual assault victims. Each initiative involved a partnership with nonprofit, community, or government agencies. In 2016, the City of Santa Ana, SAPD, and Human Options collaborated to prepare an application for an Office on Violence Against Women (OVW) FY 2016 Improving Criminal Justice Response (ICJR) Grant to launch the DVRT. That application was awarded a three-year grant, beginning on October 1, 2016, and ending on September 30, 2019. In 2019, Human Options, the City of Santa Ana, and SAPD applied for renewal funding for this project and were again awarded a three-year grant, beginning on October 1, 2019, and ending on September 30, 2022. Human Options, the City of Santa Ana, and SAPD came together to prepare this application in April 2022 to sustain and enhance the existing ICJR project.

2. Roles and Responsibilities.

Each partner agrees to participate in the Domestic Violence Response Team , as outlined below.

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 6 of 10

As the lead agency, Human Options, Inc. will receive compensation from this grant over the three-year grant period and commit to the following roles and responsibilities to ensure the success of the project:
• Serve as fiscal and project lead.
• Allocate Chief Operations Officer (with leveraged funds) to oversee Grant and budget management, project reporting, and adherence to state, federal, and funder policies. • Allocate Legal Advocacy Program Manager (.05 FTE) to oversee the project, facilitate project meetings, liaise with SAPD, ensure excellence in client services, ensure tracking of project activities for reports and progress evaluation, coordinate participation in required training and technical assistance (TAT), attend required program orientation, and supervise the Legal Advocate; assist with streamlining shelter intake to expedite victim access to shelter during a police response, attend project meetings, and supervise the Domestic Violence Advocate (DVA).
• Allocate a Legal Advocate (.50 FTE) to provide bilingual legal services, including legal needs assessments, application assistance, court accompaniment, safety planning, education, and referrals to victims of domestic violence. • Allocate a DVA (.5 FTE) to provide bilingual victim services (including in-person advocacy during DVRT (Domestic Violence Response Team) response, advocacy for walk-in clients at SAPD, and follow-up advocacy), participate in project meetings, and document services as required for reports.

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 7 of 10

• Allocate a Staff Therapist (.24 FTE) to provide bilingual, trauma-informed, and culturally competent mental health counseling to victims.
• Utilize an MSW Intern (using leveraged funds) to assist with walk-in clients and follow- up advocacy at SAPD, individual counseling and support groups at SAPD and/or a Santa Ana based Family Resource Center.
• Provide emergency shelter and/or safety net for victims of domestic violence and their children (with leveraged funds).
• Comply with OVW and VAWA (Violence Against Women Act) safety standards to ensure that project staff does not engage in activities that compromise victim safety.

As a collaborating, funded agency , the City of Santa Ana will receive compensation from this Grant for fiscal year 2022 -23 not to exceed $70,000.00, for fiscal year 2023 -24 not to exceed $70,000.00, and for fiscal year 2024-2025 not to exceed $70,000.00, up to $210,000 over the three- year grant period (based on timely billing and spend -down). Funds not expended by the City of Santa Ana will be reallocated to the project based on project need s. The City of Santa Ana commits to the following roles and responsibilities to ensure the success of this project:
• Assign one Domestic Violence Corporal or Sergeant to serve on the project oversight team, attend project oversight meetings, attend required OVW training and project orientation, work collaboratively to address obstacles preventing victim access to the criminal justice system, investigate domestic violence cases, supervise the police officers,

City Council
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10 8/1/2023

Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 8 of 10

corporals, and detectives assigned to the DV (Domestic Violence) Car, and participate in data collection and progress reporting as required by OVW (no designated FTE will utilize overtime funds for meetings).
• Assign SAPD police officers, corporals, and detectives to the DV Car on an overtime basis to team up with an advocate from Human Options to respond to domestic violence calls, and to investigate domestic violence cases.
• Provide space in the SAPD facility to outstation a DVA at the SAPD to assist domestic violence-related walk-ins, and complete follow-up calls with victims encountered during ride-alongs.
• Coordinate with Human Options to schedule DVRT ride-along shifts and ensure that SAPD officers staffing the DV Car have received domestic violence training. • Refer domestic violence victims to the DVA for follow-up victim advocacy services. • Train the DVA on SAPD domestic violence response protocols, safety procedures, and other relevant topics.
• Complete training and begin implementing the Domestic Violence Lethality Screen for First Responders to better identify and respond to highly lethal cases. • Comply with OVW and VAWA safety standards to ensure that project staff does not engage in activities that compromise victim safety.
• Maintain statistical records and expenses and provide Human Options with expenses in grant funds in invoices and include all necessary supporting documents. The City of

City Council
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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 9 of 10

Santa Ana shall submit invoices to Human Options not more often than monthly and not less frequently than quarterly for allowable costs. Invoices shall be reimbursed within forty-five (45) days of receipt. Reimbursement of funds shall not exceed the allocated grant amount, as indicated in the approved OVW ICJR Budget.

3. Term
Although pending review, once Human Options receives clearance to proceed with respect to the budget for the grant, the term of this MOU will be as follows: Performance Period and Budget Period for the grant will be deemed to have commenced since the last funding cycle, or October 1, 2022, and, the Performance Period and Budget Period for this grant will end on September 30, 2025. Once approved, the City will be permitted to seek reimbursement for expenses incurred in connection with this grant commencing on October 1, 2022.

4. Commitment to Partnership.
1) The service area includes the City of Santa Ana.
2) The partners agree to collaborate and strengthen legal advocacy service programs and other victim services fo r victims of domestic violence , including strengthening assistance to victims in immigration matters pursuant to the Project Description in the grant Award and subject to the conditions and limitations set forth , attached hereto as Exhibit A.
3) Compensation for each p artner’s contribution to this project will be provided , as outlined in the attached OVW budget detail worksheet, attached hereto as Exhibit B.

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Human Options/OVW Improving Criminal Justice Responses OVW-2022-171037

Memorandum of Understanding Page 10 of 10

4) We, the undersigned, have read and agree with this Memorandum of Understanding.

Further, we have reviewed the proposed project and proposed budget, and have approved it.

By:

For Human Options (Lead Agency authorized Representative):
_______________________________________________________________ MARICELA RIOS-FAUST Date
Chief Executive Officer
Human Options, Inc.

For CITY OF SANTA ANA (Required Partner):
______________________________________________________________ JENNIFER L. HALL, City Clerk Date

_____________________________________________________________ KRISTINE RIDGE, City Manager Date

APPROVED AS TO FORM:

SONIA R. CARVALHO, City Attorney

_____________________________________________________________ TAMARA BOGOSIAN, Senior Assistant City Attorney Date

RECOMMENDED FOR APPROVAL:
_____________________________________________________________ DAVID VALENTIN, Chief of Police Date

City Council
19 –
13 8/1/2023

6/18/23, 9:49 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProces… 1/2 This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.

Recipient Name

HUMAN OPTIONS, INC
UEI
XC3EL4FAP817
Street 1
5540 TRABUCO RD STE100
Street 2
City
IRVINE
State/U.S. Territory
California
Zip/Postal Code
92620
Country
United States
County/Parish
——
Province
——
Federal Award Date
9/23/22
Award Type
Initial
Award Number
15JOVW-22-GG-01808-ICJR
Supplement Number
00 Federal Award Amount
$500,000.00
Funding Instrument Type
Grant
Award Letter
Award Information
Recipient Information
Award Details

EXHIBIT A

City Council
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16.590 Grants to Encourage Arrest Policies and Enforcement of Protection Orders Program
34 U.S.C. §§ 10461-10465
I have read and understand the information presented in this section of the Federal Award Instrument.

Assistance Listing NumberAssistance Listings Program Title Statutory Authority
Project Information
Financial Information
Other Award Documents
Award Conditions
Award Acceptance

City Council
19 –
15 8/1/2023

6/18/23, 9:49 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProces… 1/2 This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.

Solicitation Title
2022 OVW Fiscal Year 2022 Improving Criminal
Justice Responses to Domestic Violence,
Dating Violence, Sexual Assault, and Stalking
Grant Program Solicitation
Application Number
GRANT13598889
Awarding Agency
OVW
Grant Manager Name

LASHONDE BEASLEY
Phone Number
202-353-5498
E-mail Address
[email protected]
Project Title
Santa Ana Coordinated Domestic Violence Response
Performance Period Start
Date
10/01/2022
Performance Period End
Date
09/30/2025
Budget Period Start Date
10/01/2022
Budget Period End Date
09/30/2025
Project Description
The Improving Criminal Justice Responses to Domestic Violence, Dating Violence, Sexual Assault, and Stalking Grant Program is authorized by 34 U.S.C. §§ 10461-10465 and implemented through regulations at 28 C.F.R. Part 90, Subpart D. The program fosters victim safety and offender accountability in cases of domestic violence, dating violence, sexual assault, and stalking by encouraging state, local, and tribal governments and courts to work collaboratively with community Award Letter
Award Information
Project Information

City Council
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16 8/1/2023

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https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProces… 2/2 partners to identify problems and share ideas that will result in effectively responding to these crimes. An integral component of this program is the development, revitalization, or enhancement of a coordinated community response that brings together criminal justice agencies, victim services providers, and community-based organizations that respond to domestic violence, dating violence, sexual assault, and stalking.

The grantee, in collaboration with its project partners, will use this continuation award to continue improving the jurisdiction’s criminal justice system response to domestic violence, dating violence, sexual assault, and stalking. Specifically, the project will: 1) implement activities focused on victim safety and offender accountability; 2) participate in mandated OVW training and technical assistance; and 3) work toward sustainability of project activities.

I have read and understand the information presented in this section of the Federal Award Instrument.

Financial Information
Other Award Documents
Award Conditions
Award Acceptance

City Council
19 –
17 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 1/12 This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.

Requirements of the award; remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award. Compliance with any assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award.

By signing and accepting this award on behalf of the recipient, the authorized recipient official accepts all material requirements of the award, and specifically adopts, as if personally executed by the authorized recipient official, all assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance.

Failure to comply with any one or more of these award requirements -- whether a condition set out in full below, a condition incorporated by reference below, or an assurance or certification related to conduct during the award period -- may result in the Office on Violence Against Women (OVW) taking appropriate action with respect to the recipient and the award. Among other things, OVW may withhold award funds, disallow costs, or suspend or terminate the award. DOJ, including OVW, also may take other legal action as appropriate.

Any materially false, fictitious, or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 U.S.C. 1001 and/or 1621, and/or 34 U.S.C. 10271-10273), and also may lead to imposition of civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. 3729-3730 and 3801- 3812).

Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law. Should it be held, instead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award.

Applicability of Part 200 Uniform Requirements and DOJ Grants Financial Guide The recipient agrees to comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C.F.R. Part 200, as adopted and supplemented by the Department of Justice (DOJ) in 2 C.F.R. Part 2800 (together, the "Part 200 Uniform Requirements"), and the current edition of the DOJ Grants Award Letter
Award Information
Project Information
Financial Information
Other Award Documents
Award Conditions
1 2

City Council
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Requirement to report potentially duplicative funding
If the recipient currently has other active awards of federal funds, or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which funds are provided under this award. If so, the recipient must promptly notify OVW in writing of the potential duplication, and, if so requested by OVW, must seek a budget-modification or change-of-project-scope Grant Award Modification (GAM) to eliminate any inappropriate duplication of funding.

Requirements related to System for Award Management and unique entity identifiers The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https://www.sam.gov. This includes applicable requirements regarding registration with SAM, as well as maintaining current information in SAM.

The recipient also must comply with applicable restrictions on subawards (subgrants) to first-tier subrecipients (subgrantees), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier assigned by SAM.

The details of the recipient's obligations related to SAM and to unique entity identifiers are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Requirements related to System for Award Management (SAM) and unique entity identifiers), and are incorporated by reference here.

Requirement to report actual or imminent breach of personally identifiable information (PII) The recipient (and any subrecipient at any tier) must have written procedures in place to respond in the event of an actual or imminent breach (as defined in OMB M-17-12) if it (or a subrecipient)-- 1) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of personally identifiable information (PII) (as defined in 2 C.F.R. 200.1) within the scope of an OVW grant-funded program or activity, or 2) uses or operates a Federal information system (as defined in OMB Circular A-130). The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an OVW Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach.

Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and OVW authority to terminate award)
The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements (including requirements to report allegations) pertaining to prohibited conduct related to the trafficking of persons, whether on the part of recipients, subrecipients (subgrantees), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient. 3 4
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City Council
19 –
19 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 3/12 The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OVW authority to terminate award)), and are incorporated by reference here.

Determinations of suitability to interact with participating minors This condition applies to this award if it is indicated in the application for the award (as approved by DOJ) (or in the application for any subaward at any tier), the DOJ funding announcement (solicitation), or an associated federal statute that a purpose of some or all of the activities to be carried out under the award (whether by the recipient or a subrecipient at any tier) is to benefit a set of individuals under 18 years of age.

The recipient, and any subrecipient at any tier, must make determinations of suitability before certain individuals may interact with participating minors. This requirement applies regardless of an individual's employment status. The details of this requirement are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award condition: Determination of suitability required, in advance, for certain individuals who may interact with participating minors), and are incorporated by reference here.

Compliance with applicable rules regarding approval, planning, and reporting of conferences, meetings, trainings, and other events
The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable laws, regulations, policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverages at such conferences, and costs of attendance at such conferences.

Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears on the OVW website at https://www.justice.gov/ovw/conference-planning.

OVW Training Guiding Principles
The recipient understands and agrees that any training or training materials developed or delivered with funding provided under this award must adhere to the OVW Training Guiding Principles for Grantees and Subgrantees, available at https://www.justice.gov/ovw/resources-and-faqs-grantees#Discretionary.

Effect of failure to address audit issues
The recipient understands and agrees that OVW may withhold award funds, or may impose other related requirements, if (as determined by OVW) the recipient does not satisfactorily and promptly address outstanding issues from audits required by the Part 200 Uniform Requirements (or by the terms of this award), or other outstanding issues that arise in connection with audits, investigations, or reviews of DOJ awards.

Potential imposition of additional requirements
The recipient agrees to comply with any additional requirements that may be imposed by OVW during the 7 8
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Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 42, specifically including any applicable requirements in Subpart E of 28 C.F.R. Part 42 that relate to an equal employment opportunity program.

Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 38 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 38.

Among other things, 28 C.F.R. Part 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice. Part 38 also sets out rules and requirements that pertain to recipient and subrecipient (subgrantee) organizations that engage in or conduct explicitly religious activities, as well as rules and requirements that pertain to recipients and subrecipients that are faith-based or religious organizations.

Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 The recipient, and any subrecipient (subgrantee) at any tier, must comply with all applicable requirements of 28 C.F.R. Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." Restrictions on "lobbying" and policy development
In general, as a matter of federal law, federal funds may not be used by the recipient, or any subrecipient (subgrantee) at any tier, either directly or indirectly, in support of the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government, in order to avoid violation of 18 U.S.C. 1913. The recipient, or any subrecipient (subgrantee) may, however, use federal funds to collaborate with and provide information to federal, state, local, tribal and territorial public officials and agencies to develop and implement policies and develop and promote state, local, or tribal legislation or model codes designed to reduce or eliminate domestic violence, dating violence, sexual assault, and stalking (as those terms are defined in 34 U.S.C. 12291(a)) when such collaboration and provision of information is consistent with the activities otherwise authorized under this grant program.

Another federal law generally prohibits federal funds awarded by OVW from being used by the recipient, or any subrecipient at any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award. See 31 U.S.C. 1352. Certain exceptions to this law apply, including an exception that applies to Indian tribes and tribal organizations.

Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OVW for guidance, and may not proceed without the express prior written approval of OVW. 12 13
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Reporting potential fraud, waste, and abuse, and similar misconduct The recipient and any subrecipients (subgrantees) must promptly refer to the DOJ Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has, in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act; or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct.

Potential fraud, waste, abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by-- (1) online submission accessible via the OIG webpage at https://oig.justice.gov/hotline/contact-grants.htm (select "Submit Report Online"); (2) mail directed to: U.S.

Department of Justice, Office of the Inspector General, Investigations Division, ATTN: Grantee Reporting, 950 Pennsylvania Ave., NW, Washington, DC 20530; (3) by facsimile directed to the DOJ OIG Fraud Detection Office (Attn: Grantee Reporting) at (202) 616-9881 (fax).

Additional information is available from the DOJ OIG website at https://oig.justice.gov/hotline.

Restrictions and certifications regarding non-disclosure agreements and related matters No recipient or subrecipient (subgrantee) under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information.

The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information.

1. In accepting this award, the recipient--
a. represents that it neither requires nor has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency.

2. If the recipient does or is authorized under this award to make subawards (subgrants), procurement contracts, or both--
a. it represents that--
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City Council
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b. it certifies that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency.

Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal; notice to employees) The recipient (and any subrecipient at any tier) must comply with, and is subject to, all applicable provisions of 41 U.S.C. 4712, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal grant.

The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U.S.C. 4712.

Should a question arise as to the applicability of the provisions of 41 U.S.C. 4712 to this award, the recipient is to contact OVW for guidance.

Encouragement of policies to ban text messaging while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg. 51225 (October 1, 2009), DOJ encourages recipients and subrecipients (subgrantees) to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and to establish workplace safety policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers.

Requirement to disclose whether recipient is designated high risk by a federal grant-making agency outside of DOJ
If the recipient is designated high risk by a federal grant-making agency outside of DOJ, currently or at any time during the course of the period of performance under this award, the recipient must disclose that fact and certain related information to OVW by email to [email protected]. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the recipient's past performance, or other programmatic or financial concerns with the recipient. The recipient's disclosure must include the following: (1) the federal awarding agency that currently designates the recipient high risk; (2) the date the recipient was designated high risk; (3) the high-risk point of contact at that federal awarding agency (name, phone number, and email address); and (4) the reasons for the high-risk status, as set out by the federal awarding agency.
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6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 7/12 Availability of general terms and conditions on OVW website The recipient agrees to follow the applicable set of general terms and conditions that are available at https://www.justice.gov/ovw/award-conditions. These do not supersede any specific conditions in this award document.

Compliance with statutory and regulatory requirements
The recipient agrees to comply with all relevant statutory and regulatory requirements, which may include, among other relevant authorities, the Violence Against Women Act of 1994, P.L. 103-322, the Violence Against Women Act of 2000, P.L. 106-386, the Violence Against Women and Department of Justice Reauthorization Act of 2005, P.L. 109-162, the Violence Against Women Reauthorization Act of 2013, P.L. 113-4, the Omnibus Crime Control and Safe Streets Act of 1968, 34 U.S.C. 10101 et seq., and OVW's implementing regulations at 28 C.F.R. Part 90.

Compliance with solicitation requirements
The recipient agrees that it must be in compliance with requirements outlined in the solicitation under which the approved application was submitted, the applicable Solicitation Companion Guide, and any program- specific frequently asked questions (FAQs) on the OVW website (https://www.justice.gov/ovw/resources- and-faqs-grantees). The program solicitation, Companion Guide, and any program-specific FAQs are hereby incorporated by reference into this award.

VAWA 2013 nondiscrimination condition
The recipient acknowledges that 34 U.S.C. 12291(b)(13) prohibits recipients of OVW awards from excluding, denying benefits to, or discriminating against any person on the basis of actual or perceived race, color, religion, national origin, sex, gender identity, sexual orientation, or disability in any program or activity funded in whole or in part by OVW. Recipients may provide sex-segregated or sex-specific programming if doing so is necessary to the essential operations of the program, so long as the recipient provides comparable services to those who cannot be provided with the sex-segregated or sex-specific programming.

The recipient agrees that it will comply with this provision. The recipient also agrees to ensure that any subrecipients (subgrantees) at any tier will comply with this provision.

Misuse of award funds
The recipient understands and agrees that misuse of award funds may result in a range of penalties, including suspension of current and future funds, suspension or debarment from federal grants, recoupment of monies provided under an award, and civil and/or criminal penalties.

Limitation on use of funds to approved activities
The recipient agrees that grant funds will be used only for the purposes described in the recipient's application, unless OVW determines that any of these activities are out of scope or unallowable. The recipient must not undertake any work or activities that are not described in the recipient's application, award documents, or approved budget, and must not use staff, equipment, or other goods or services paid 22 23
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City Council
19 –
24 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 8/12 for with grant funds for such work or activities, without prior written approval, via Grant Award Modification (GAM), from OVW.

Non-supplantation
The recipient agrees that grant funds will be used to supplement, not supplant, non-federal funds that would otherwise be available for the activities under this grant.

Confidentiality and information sharing
The recipient agrees to comply with the provisions of 34 U.S.C. 12291(b)(2), nondisclosure of confidential or private information, which includes creating and maintaining documentation of compliance, such as policies and procedures for release of victim information. The recipient also agrees to comply with the regulations implementing this provision at 28 CFR 90.4(b) and "Frequently Asked Questions (FAQs) on the VAWA Confidentiality Provision (34 U.S.C. 12291(b)(2))" on the OVW website at https://www.justice.gov/ovw/resources-and-faqs-grantees. The recipient also agrees to ensure that all subrecipients (subgrantees) at any tier meet these requirements.

Activities that compromise victim safety and recovery or undermine offender accountability The recipient agrees that grant funds will not support activities that compromise victim safety and recovery or undermine offender accountability, such as: procedures or policies that exclude victims from receiving safe shelter, advocacy services, counseling, and other assistance based on their actual or perceived sex, age, immigration status, race, religion, sexual orientation, gender identity, mental health condition, physical health condition, criminal record, work in the sex industry, or the age and/or sex of their children; procedures or policies that compromise the confidentiality of information and privacy of persons receiving OVW-funded services; procedures or policies that impose requirements on victims in order to receive services (e.g., seek an order of protection, receive counseling, participate in couples' counseling or mediation, report to law enforcement, seek civil or criminal remedies, etc.); procedures or policies that fail to ensure service providers conduct safety planning with victims; project design and budgets that fail to account for the access needs of participants with disabilities and participants who have limited English proficiency or are Deaf or hard of hearing; or any other activities outlined in the solicitation or companion guide under which the application was submitted.

Policy for response to workplace-related incidents of sexual misconduct, domestic violence, and dating violence
The recipient, and any subrecipient at any tier, must have a policy, or issue a policy within 270 days of the award date, to address workplace-related incidents of sexual misconduct, domestic violence, and dating violence involving an employee, volunteer, consultant, or contractor. The details of this requirement are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Policy for response to workplace-related sexual misconduct, domestic violence, and dating violence), and are incorporated by reference here.

Termination or suspension
The Director of OVW, upon a finding that there (1) has been substantial failure by the recipient to comply with applicable laws, regulations, and/or the terms and conditions of the award or relevant solicitation, (2) 28 29
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32 City Council
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25 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 9/12 has been failure by the recipient to make satisfactory progress toward the goals, objectives, or strategies set forth in the application, or (3) have been project changes proposed or implemented by the recipient to the extent that, if originally submitted, the application would not have been selected for funding, will terminate or suspend until the Director is satisfied that there is no longer such failure or changes, all or part of the award, in accordance with the provisions of 28 C.F.R. Part 18, as applicable mutatis mutandis. The federal regulation providing uniform rules for termination of grants and cooperative agreements is 2 C.F.R. 200.340.

Semiannual and final performance progress report submission The recipient agrees to submit semiannual performance progress reports that describe activities conducted during the reporting period, including program effectiveness measures. Reports must be submitted throughout the project period, even if no funds were spent and no activities were conducted in a given reporting period. Delinquent reports may affect future discretionary award decisions and may lead to suspension and/or termination of the award.

The information that must be collected and reported to OVW can be found in the reporting form associated with the grant program or initiative under which this award was made. Performance progress reports must be submitted within 30 days after the end of the reporting periods, which are January 1 - June 30 and July 1 - December 31. Recipients are required to submit their reports through the Justice Grants System, unless and until OVW issues updated instructions for report submission. The final report is due 90 days after the end of the project period and should be marked "final" in the Report Type field.

Quarterly financial status reports
The recipient agrees that it will submit quarterly financial status reports (the SF 425 Federal Financial Report) to OVW in the Justice Grants System, not later than 30 days after the end of each calendar quarter.

The final report shall be submitted not later than 90 days following the end of the award period. Delinquent reports may affect future discretionary award decisions and may lead to suspension and/or termination of the award.

Program income
Program income, as defined by 2 C.F.R. 200.1, means gross income earned by the non-federal entity that is directly generated by a supported activity or earned as a result of the federal award during the period of performance. Without prior approval from OVW, program income must be deducted from total allowable costs to determine the net allowable costs. In order to add program income to the OVW award, the recipient must seek approval from its program manager via a budget modification Grant Award Modification (GAM) prior to generating any program income. Any program income added to the federal award must be used to support activities that were approved in the budget and follow the conditions of the OVW award. Any program income approved via budget modification GAM must be reported in the recipient's quarterly Federal Financial Report SF-425 in accordance with the addition alternative. If the program income amount changes (increases or decreases) during the project period, it must be approved via a budget modification GAM by the end of the project period. If the budget modification is not submitted and approved, it could result in audit findings for the recipient.

FFATA reporting subawards and executive compensation
The recipient agrees to comply with applicable requirements to report first-tier subawards (subgrants) of $30,000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients of award funds. Such data will be submitted to the Federal Funding Accountability and Transparency Act of 2006 (FFATA) Subaward 33 34
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City Council
19 –
26 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzPro… 10/12 Reporting System (FSRS). The details of recipient obligations, which derive from FFATA, are posted on the OVW website at https://www.justice.gov/ovw/award-conditions (Award Condition: Reporting Subawards and Executive Compensation), and are incorporated by reference here.

Changes to MOU and/or IMOA
The recipient agrees to submit for OVW review and approval any anticipated addition of, removal of, or change in collaborating partner agencies or individuals who are signatories of the Memorandum of Understanding and, if applicable, the Internal Memorandum of Agreement.

Submission of all materials and publications
The recipient agrees to submit to OVW one copy of all materials and publications (written, web-based, audio-visual, or any other format) that are funded under this award not less than twenty days prior to distribution or public release. If the materials are found to be outside the scope of the program, or in some way to compromise victim safety, the recipient will need to revise the materials to address these concerns or the recipient will not be allowed to use award funds to support the development or distribution of the materials.

Publication disclaimer
The recipient agrees that all materials and publications (written, web-based, audio-visual, or any other format) resulting from award activities shall contain the following statement: "This project was supported by Grant No. __________________ awarded by the Office on Violence Against Women, U.S. Department of Justice. The opinions, findings, conclusions, and recommendations expressed in this publication/program/exhibition are those of the author(s) and do not necessarily reflect the views of the U.S.

Department of Justice." The recipient also agrees to ensure that any subrecipient at any tier will comply with this condition.

Copyrighted works
Pursuant to 2 C.F.R. 200.315(b), the recipient may copyright any work that is subject to copyright and was developed, or for which ownership was acquired, under this award. OVW reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use the work, in whole or in part (including in the creation of derivative works), for federal purposes, and to authorize others to do so.

OVW also reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use, in whole or in part (including in the creation of derivative works), any work developed by a subrecipient (subgrantee) of this award, for federal purposes, and to authorize others to do so.

In addition, the recipient (or subrecipient, contractor, or subcontractor of this award at any tier) must obtain advance written approval from the OVW program manager assigned to this award, and must comply with all conditions specified by the program manager in connection with that approval, before: 1) using award funds to purchase ownership of, or a license to use, a copyrighted work; or 2) incorporating any copyrighted work, or portion thereof, into a new work developed under this award.

It is the responsibility of the recipient (and of each subrecipient, contractor, or subcontractor as applicable) to ensure that this condition is included in any subaward, contract, or subcontract under this award. 37 38
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City Council
19 –
27 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProc… 11/12 Grantee orientation - mandatory attendance
First-time recipients, or continuation recipients if requested, must agree to have key staff members, as identified by OVW, attend the OVW grantee orientation seminar, which may be offered in-person, online, or a combination of both. Additionally, if there is a change in the project director/coordinator during the grant period, the recipient agrees, at the earliest opportunity, to send the new project director/coordinator, regardless of prior experience with this or any other federal award, to an in-person OVW grantee orientation seminar or require completion of the orientation online, whichever is available.

Prior approval for non-OVW sponsored technical assistance The recipient agrees that funds allocated for OVW-sponsored technical assistance may not be used for any other purpose without prior approval by OVW. To request approval, the recipient must submit a copy of the event's brochure, a curriculum and/or agenda, a description of the hosts or trainers, and an estimated breakdown of costs. The request must be submitted to OVW at least 20 days prior to registering for the event. Requests to attend non-OVW sponsored events will be considered on a case-by-case basis. This prior approval process also applies to requests for the use of OVW-designated technical assistance funds to pay a consultant or contractor not designated as an OVW technical assistance provider to develop and/or provide training and/or technical assistance.

Participation in OVW-sponsored technical assistance
The recipient agrees to attend and participate in OVW-sponsored technical assistance. Technical assistance includes, but is not limited to, national and regional conferences, audio conferences, webinars, peer-to-peer consultations, and workshops conducted by OVW-designated technical assistance providers.

Consultant compensation rates
The recipient acknowledges that consultants paid with award funds generally may not be paid at a rate in excess of $81.25 per hour, not to exceed $650 per day. To exceed this specified maximum rate, recipients must submit to OVW a detailed justification and have such justification approved by OVW, prior to obligation or expenditure of such funds. Issuance of this award or approval of the award budget alone does not indicate approval of any consultant rate in excess of $81.25 per hour, not to exceed $650 per day. Although prior approval is not required for consultant rates below this specified maximum rate, recipients are required to maintain documentation to support all daily or hourly consultant rates.

Compliance with certifications
The recipient acknowledges that it has a continuing obligation to remain in compliance with the applicable certification requirements of 34 U.S.C. 10461(c).

Limitation on use of funds for direct legal representation The recipient agrees not to use grant funds to provide legal representation in civil or criminal matters, such as family law cases (divorce, custody, visitation, and child support), housing cases, consumer law cases and others. Grant funds may be used to provide legal representation to victims of domestic violence, dating violence, sexual assault, or stalking only in the limited context of protection order proceedings (either 41 42
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City Council
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28 8/1/2023

6/5/23, 3:07 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzPro… 12/12 temporary or long term relief), or for limited immigration matters that may impact and affect the victim's ability to maintain safety (such as U visas).

Prohibition on public awareness activities
The recipient agrees that grant funds will not be used to conduct public awareness or community education campaigns or related activities. Grant funds may be used to support, inform, and conduct outreach to victims about available services.

Indirect costs
The recipient may not obligate, expend, or draw down any award funds for indirect costs, unless and until either (1) the recipient submits to OVW a current, federally-approved indirect cost rate agreement, or (2) the recipient determines that it is eligible under the Part 200 Uniform Requirements to use the "de minimis" indirect cost rate described in 2 C.F.R. 200.414(f), and advises OVW in writing of both its eligibility and its election.

Conditional clearance with release of technical assistance funds The recipient acknowledges that the budget for this award is pending review and approval. Until OVW approves the budget, the recipient may not obligate, expend, or draw down any funds, except those that OVW allows for participation in or travel-related expenses to attend OVW-sponsored technical assistance events. Any obligations or expenditures incurred by the recipient prior to the budget being approved are made at the recipient's own risk. If there is another condition on the award prohibiting any obligation, expenditure, and drawdown of any funds, that other condition will control. Remaining funds will not be available for drawdown until OVW's Grants Financial Management Division has approved the budget and budget narrative via a Grant Award Modification (GAM). If applicable, the Indirect Cost Rate will be identified in the GAM when the budget is approved.

I have read and understand the information presented in this section of the Federal Award Instrument.

47 48
49 Award Acceptance

City Council
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29 8/1/2023

6/18/23, 9:50 PM Active Funded Award
https://justgrants.usdoj.gov/prweb/PRAuth/app/JGITS_/3yZ6Bxxi_lpDExTOT4XnAjzjAXmVNevW*/!TABTHREAD3?pyActivity=%40baseclass.pzProces… 1/1 This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions.

The recipient budget is currently under review.

I have read and understand the information presented in this section of the Federal Award Instrument.

Award Letter
Award Information
Project Information
Financial Information
Other Award Documents
Award Conditions
Award Acceptance

City Council
19 –
30 8/1/2023

Human Options, Inc.

Improving Criminal Justice Response (OVW-2022-171037)
Santa Ana Police Department-Budget Detail
# of weeks/meetings hours Rate Total
50 5 99.68$ 24,920.00$
50 8 103.69$ 41,476.00$
2 4 100.50$ 804.00$
Training Varies 2,800.00$
subtotal 70,000.00$
# of weeks/meetings hours Rate Total
50 5 99.68$ 24,920.00$
50 8 103.69$ 41,476.00$
2 4 100.50$ 804.00$
Training Varies 2,800.00$
subtotal 70,000.00$
# of weeks/meetings hours Rate Total
50 5 99.68$ 24,920.00$
50 8 103.69$ 41,476.00$
2 4 100.50$ 804.00$
Training Varies 2,800.00$
subtotal 70,000.00$
Provide quarterly data report information
Training/travel Budget
Detective Corporal/Detective/Police Officer/Sergeant/Investigative Specialist time in DV Response Care
Year 2
Description
Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist- Case Investigation/Follow-up
Detective Corporal/Detective/Police Officer/Sergeant/Investigative Specialist time in DV Response Care
Provide quarterly data report information
Training/travel Budget
Year 3
Description
Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist- Case Investigation/Follow-up
Training/travel Budget
Year 1
Description
Detective Corporal/Detective /Police Officer/Sergeant/Investigative Specialist- Case Investigation/Follow-up
Detective Corporal/Detective/Police Officer/Sergeant/Investigative Specialist time in DV Response Care
Provide quarterly data report information

EXHIBIT B

City Council
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31 8/1/2023

Total: 210,000.00$
Travel funds will be available to attend the OVW-mandated technical trainings in accordance with the program guidelines.

Remaining funds will be made available to attend any other available and relevant OVW-approved trainings which would enhance or support the work identified in this project. The sites of the training are unknown at this time. Costs are based on average airfare and M&IE expenses and an average lodging rate of major metropolitan areas for FY2022 The positions within the Santa Ana Police Department (SAPD) listed below will staff the DV Response Car and a DV Investigation Car on an overtime basis, depending upon their availability and the situation. All SAPD personnel involved in the proposed OVW-ICJR project have received special training on domestic violence and related issues.

Detective Corporal:

Special Crimes Section Detective Corporal is a sworn Peace Officer assigned responsible for supervising the Domestic Violence and Sexual Assault Unit. The Detective Corporal is responsible for report review, scheduling, making supervisory decisions as well as investigating cases. This is a supervising detective position, and the detective corporal has a caseload of sexual assault and domestic violence cases. The Detective Corporal also performs the same investigative tasks as the Domestic Violence Detective in the unit. The Detective Corporal will also compile data to complete monthly reporting required by the grant. The Detective Corporal will also be the lead contact for scheduling SAPD briefings and budget approval of overtime.

The Detective Corporal will be the primary liaison with Human Options on the proposed project.

Detective:

Detectives are sworn Peace Officers assigned cases and are tasked with investigating the case. The investigations include:

Doing background checks on the suspect, researching the background of the victim and suspect’s domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney’s Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case.

The Detective is responsible for closing the casefile and updating the case in the Santa Ana Police Department TriTech System. The Detective maintains their own monthly logs on all their assigned cases. The Detective completes their monthly Statistics at the end of each month and they are submitted to the section Commander.

City Council
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32 8/1/2023

Police Officer:

Police Officer is a sworn peace officer that may be assigned to the Domestic Violence Response car, the Domestic Violence Investigation Car or assiged to investigate cases in the Special Crimes Section on an overtime basis. Police Officers may also be assigned to perform the duties of the Detective/Investigator, which include: Doing background checks on the suspect, researching the background of the victim and suspect’s domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney’s Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case.

Police Officers selected for this assignment will work under the direction of the Domestic Violence Unit Detective Sergeant. Detective Sergeant:

Special Crimes Section Detective Sergeant is a sworn Peace Officer responsible for supervising the Domestic Violence Unit, Sexual Assault Unit, Child Abuse Unit, and Sex Registrant Unit. The Detective Sergeant reviews incoming police reports including domestic violence reports and is responsible for case assignments. The Detective Sergeant is also responsible for ensuring proper follow-up is conducted on domestic violence cases and provides direction when appropriate on the investigation. Other duties include the development and implementation of training as it relates to domestic violence and recent case law related to domestic violence.

Police Investigative Specialist:

Investigators (PIS) are non-sworn professionals assigned cases and are tasked with investigating the case. The investigations include: Doing background checks on the suspect, researching the background of the victim and suspect’s domestic violence history, obtaining and reviewing prior domestic violence reports, possibly obtaining outside police agency reports, interviewing victims, witnesses and suspects, obtaining medical records from hospitals, doing follow-up photos of victims if necessary, obtaining and reviewing 911 calls, obtaining text messages, phone messages and e-mails, obtaining camera footage at locations where the incident occurred, following up by responding to schools to interview children, submitting cases to the District Attorney’s Office for possible filing of charges, obtaining arrest warrants, serving arrest warrants, following up by arresting suspects on cases who were not located at the time the report was taken, testifying in court on cases, doing follow-up investigation requested by the District Attorney on patrol arrests, and other investigative duties required to support the case.

The Investigator is also responsible for ensuring domestic violence victims are provided with resources available to them as victims of domestic violence and is responsible for closing the casefile and updating the case in the Santa Ana Police Department TriTech System. The Investigators maintain their own monthly logs on all their assigned cases. The Investigator completes their monthly Statistics at the end of each month and they are submitted to the section Commander

City Council
19 –
33 8/1/2023

Finance and Management Services
www.santa-ana.org/departments/finance/
Item # 20
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans

AGENDA TITLE
Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans.

RECOMMENDED ACTION
Adopt a resolution appointing the Executive Director of Finance as plan administer of the 457(b) Deferred Compensation Plan, the 401(a) Retirement Savings Plan, and the 401(h) Retirement Health Savings Plan.

DISCUSSION
The City sponsors and administers the following employee savings plans:
•Deferred compensation savings plan (Internal Revenue Code section 457(b)); •Retirement savings plan (IRC 401(a)) for past employees; and •Retirement health savings plan (IRC 401(h)).

All third-party expenses to administer the plans are paid by current and past participating employees.

Although employee savings plan assets are owned by current and past employees, and not the City, the City Council has fiduciary responsibilities for the plans. It has been the practice for the Executive Director of Finance to act as plan administrator, consistent with City Treasurer duties outlined in Santa Ana Municipal Code Section 2-300.8(h) as follows.
“Direct treasury administration for the city; including the receiving and collecting of revenues and receipts from whatever source; have custody of all public funds belonging to or under the control of the city or any office, department, or other agency of the city government; and deposit all funds received in such depository as may be designated by resolution of the city council, or, if no such resolution be adopted, by the city

City Council
20 –
1 8/1/2023

Adopt Resolution appointing the Executive Director of Finance as Plan Administrator for Employee Savings Plans.

August 1, 2023

Page 2 ends

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manager, in compliance with the provisions of the state constitution and laws of the state governing the handling, depositing, and securing of public funds”
Staff recommends adoption of the proposed resolution to formalize the delegation of authority to administer the employee savings plans. Administration includes withholding employee contributions from pay, settlement of plan transactions, making administrative changes to plan documents to conform to law and best practices, and selection of third- party record keepers and investment advisors. The Executive Director of Finance is advised by an internal committee comprised of the Human Resources Director and two of his appointees, the Assistant Director of Finance, and one additional appointee from Finance.

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

FISCAL IMPACT
There is no fiscal impact associated with the recommendation.

EXHIBIT(S)

1. Resolution
Submitted By: Kathryn Downs, Executive Director of Finance and Management Services
Approved By: Kristine Ridge, City Manager

City Council
20 –
2 8/1/2023

Resolution No. 2023-XXX

Page 1 of 1 ends

RESOLUTION NO. 2023-XXX

A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AMENDING RESOLUTIONS 201 1-024 AND
2016-053 AND APPOINTING THE EXECUTIVE DIRECTOR

OF THE FINANCE AND MANAGEMENT SERVICES AGENCY
AS THE PLAN ADMINISTRATOR FOR THE CITY’S 457(B),
401(A) AND 401(H) PLANS.

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

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

A. The City sponsors a 457(b) Deferred Compensation Plan currently through Prudential , 401(a) Retirement Savings Plan through Public Agency Retirement Services (“PARS”), and 401(h) Retirement Health Savings Plan through Mission Square (the “Plans”) which are funded through employee salary deferrals and any employer matching contributions authorized by the City Council. All thi rd-party expenses of administering the Plans are paid by those current and former employees participating in the Plans.

B. As sponsor, the City has fiduciary obligations relating to the Plans.

These fiduciary obligations generally include monitoring the inv estment funds available to participants in th e Plans, determining whether changes should be made to investment funds available through the Plan, maintaining compliance with applicable federal and state laws and regulations, and completing necessary paperwo rk related to the Plans.

C. Pursuant to Resolution 2011-80 as amended by Resolution 2016-053, the Executive Director of Finance was appointed as the City’s Plan Trustee and the Execut ive Director of Human Resources as Plan Administrator for the City’s 401(h) Retirement Health Savings Plan.

Pursuant to Resolution 2011-024, the Execut ive Director of Human Resources was designated as Plan Administrator for the 401(a) PARS Plan.

D. It is now desired to appoint the Executive Director of Finance and Management Services Agency (“Finance Director”) as the Plan Administrator for all the Plans and to amend Resolutions 2011-024 and 2016-053 as to the designated Plan Administrator.

EXHIBIT 1

City Council
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3 8/1/2023

Resolution No. 2023-XXX

Page 2 of 2 ends

Section 2 : The Santa Ana City Council hereby amends Resolutions 2011 -024 and 2016-053 as to the designation of the Plan Administrator and appoints the Finance Director as Plan Admi nistrator for the 457(b) Deferred Compensation Plan , 401(a) Retirement Savings Plan , and 401(h) Retirement Health Savings Plan , which includes full authority and responsibility to manage all fiduciary requirements associated with the Plans including but not limited to maintaining the City’s participation in the Plans, and maintaining compliance with any relevant federal or state law or regulation.

Section 3: The Santa Ana City Council further grants the authority to manage all settlor functions associated with the Plan s, including but not limited to optional amendments of the Plans, except am endments that in crease the cost, which shall require the approval of the City Council.

Section 4: The Santa Ana City Council further grants the Finance Director the authority to s elect, monitor, and deselect service providers as necessary to effectively exercise the authority granted through this Resolution, except for service providers that increase the cost, which shall require approval of the City Council.

Section 5: The Santa Ana City Council also hereby grants authority to the Finance Director to delegate or assign s pecific responsibilities or tasks to City employees or outside service providers utilizing the City’s n ormal contracting provisions provided the Finance Director monitors and manages the actions of such delegates.

Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.

ADOPTED this 1st day of August, 2023.

___________________________
Valerie Amezcua
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho
City Attorney

By: __________________
Laura A. Rossini
Chief Assistant City Attorney

City Council
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4 8/1/2023

Resolution No. 2023-XXX

Page 3 of 3 ends

AYES: Councilmembers

NOES: Councilmembers

ABSTAIN: Councilmembers

NOT PRESENT: Councilmembers

CERTIFICATE OF ATTESTATION AND ORIGINALITY

I, JENNIFER HALL, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-___ to be the original Resolution adopted by the City Council of the City of Santa Ana on August 1, 2023.

Date: ___________________ ____________________________ City Clerk
City of Santa Ana

City Council
20 –
5 8/1/2023

Public Works Agency
www.santa-ana.org/public-works
Item # 21
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: Citywide Parking Study – Automated License Plate Reader Policy

AGENDA TITLE
Adopt a Resolution for the Automated License Plate Reader (ALPR) Policy

RECOMMENDED ACTION
Adopt a Resolution for the Automated License Plate Reader Policy.

DISCUSSION
The Public Works Agency staff is conducting a comprehensive evaluation of the Permit Parking Program to update the program guidelines and requirements which were established in the early 1990s. As part of the ongoing Permit Parking Program evaluation, parking studies must be conducted to evaluate and inventory public street parking spaces and street density. Traditionally, these studies are conducted manually and are labor and time intensive.

In an effort to collect the public street parking spaces data, along with street density, in a highly efficient and expeditious manner, the Public Works Traffic Engineering section is recommending the use of Automated License Plate Reader (ALPR) Technology.

ALPR technology functions by automatically capturing an image of a vehicle's license plate, transforming that image into alphanumeric characters using optical character recognition software, and storing that information. There is no personally identifiable information (PII) captured by the ALPR. The ALPR data does not include the name or address of the registered owner or any other information gleaned from the license plate number associated with a particular vehicle.

The ALPR is a smart phone application that does not require special equipment. The sole purpose of the data collection is to assess the curbside vacancy rate i.e., street density. The development and purpose of the ALPR is to define the appropriate use, collection, security, and retention of ALPR data (Exhibit 1).

Additionally, the recommended action adopts a resolution (Exhibit 2) of the City Council’s intent to conduct a comprehensive evaluation of the Permit Parking program by utilizing ALPR Technology.

City Council
21 –
1 8/1/2023

Citywide Parking Study – Automated License Plate Reader Policy August 1, 2023

Page 2 ends

3 6
2 2

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

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

EXHIBIT(S)

1. Automated License Plate Reader (ALPR) Policy for Conducting Parking Studies

2. Resolution
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Kristine Ridge, City Manager

City Council
21 –
2 8/1/2023

AUTOMATED LICENSE PLATE READER (ALPR) POLICY
FOR

CONDUCTING PARKING STUDIES

1. Purpose
This policy establishes guidelines for the use of Automated License Plate Reader (“ALPR”) technology and data specifically for conducting parking studies in the City of Santa Ana (“City”). This policy applies to the use of ALPR technology by all Santa Ana Public Works Traffic Engineering employees, officials, contractors, and volunteers for parking data collection purposes (“PWA”).

This policy does not enable the PWA to use ALPR technology for any law enforcement or regulatory purposes.

2. ALPR Definition
ALPR technology functions by automatically capturing an image of a vehicle’s license plate, transforming that image into alphanumeric characters using optical character recognition software, and storing that information, along with relevant metadata (e.g., geo-location and temporal information, as well as data about the ALPR). There is no Personally Identifiable Information (PII) captured by the ALPR. The ALPR data does not contain any information about the name of the registered owner, address of registered owner, or any other information gleaned from the license plate number associated with a particular vehicle.

The data captured by ALPR is equivalent to the data that would otherwise be captured manually during a parking study, so the use of ALPR simply automates the process of data collection.

3. Parking Study Usage
ALPR technology allows parking study procedures to be automated, eliminating the manual counting of vehicles and manual recording of license plate numbers required to evaluate parking occupancy and duration trends. No law enforcement database shall interface or integrate with the ALPR technology utilized by PWA to conduct its parking studies.

4. Authorized Users
The Public Works Director or their designee (“Director”) shall assign personnel to operate and manage the ALPR system for official parking data collection purposes and are authorized to access the ALPR data needed to analyze results.

City Council
21 –
3 8/1/2023

PWA shall not use, or allow others to use, the ALPR equipment or database records for any unauthorized purpose. The Director shall ensure that the ALPR system is operated in conformity with this policy and other City policies, procedures, rules and regulations.

The Director shall enforce this policy and shall act as the Department Head for all disciplinary and enforcement actions for any violations by PWA.

Use of an ALPR is restricted to the purposes outlined below. PWA members shall not use, or allow others to use the equipment or database records for any unauthorized purpose.
(a) Any ALPR owned or operated by the Public Works Agency (“Department”) shall only be used for official parking data collection while conducting parking studies.

This includes the evaluation of parking occupancy and duration trends for the purpose of evaluating parking program policies.
(b) No member of the Department shall operate ALPR equipment or access ALPR data without first completing department-approved training. (c) No ALPR operator may access the Department’s data unless otherwise authorized to do so.

5. Restricted Uses
The PWA shall only use ALPR Technology to collect license plate data within view of the public right-of-way. The PWA shall use ALPR Technology consistent with this policy and all applicable City, State, and Federal laws.

The Department shall not share ALPR information with any commercial or private entity, other than PWA parking contractors, as necessary for the conduct of PWA parking studies and operations. Information gathered or collected and records retained by the Department shall not be:
(a) Sold, published, exchanged, or disclosed for commercial purposes. (b) Disclosed without authorization or disseminated to persons not otherwise authorized to access or use the ALPR information.

6. ALPR Data Collection and Retention
The ALPR data contains no Personally Identifiable Information (PII) that may be used to connect license plate numbers detected to an individual. The Federal Driver’s Privacy Protection Act (DPPA) already prohibits the release or use of any State DMV or any officer, employee, or contractor thereof of personal information in connection with a motor vehicle record.

ALPR data shall be stored in accordance with the Department’s established records retention schedule except that the license plate numbers recorded by ALPR shall not be retained beyond twenty-four (24) hours.

City Council
21 –
4 8/1/2023

7. Information Sharing
This policy is specifically intended to address the use of ALPR for conducting parking studies.

The ALPR data does not contain any information about the name of the registered owner, address of registered owner, or any other information gleaned from the license plate number associated with a particular vehicle.

For the purposes of parking studies, PWA may periodically access ALPR data to analyze parking demand. This analysis process shall not use actual license plate numbers, and instead the raw license plate number data shall be hashed to produce anonymized data for the purposes of the data analysis.

8. Training
All authorized ALPR users shall first complete department-approved training on the proper handling of ALPR data. The training addresses appropriate handling and transmission procedures, as well as consequences of an ALPR data security breach.

9. Information Security
All data shall be closely safeguarded and protected by both procedural and technological means:
(a) All ALPR data downloaded to the mobile workstation and in storage shall be accessible only through a login/password-protected system capable of documenting all access of information by name, date, and time. (b) Members approved to access ALPR data under these guidelines are permitted to access the data for legitimate parking study purposes only, such as evaluating parking occupancy and duration trends to determine potential parking policy adjustments.
(c) ALPR systems audits will be conducted on a regular basis.

City Council
21 –
5 8/1/2023

Resolution No. 2023-XXX

Page 1 of 2 ends

RESOLUTION NO. 2023-XXX
A R

ESOLUTION OF THE CITY COUNCIL OF THE CITY OF

SANTA ANA ADOPTING THE CITY OF SANTA ANA

AUTOMATED LICENSE PLATE READER (ALPR) POLICY

FOR CONDUCTING PARKING STUDIES

BE IT RESOLVED BY THE CITY COUNCIL OF T HE CITY OF S ANTA ANA AS FOLLOWS:

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

A. The Public Works Agency staff is conducting a comprehensive evaluation of the Permit Parking Program to update the program guidelines and requirements which were established in the early 1990s.

B. As part of the ongoing Permit Parking Program evaluation, parking studies must be conducted to evaluate and inventory public street parking spaces along with street density.

C. In an effort to collect the data required to evaluate and inventory public street parking spaces along with street density in a highly efficient and expeditious rate, traffic engineering staff has chosen to use Automated License Plate Reader ( “ALPR”) Technology.

D. The development and purpose of t he Automated License Plate Reader Policy is to define the appropriate use, collection, security, and retention of ALPR data.

E. After review and consideration, the City Council wishes to adopt the proposed Automated License Plate Reader Policy for Conducting Parking Studies, a copy of which is attached as Exhibit 1 (“Policy”).

Section 2. The Ci ty Co uncil of t he C ity of S anta Ana hereby approves and adopts the Policy for purposes of conducting parking studies in the City of Santa Ana.

Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.
[S
ignatures on the following Page]
EXHIBIT 2

City Council
21 –
6 8/1/2023

Resolution No. 2023-XXX

Page 2 of 2 ends

ADOPTED this ____ day of ___________________, 2023.

_
Valerie Amezcua
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho, City Attorney

By:

Jose Montoya
Assistant City Attorney

AYES: Councilmembers

NOES: Councilmembers

ABSTAIN: Councilmembers

NOT PRESENT: Councilmembers _

CERTIFICATE OF ATTESTATION AND ORIGINALITY

I, Jennifer L. Hall, City Clerk, do hereby certify the attached Resolution No. 2023 -___ to be the original resolution adopted by the City Council of the City of Santa Ana on _____________________, 2023.

Date:

City Clerk
City of Santa Ana

City Council
21 –
7 8/1/2023

Planning and Building Agency
santa-ana.org/departments/planning-and-building/
Item # 22
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
August 1, 2023
TOPIC: Resolution Adopting Local CEQA Guidelines Resolution

AGENDA TITLE
Adoption of 2023 Local Guidelines for Implementing the California Environmental Quality Act (“CEQA”)

RECOMMENDED ACTION
Adopt a resolution adopting the 2023 Local Guidelines for Implementing the California Environmental Quality Act for the City of Santa Ana.

DISCUSSION
The California Environmental Quality Act (“CEQA”), codified at Public Resources Code section 21000, et seq., is California’s most comprehensive environmental law. It generally requires public agencies to evaluate the environmental effects of their actions before they are taken. CEQA also aims to disclose significant environmental effects of projects and prevent significant environmental effects from occurring as a result of agency actions by requiring agencies to avoid or reduce, when feasible, the significant environmental impacts of their decisions.

Local CEQA Guidelines
CEQA requires public agencies to adopt specific objectives, criteria, and procedures for evaluating public and private projects that are undertaken or approved by such agencies. As in prior years, Best, Best and Krieger (BB&K) assisted the City of Santa Ana in preparing a set of Local CEQA Guidelines that are in compliance with CEQA’s requirements. The Local Guidelines provide step-by-step procedures for evaluating projects prior to approval including:
•General Provisions & Definitions
•Time Limits
•Initial Study
•Exemptions
•Negative Declarations/Mitigated Negative Declarations

City Council
22 –
1 8/1/2023

Resolution Adopting Local CEQA Guidelines Resolution
August 1, 2023

Page 2 ends

3 6
0 0
•Environmental Impact Reports
•Forms
The Local CEQA Guidelines will become effective upon adoption. New projects or projects that have not circulated CEQA documents for public review before the effective date must comply with the City’s new CEQA Guidelines.

ENVIRONMENTAL IMPACT
No environmental impact is anticipated from amending the Local CEQA Guidelines. The City of Santa Ana’s adoption of the attached Resolution is not a project under State CEQA Guidelines section 15378(b)(5) because it involves an administrative activity and would not result in any environmental impacts.

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

EXHIBIT(S)

1. Resolution adopting the Local CEQA Guidelines
Submitted By: Minh Thai, Executive Director of Planning and Building Agency Approved By: Kristine Ridge, City Manager

City Council
22 –
2 8/1/2023

Resolution No. 2023-XXX

Page 1 of 2 ends

RESOLUTION NO. 2023-XXX
A

RESOLUTION OF THE CITY COUNCIL OF THE CITY

OF SANTA ANA ADOPTING LOCAL CEQA GUIDELINES

FOR IMPLEMENTING THE CALIFORNIA

ENVIRONMENTAL QUALITY ACT (PUBLIC
RESOURCES CODE SECTIONS 21000 ET SEQ.)
WHEREAS, the California Legislature has amended the California Environmental Quality Act (“CEQA”) (Public Resources Code sections 21000 et seq.), the Natural Resources Agency has amended the State CEQA Guidelines (Cal ifornia Code of Regulations, Title 14, sections 15000 et seq.), and the California courts have interpreted specific provisions of CEQA; and
W
HEREAS, Public Resources Code section 21082 requires all public agencies to adopt objectives, criteria and procedures for (1) the evaluation of public and private projects undertaken or approved by such public agencies, and (2) the preparation, if required, of environmental impact reports and negative declarations in connection with that evaluation; and W
HEREAS, the City of Santa Ana has prepared local guidelines for implementing CEQA to make them consistent with the current provisions and interpretations of CEQA and the State CEQA Guidelines.

NO
W, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows:

Section 1. The City hereby adopts the “2023 Local Guidelines for Implementing the California Environmental Quality Act for City of Santa Ana,” attached hereto and incorporated herein as Attachment A, a copy of which is on file at the offices of the City and is available for inspection by the public.

Section 2. It is the intent of the City to conform to the requirements of the State CEQA Guidelines and CEQA. If any of the specific procedures or provisions adopted herein should be in conflict with CEQA or the State CEQA Guidelines, then CEQA and the State Guidelines shall prevail. The City may administer its responsibilities under CEQA in any manner which meets the requirements of CEQA, notwithstanding the specific procedures set forth in the City’s Local CEQA Guidelines. All future revisions to CEQA and the State CEQA Guidelines shall hereafter be considered to be part of the City’s implementing procedures without further action by the City Council.

Section 3. No environmental impact is anticipated from the adoption of the 2023 Local CEQA Guidelines. The City’s adoption of the attached Resolution is not a project under State CEQA Guidelines section 15378(b)(5) because it involves an administrative activity that will not result in direct or indirect physical changes in the environment.

S
ection 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.

EXHIBIT 1

City Council
22 –
3 8/1/2023

Resolution No. 2023-XXX

Page 2 of 2 ends

AD
OPTED this ____ day of ___________________, 2023.

Val erie Amezcua
Mayor
APPROVED AS TO FORM:

Sonia R. Carvalho, City Attorney
By:

John M. Funk
Chief Assistant City Attorney
AYES:

Councilmembers
NO
ES: Councilmembers
ABST
AIN: Councilmembers
NO
T PRESENT: Councilmembers
CE

RTIFICATE OF ATTESTATION AND ORIGINALITY
I,
Jennifer Hall, City Clerk, do hereby certify the attached Resolution No. 2023 -_____ to be the original resolution adopted by the City Council of the City of Santa Ana on _____________________, 2023.

Date:

City Clerk

City Council
22 –
4 8/1/2023

2023

LOCAL GUIDELINES

FOR IMPLEMENTING THE

CALIFORNIA ENVIRONMENTAL QUALITY ACT
FOR

CITY OF SANTA ANA

ATTACHMENT A

City Council
22 –
5 8/1/2023

TABLE OF CONTENTS
Page
-i-

1. GENERAL PROVISIONS, PURPOSE AND POLICY. ................................................ 1-1

1.01 General Provisions. ............................................................................................. 1-1

1.02 Purpose. ............................................................................................................... 1-1

1.03 Applicability. ...................................................................................................... 1-1

1.04 Reducing Delay and Paperwork. ......................................................................... 1-2

1.05 Compliance With State Law. .............................................................................. 1-2

1.06 Terminology. ....................................................................................................... 1-3

1.07 Partial Invalidity.................................................................................................. 1-3

1.08 Electronic Delivery of Comments and Notices. ................................................. 1-3

1.09 The City May Charge Reasonable Fees For Reproducing Environmental Documents. ......................................................................................................... 1-3

1.10 Time of Preparation ............................................................................................ 1-4

1.11 State Agency Furloughs. ..................................................................................... 1-5

2. LEAD AND RESPONSIBLE AGENCIES .................................................................... 2-1

2.01 Lead Agency Principle. ....................................................................................... 2-1

2.02 Selection of Lead Agency. .................................................................................. 2-1

2.03 Duties of a Lead Agency..................................................................................... 2-1

2.04 CEQA Determinations Made by Non-Elected Body; Procedure to Appeal Such Determinations. .......................................................................................... 2-3

2.05 Projects Relating to Development of Hazardous Waste and Other Sites. .......... 2-3

2.06 Responsible Agency Principle. ........................................................................... 2-4

2.07 Duties of a Responsible Agency. ........................................................................ 2-4

2.08 Response to Notice of Preparation by Responsible Agencies. ........................... 2-4

2.09 Use of Final EIR or Negative Declaration by Responsible Agencies. ............... 2-5

2.10 Shift in Lead Agency Responsibilities. ............................................................... 2-5

3. ACTIVITIES EXEMPT FROM CEQA ......................................................................... 3-1

3.01 Actions Subject to CEQA. .................................................................................. 3-1

3.02 Ministerial Actions.............................................................................................. 3-1

3.03 Exemptions in General. ....................................................................................... 3-2

3.04 Notice of Exemption. .......................................................................................... 3-2

3.05 Disapproved Projects. ......................................................................................... 3-3

City Council
22 –
6 8/1/2023

TABLE OF CONTENTS
(continued)
Page
-ii-

3.06 Projects with No Possibility of Significant Effect. ............................................. 3-4

3.07 Emergency Projects. ........................................................................................... 3-4

3.08 Feasibility and Planning Studies. ........................................................................ 3-4

3.09 Rates, Tolls, Fares, and Charges. ........................................................................ 3-5

3.10 Pipelines within a Public Right-of-Way and Less Than One Mile in Length. ................................................................................................................ 3-5

3.11 Pipelines of Less Than Eight Miles in Length. ................................................... 3-5

3.12 Certain Residential Housing Projects. ................................................................ 3-7

3.13 Minor Alterations to Fluoridate Water Utilities................................................ 3-13

3.14 Ballot Measures. ............................................................................................... 3-13

3.15 Transit Priority Project. ..................................................................................... 3-14

3.16 Certain Infill Projects ........................................................................................ 3-14

3.17 Exemption for Infill Projects In Transit Priority Areas .................................... 3-17

3.18 Exemption for Residential Projects Undertaken Pursuant to a Specific Plan ... 3-17

3.19 Transfer of Land for The Preservation of Natural Conditions .......................... 3-17

3.20 Transit Prioritization Projects. .......................................................................... 3-18

3.21 Transportation Plans, Pedestrian Plans, and Bicycle Transportation Plans. ..... 3-20

3.22 Water System Wells and Domestic Well Projects ............................................ 3-21

3.23 Small Disadvantaged Community Water System and State Small Water System. .............................................................................................................. 3-22

3.24 Conservation and Restoration of California Native Fish and Wildlife. ............ 3-23

3.25 Linear Broadband Deployment in a Right-of-Way. ......................................... 3-24

3.26 Needle and Syringe Exchange Services. ........................................................... 3-25

3.27 Other Specific Exemptions. .............................................................................. 3-25

3.28 Categorical Exemptions. ................................................................................... 3-25

4. TIME LIMITATIONS .................................................................................................... 4-1

4.01 Review of Private Project Applications. ............................................................. 4-1

4.02 Determination of Type of Environmental Document. ........................................ 4-1

4.03 Completion and Adoption of Negative Declaration. .......................................... 4-1

4.04 Completion and Certification of Final EIR. ........................................................ 4-1

4.05 Projects Subject to the Permit Streamlining Act................................................. 4-2

City Council
22 –
7 8/1/2023

TABLE OF CONTENTS
(continued)
Page
-iii-

4.06 Projects, Other Than Those Subject to the Permit Streamlining Act, with Short Time Periods for Approval. ....................................................................... 4-2

4.07 Waiver or Suspension of Time Periods. ............................................................. 4-3

5. INITIAL STUDY............................................................................................................ 5-1

5.01 Preparation of Initial Study. ................................................................................ 5-1

5.02 Informal Consultation with Other Agencies. ...................................................... 5-1

5.03 Consultation with Private Project Applicant....................................................... 5-2

5.04 Projects Subject to NEPA. .................................................................................. 5-2

5.05 An Initial Study. .................................................................................................. 5-3

5.06 Contents of Initial Study. .................................................................................... 5-4

5.07 Use of a Checklist Initial Study. ......................................................................... 5-4

5.08 Evaluating Significant Environmental Effects. ................................................... 5-5

5.09 Determining the Significance of Transportation Impacts ................................... 5-6

5.10 Mandatory Findings of Significant Effect. ......................................................... 5-7

5.11 Mandatory Preparation of an EIR for Waste-Burning Projects. ......................... 5-8

5.12 Development Pursuant To An Existing Community Plan And EIR. .................. 5-9

5.13 Land Use Policies. ............................................................................................ 5-10

5.14 Evaluating Impacts on Historical Resources. ................................................... 5-10

5.15 Evaluating Impacts on Archaeological Sites. ................................................... 5-11

5.16 Consultation with Water Agencies Regarding Large Development Projects. ............................................................................................................. 5-12

5.17 Subdivisions with More Than 500 Dwelling Units. ......................................... 5-14

5.18 Impacts to Oak Woodlands. .............................................................................. 5-15

5.19 Climate Change And Greenhouse Gas Emissions. ........................................... 5-15

5.20 Energy Conservation. ........................................................................................ 5-19

5.21 Environmental Impact Assessment. .................................................................. 5-20

5.22 Final Determination. ......................................................................................... 5-20

6. NEGATIVE DECLARATION ....................................................................................... 6-1

6.01 Decision to Prepare a Negative Declaration. ...................................................... 6-1

6.02 Decision to Prepare a Mitigated Negative Declaration....................................... 6-1

6.03 Contracting for Preparation of Negative Declaration or Mitigated Negative Declaration. ......................................................................................................... 6-1

City Council
22 –
8 8/1/2023

TABLE OF CONTENTS
(continued)
Page
-iv-

6.04 Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration. ......................................................................................................... 6-1

6.05 Projects Affecting Military Services; Department of Defense Notification. ...... 6-4

6.06 Special Findings Required for Facilities That May Emit Hazardous Air Emissions Near Schools. ..................................................................................... 6-4

6.07 Consultation with California Native American Tribes. ...................................... 6-5

6.08 Identification of Tribal Cultural Resources and Processing of Information after Consultation with the California native American tribe ............................. 6-6

6.09 Significant Adverse Impacts to Tribal Cultural Resources ................................. 6-8

6.10 Posting and Publication of Negative Declaration or Mitigated Negative Declaration. ......................................................................................................... 6-9

6.11 Submission of Negative Declaration or Mitigated Negative Declaration to State Clearinghouse. ......................................................................................... 6-10

6.12 Special Notice Requirements for Waste- and Fuel-Burning Projects. .............. 6-12

6.13 Consultation with Water Agencies Regarding Large Development Projects. ............................................................................................................. 6-12

6.14 Content of Negative Declaration or Mitigated Negative Declaration. ............. 6-13

6.15 Types of Mitigation........................................................................................... 6-13

6.16 Adoption of Negative Declaration or Mitigated Negative Declaration. ........... 6-13

6.17 Mitigation Reporting or Monitoring Program for Mitigated Negative Declaration. ....................................................................................................... 6-14

6.18 Approval or Disapproval of Project. ................................................................. 6-15

6.19 Recirculation of a Negative Declaration or Mitigated Negative Declaration. ....................................................................................................... 6-15

6.20 Notice of Determination on a Project for Which a Proposed Negative or Mitigated Negative Declaration Has Been Approved. ..................................... 6-16

6.21 Addendum to Negative Declaration or Mitigated Negative Declaration. ......... 6-17

6.22 Subsequent Negative Declaration or Mitigated Negative Declaration. ............ 6-17

6.23 Private Project Costs. ........................................................................................ 6-18

6.24 Filing Fees for Projects That Affect Wildlife Resources. ................................. 6-19

7. ENVIRONMENTAL IMPACT REPORT ..................................................................... 7-1

7.01 Decision to Prepare an EIR. ................................................................................ 7-1

7.02 Contracting for Preparation of EIRs. .................................................................. 7-1

7.03 Notice of Preparation of Draft EIR. .................................................................... 7-1

City Council
22 –
9 8/1/2023

TABLE OF CONTENTS
(continued)
Page
-v-

7.04 Special Notice Requirements for Affected Military Agencies ........................... 7-3

7.05 Environmental Leadership Development Project. .............................................. 7-3

7.06 Preparation of Draft EIR. .................................................................................... 7-5

7.07 Consultation with California Native American Tribes. ...................................... 7-6

7.08 Identification of Tribal Cultural Resources and Processing of Information after Consultation with the California native American tribe ............................. 7-7

7.09 Significant Adverse Impacts to Tribal Cultural Resources ................................. 7-8

7.10 Consultation with Other Agencies and Persons. ................................................. 7-9

7.11 Early Consultation on Projects Involving Permit Issuance............................... 7-11

7.12 Consultation with Water Agencies Regarding Large Development Projects. ............................................................................................................. 7-11

7.13 Airport Land Use Plan. ..................................................................................... 7-11

7.14 General Aspects of an EIR. ............................................................................... 7-12

7.15 Use of Registered Consultants in Preparing EIRs. ........................................... 7-12

7.16 Incorporation by Reference............................................................................... 7-12

7.17 Standards for Adequacy of an EIR. .................................................................. 7-13

7.18 Form and Content of EIR. ................................................................................. 7-13

7.19 Consideration and Discussion of Significant Environmental Impacts. ............ 7-15

7.20 Environmental Setting ...................................................................................... 7-16

7.21 Analysis of Cumulative Impacts. ...................................................................... 7-17

7.22 Analysis of Mitigation Measures. ..................................................................... 7-19

7.23 Analysis of Alternatives in an EIR. .................................................................. 7-20

7.24 Analysis of Future Expansion. .......................................................................... 7-22

7.25 Notice of Completion of Draft EIR; Notice of Availability of Draft EIR. ....... 7-23

7.26 Submission of Draft EIR to State Clearinghouse. ............................................ 7-25

7.27 Special Notice Requirements for Waste- And Fuel-Burning Projects. ............. 7-27

7.28 Time For Review of Draft EIR; Failure to Comment. ...................................... 7-27

7.29 Public Hearing on Draft EIR............................................................................. 7-28

7.30 Response to Comments on Draft EIR. .............................................................. 7-29

7.31 Preparation and Contents of Final EIR. ............................................................ 7-29

7.32 Recirculation When New Information Is Added to EIR. .................................. 7-30

City Council
22 –
10 8/1/2023

TABLE OF CONTENTS
(continued)
Page
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7.33 Certification of Final EIR. ................................................................................ 7-31

7.34 Consideration of EIR Before Approval or Disapproval of Project. .................. 7-31

7.35 Findings............................................................................................................. 7-32

7.36 Special Findings Required for Facilities That May Emit Hazardous Air Emissions Near Schools. ................................................................................... 7-33

7.37 Statement of Overriding Considerations. .......................................................... 7-33

7.38 Mitigation Monitoring or Reporting Program for EIR. .................................... 7-34

7.39 Notice of Determination. .................................................................................. 7-36

7.40 Disposition of a Final EIR. ............................................................................... 7-37

7.41 Private Project Costs. ........................................................................................ 7-37

7.42 Filing Fees for Projects That Affect Wildlife Resources. ................................. 7-37

8. TYPES OF EIRS............................................................................................................. 8-1

8.01 EIRs Generally. ................................................................................................... 8-1

8.02 Tiering. ................................................................................................................ 8-1

8.03 Project EIR. ......................................................................................................... 8-2

8.04 Subsequent EIR. .................................................................................................. 8-3

8.05 Supplemental EIR. .............................................................................................. 8-4

8.06 Addendum to an EIR. ......................................................................................... 8-4

8.07 Staged EIR. ......................................................................................................... 8-4

8.08 Program EIR. ...................................................................................................... 8-5

8.09 Use of a Program EIR with Subsequent EIRs and Negative Declarations. ........ 8-5

8.10 Use of an EIR from an Earlier Project. ............................................................... 8-6

8.11 Master EIR. ......................................................................................................... 8-6

8.12 Focused EIR. ....................................................................................................... 8-8

8.13 Special Requirements for Redevelopment Projects. ........................................... 8-9

9. AFFORDABLE HOUSING ........................................................................................... 9-1

9.01 Streamlined, ministerial approval process for affordable housing projects ........ 9-1

9.02 Ministerial approval process for urban lot splits and housing developments with no more than two residential units within a single-family residential zone (SB 9) ....................................................................................................... 9-22

9.03 Approval of ordinance to zone any parcel for up to 10 units of residential density per parcel in certain circumstances (SB 10) ......................................... 9-26

City Council
22 –
11 8/1/2023

TABLE OF CONTENTS
(continued)
Page
-vii-

9.04 Housing Sustainability Districts. ...................................................................... 9-27

9.05 Interim Motel Housing Projects. ....................................................................... 9-27

9.06 Supportive Housing And “No Place Like Home” Projects. ............................. 9-28

9.07 Shelter Crisis and Emergency Housing. ........................................................... 9-28

9.08 Affordable Housing Developments in Commercial Zones. .............................. 9-29

9.09 Mixed-Income Housing Developments Along Commercial Corridors. ........... 9-31

10. CEQA LITIGATION .................................................................................................... 10-1

10.01 Timelines........................................................................................................... 10-1

10.02 Mediation and Settlement. ................................................................................ 10-1

10.03 Administrative Record. ..................................................................................... 11-1

11. DEFINITIONS .............................................................................................................. 11-1

11.01 “Agricultural Employee” .................................................................................. 11-1

11.02 “Applicant” ....................................................................................................... 11-1

11.03 “Approval” ........................................................................................................ 11-1

11.04 “Baseline” ......................................................................................................... 11-2

11.05 “California Native American Tribe” ................................................................. 11-2

11.06 “Categorical Exemption” .................................................................................. 11-2

11.07 “Census-Defined Place”.................................................................................... 11-2

11.08 “CEQA” ............................................................................................................ 11-2

11.09 “City” ................................................................................................................ 11-2

11.10 “Clerk” .............................................................................................................. 11-2

11.11 “Community-Level Environmental Review” ................................................... 11-2

11.12 “Consultation”................................................................................................... 11-3

11.13 “Cumulative Impacts” ....................................................................................... 11-3

11.14 “Cumulatively Considerable” ........................................................................... 11-3

11.15 “Decision-Making Body” ................................................................................. 11-3

11.16 “Developed Open Space” ................................................................................. 11-3

11.17 “Development Project” ..................................................................................... 11-3

11.18 “Discretionary Project” ..................................................................................... 11-4

11.19 “EIR”................................................................................................................. 11-4

11.20 “Emergency” .................................................................................................... 11-4

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11.21 “Endangered, Rare or Threatened Species” ...................................................... 11-4

11.22 “Environment” .................................................................................................. 11-4

11.23 “Feasible” .......................................................................................................... 11-5

11.24 “Final EIR” ....................................................................................................... 11-5

11.25 “Greenhouse Gases” ......................................................................................... 11-5

11.26 “Guidelines” or “Local Guidelines” ................................................................. 11-5

11.27 “Highway” ........................................................................................................ 11-5

11.28 “Historical Resources” ...................................................................................... 11-5

11.29 “Infill Site” ........................................................................................................ 11-6

11.30 “Initial Study” ................................................................................................... 11-6

11.31 “Jurisdiction by Law” ....................................................................................... 11-6

11.32 “Land Disposal Facility”................................................................................... 11-7

11.33 “Large Treatment Facility” ............................................................................... 11-7

11.34 “Lead Agency”.................................................................................................. 11-7

11.35 “Low- and Moderate-Income Households” ...................................................... 11-7

11.36 “Low-Income Households” .............................................................................. 11-7

11.37 “Low-Level Flight Path”................................................................................... 11-7

11.38 “Lower Income Households” ............................................................................ 11-7

11.39 “Major Transit Stop”......................................................................................... 11-8

11.40 “Metropolitan Planning Organization” or “MPO”. .......................................... 11-8

11.41 “Military Impact Zone”..................................................................................... 11-8

11.42 “Military Service” ............................................................................................. 11-8

11.43 “Ministerial” ..................................................................................................... 11-8

11.44 “Mitigated Negative Declaration” or “MND” .................................................. 11-9

11.45 “Mitigation” ...................................................................................................... 11-9

11.46 “Negative Declaration” or “ND” ...................................................................... 11-9

11.47 “Notice of Completion” .................................................................................... 11-9

11.48 “Notice of Determination” ................................................................................ 11-9

11.49 “Notice of Exemption” ..................................................................................... 11-9

11.50 “Notice of Preparation”..................................................................................... 11-9

11.51 “Oak” ................................................................................................................ 11-9

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11.52 “Oak Woodlands” ........................................................................................... 11-10

11.53 “Offsite Facility” ............................................................................................. 11-10

11.54 “Person” .......................................................................................................... 11-10

11.55 “Pipeline” ........................................................................................................ 11-10

11.56 “Private Project” ............................................................................................. 11-10

11.57 “Project” .......................................................................................................... 11-10

11.58 “Project-Specific Effects” ............................................................................... 11-11

11.59 “Public Water System” ................................................................................... 11-11

11.60 “Qualified Urban Use” .................................................................................... 11-11

11.61 “Residential” ................................................................................................... 11-11

11.62 “Responsible Agency” .................................................................................... 11-11

11.63 “Riparian areas” .............................................................................................. 11-11

11.64 “Roadway” ...................................................................................................... 11-12

11.65 “Significant Effect” ......................................................................................... 11-12

11.66 “Significant Value as a Wildlife Habitat” ....................................................... 11-12

11.67 “Special Use Airspace” ................................................................................... 11-12

11.68 “Staff” ............................................................................................................. 11-12

11.69 “Standard” ....................................................................................................... 11-12

11.70 “State CEQA Guidelines” ............................................................................... 11-13

11.71 “Substantial Evidence” ................................................................................... 11-13

11.72 “Sustainable Communities Strategy” .............................................................. 11-13

11.73 “Tiering” ......................................................................................................... 11-13

11.74 “Transit Priority Area” .................................................................................... 11-13

11.75 “Transit Priority Project” ................................................................................ 11-14

11.76 “Transportation Facilities” .............................................................................. 11-14

11.77 “Tribal Cultural Resources” ............................................................................ 11-14

11.78 “Trustee Agency”............................................................................................ 11-15

11.79 “Urban Growth Boundary” ............................................................................. 11-15

11.80 “Urbanized Area”............................................................................................ 11-15

11.81 “Water Acquisition Plans” .............................................................................. 11-16

11.82 “Water Assessment” or “Water Supply Assessment” .................................... 11-16

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11.83 “Water Demand Project” ................................................................................ 11-16

11.84 “Waterway”..................................................................................................... 11-17

11.85 “Wetlands” ...................................................................................................... 11-17

11.86 “Wildlife Habitat” ........................................................................................... 11-17

11.87 “Zoning Approval” ........................................................................................ 11-17

12. FORMS ......................................................................................................................... 12-1

13. COMMON ACRONYMS ............................................................................................ 13-1

City Council
22 –
15 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY.

2023 City of Santa Ana Local Guidelines 1-1 ©Best Best & Krieger LLP

LOCAL GUIDELINES

FOR IMPLEMENTING THE

CALIFORNIA ENVIRONMENTAL QUALITY ACT

(2023)

1. GENERAL PROVISIONS, PURPOSE AND POLICY.

1.01 GENERAL PROVISIONS.

These Local Guidelines (“Local Guidelines”) are to assist the City of Santa Ana (“City”) in implementing the provisions of the California Environmental Quality Act (“CEQA”). These Local Guidelines are consistent with the Guidelines for the Implementation of CEQA (“State CEQA Guidelines”), which have been promulgated by the California Natural Resources Agency for the guidance of state and local agencies in California. These Local Guidelines have been adopted pursuant to California Public Resources Code section 21082.

1.02 PURPOSE.

The purpose of these Local Guidelines is to help the City accomplish the following basic objectives of CEQA:
(a) To enhance and provide long-term protection for the environment, while providing a decent home and satisfying living environment for every Californian; (b) To provide information to governmental decision-makers and the public regarding the potential significant environmental effects of the proposed project; (c) To provide an analysis of the environmental effects of future actions associated with the project to adequately apprise all interested parties of the true scope of the project for intelligent weighing of the environmental consequences of the project; (d) To identify ways that environmental damage can be avoided or significantly reduced; (e) To prevent significant avoidable environmental damage through utilization of feasible project alternatives or mitigation measures; and
(f) To disclose and demonstrate to the public the reasons why a governmental agency approved the project in the manner chosen. Public participation is an essential part of the CEQA process. Each public agency should encourage wide public involvement, formal and informal, in order to receive and evaluate public reactions to environmental issues related to a public agency’s activities. Such involvement should include, whenever possible, making environmental information available in electronic format on the Internet, on a web site maintained or utilized by the public agency.

1.03 APPLICABILITY.

These Local Guidelines apply to any activity that constitutes a “project,” as defined in Local Guidelines Section 11.57, for which the City is the Lead Agency or a Responsible Agency.

These Local Guidelines are also intended to assist the City in determining whether a proposed

City Council
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16 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY.

2023 City of Santa Ana Local Guidelines 1-2 ©Best Best & Krieger LLP activity constitutes a project that is subject to CEQA review, or whether the activity is exempt from CEQA.

1.04 REDUCING DELAY AND PAPERWORK.

The State CEQA Guidelines encourage local governmental agencies to reduce delay and paperwork by, among other things:
(a) Integrating the CEQA process into early planning review; to this end, the project approval process and these procedures, to the maximum extent feasible, are to run concurrently, not consecutively;
(b) Identifying projects which fit within categorical or other exemptions and are therefore exempt from CEQA processing;
(c) Using initial studies to identify significant environmental issues and to narrow the scope of Environmental Impact Reports (EIRs);
(d) Using a Negative Declaration when a project, not otherwise exempt, will not have a significant effect on the environment;
(e) Consulting with state and local responsible agencies before and during the preparation of an EIR so that the document will meet the needs of all the agencies which will use it; (f) Allowing applicants to revise projects to eliminate possible significant effects on the environment, thereby enabling the project to qualify for a Negative Declaration rather than an EIR;
(g) Integrating CEQA requirements with other environmental review and consultation requirements;
(h) Emphasizing consultation before an EIR is prepared, rather than submitting adverse comments on a completed document;
(i) Combining environmental documents with other documents, such as general plans; (j) Eliminating repetitive discussions of the same issues by using EIRs on programs, policies or plans and tiering from statements of broad scope to those of narrower scope; (k) Reducing the length of EIRs by means such as setting appropriate page limits; (l) Preparing analytic, rather than encyclopedic, EIRs; (m) Mentioning insignificant issues only briefly;
(n) Writing EIRs in plain language;
(o) Following a clear format for EIRs;
(p) Emphasizing the portions of the EIR that are useful to decision-makers and the public and reducing emphasis on background material;
(q) Incorporating information by reference; and
(r) Making comments on EIRs as specific as possible.

1.05 COMPLIANCE WITH STATE LAW.

These Local Guidelines are intended to implement the provisions of CEQA and the State CEQA Guidelines, and the provisions of CEQA and the State CEQA Guidelines shall be fully complied with even though they may not be set forth or referred to herein.

City Council
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17 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY.

2023 City of Santa Ana Local Guidelines 1-3 ©Best Best & Krieger LLP

1.06 TERMINOLOGY.

The terms “must” or “shall” identify mandatory requirements. The terms “may” and “should” are permissive, with the particular decision being left to the discretion of the City.

1.07 PARTIAL INVALIDITY.

In the event any part or provision of these Local Guidelines shall be determined to be invalid, the remaining portions that can be separated from the invalid unenforceable provisions shall continue in full force and effect.

1.08 ELECTRONIC DELIVERY OF COMMENTS AND NOTICES.

Individuals may file a written request to receive copies of public notices provided for under these Local Guidelines or the State CEQA Guidelines. The requestor may elect to receive these notices via email rather than regular mail. Notices sent by email are deemed delivered when the staff person sending the email sends it to the last email address provided by the requestor to the City. Any request to receive public notices shall be in writing and shall be renewed annually.

Individuals may also submit comments on the CEQA documentation for a project via email. Comments submitted via email shall be treated as written comments for all purposes.

Comments sent to the City via email are deemed received when they actually arrive in an email account of a staff person who has been designated or identified as the point of contact for a particular project.

The City must also post certain environmental documents (such as Draft and Final Environmental Impact Reports, Draft Negative Declarations and Draft Mitigated Negative Declarations) and CEQA notices (such as Notices of Preparation, Notices of Availability, Notices of Intent to Adopt a Negative Declaration, Notices of Exemption, and Notices of Determination) on its website, if any.

(Reference: Pub. Resources Code, §§ 21082.1, 21091(d)(3), 21092.2.)

1.09 THE CITY MAY CHARGE REASONABLE FEES FOR REPRODUCING ENVIRONMENTAL DOCUMENTS.

A public agency may charge and collect a reasonable fee from members of the public that request a copy of an environmental document, so long as the fee does not exceed the cost of reproduction. The kinds of “environmental documents” that CEQA specifically allows public agencies to seek reimbursement for include: initial studies, negative declarations, mitigated negative declarations, draft and final EIRs, and documents prepared as a substitute for an EIR, negative declaration, or mitigated negative declaration.

The City shall make CEQA-related documents (e.g., Negative Declarations, Mitigated Negative Declarations, Draft EIRs, Final EIRs, and notices relating to these documents) available to the public-at-large on its website. Requests for documents made pursuant to the California Public Records Act must comply with the Government Code. (See, for example, Government Code section 7922.570 for information regarding providing documents in electronic format.)

City Council
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18 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY.

2023 City of Santa Ana Local Guidelines 1-4 ©Best Best & Krieger LLP

1.10 TIME OF PREPARATION
Before granting any approval of a non-exempt project subject to CEQA, the Lead Agency or Responsible Agency shall consider either (1) a Final EIR, (2) a Negative Declaration, (3) a Mitigated Negative Declaration, or (4) another document authorized by the State CEQA Guidelines to be used in the place of an EIR or Negative Declaration (e.g., an Addendum, a Supplemental EIR, a Subsequent EIR, etc.).

Choosing the precise time for CEQA compliance involves a balancing of competing factors. EIRs, Negative Declarations, and Mitigated Negative Declarations should be prepared as early as feasible in the planning process to enable environmental considerations to influence project program and design and yet late enough to provide meaningful information for environmental assessment.

With public projects, at the earliest feasible time, project sponsors shall incorporate environmental considerations into project conceptualization, design, and planning. CEQA compliance should be completed prior to acquisition of a site for a public project.

To implement the above principles, the City shall not undertake actions concerning the proposed public project that would have a significant adverse effect or limit the choice of alternatives or mitigation measures, before completion of CEQA compliance. For example, the City shall not:

(A) Formally make a decision to proceed with the use of a site for facilities which would require CEQA review, regardless of whether the City has made any final purchase of the site for these facilities, except that the City may designate a preferred site for CEQA review and may enter into land acquisition agreements when the City has conditioned its future use of the site on CEQA compliance.

(B) Otherwise take any action that gives impetus to a planned or foreseeable project in a manner that forecloses alternatives or mitigation measures that would ordinarily be part of CEQA review of that public project.

With private projects, the City shall encourage the project proponent to incorporate environmental considerations into project conceptualization, design, and planning at the earliest feasible time.

While mere interest in, or inclination to support, a project does not constitute approval, a public agency entering into preliminary agreements regarding a project prior to approval shall not, as a practical matter, commit the agency to the project. For example, the City shall not grant any vested development entitlements prior to compliance with CEQA. Further, any such pre-approval agreement should, for example:

(A) Condition the agreement on compliance with CEQA;
(B) Not bind any party, or commit any party, to a definite course of action prior to CEQA compliance;

City Council
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19 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) GENERAL PROVISIONS, PURPOSE AND POLICY.

2023 City of Santa Ana Local Guidelines 1-5 ©Best Best & Krieger LLP (C) Not restrict the Lead Agency from considering any feasible mitigation measures and alternatives, including the “no project” alternative; and (D) Not restrict the Lead Agency from denying the project.

The City’s environmental document preparation and review should be coordinated in a timely fashion with the City’s existing planning, review, and project approval processes. These procedures, to the maximum extent feasible, are to run concurrently, not consecutively.

(See State CEQA Guidelines, § 15004; Save Tara v. City of West Hollywood (2008) 45 Cal.4th 116.)

1.11 STATE AGENCY FURLOUGHS.

Due to budget concerns, the State may institute mandatory furlough days for state government agencies. Local agencies may also change their operating hours.

Because state and local agencies may enact furloughs that limit their operating hours, if the City has time-sensitive materials or needs to consult with a state agency, the City should check with the applicable state agency office or with the City’s attorney to ensure compliance with all applicable deadlines.

City Council
22 –
20 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES

2023 City of Santa Ana Local Guidelines 2-1 ©Best Best & Krieger LLP

2. LEAD AND RESPONSIBLE AGENCIES

2.01 LEAD AGENCY PRINCIPLE.

The City will be the Lead Agency if it will have principal responsibility for carrying out or approving a project. Where a project is to be carried out or approved by more than one public agency, only one agency shall be responsible for the preparation of environmental documents.

This agency shall be called the Lead Agency.
(Reference: State CEQA Guidelines, §§ 15050, 15367.)

2.02 SELECTION OF LEAD AGENCY.

Where two or more public agencies will be involved with a project, the Lead Agency shall be designated according to the following criteria:
(a) If the project will be carried out by a public agency, that agency shall be the Lead Agency even if the project will be located within the jurisdiction of another public agency; or

(b) If the project will be carried out by a nongovernmental person or entity, the Lead Agency shall be the public agency with the greatest responsibility for supervising and approving the project as a whole.

The Lead Agency will normally be the agency with general governmental powers, rather than an agency with a single or limited purpose. (For example, a city that will provide a public service or utility to the project serves a limited purpose.) If two or more agencies meet this criteria equally, the agency that acts first on the project will normally be the Lead Agency.

If two or more public agencies have a substantial claim to be the Lead Agency under either (a) or (b), they may designate one agency as the Lead Agency by agreement. An agreement may also provide for cooperative efforts by contract, joint exercise of powers, or similar devices. If the agencies cannot agree which agency should be the Lead Agency for preparing the environmental document, any of the disputing public agencies or the project applicant may submit the dispute to the Office of Planning and Research. Within 21 days of receiving the request, the Office of Planning and Research will designate the Lead Agency. The Office of Planning and Research shall not designate a Lead Agency in the absence of a dispute. A “dispute” means a contested, active difference of opinion between two or more public agencies as to which of those agencies shall prepare any necessary environmental document. A dispute exists when each of those agencies claims that it either has or does not have the obligation to prepare that environmental document.
(Reference: State CEQA Guidelines, § 15051.)

2.03 DUTIES OF A LEAD AGENCY.

As a Lead Agency, the City shall decide whether a Negative Declaration, Mitigated Negative Declaration or an EIR will be required for a project and shall prepare, or cause to be prepared, and consider the document before making its decision on whether and how to approve

City Council
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21 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES

2023 City of Santa Ana Local Guidelines 2-2 ©Best Best & Krieger LLP the project. The documents may be prepared by Staff or by private consultants pursuant to a contract with the City. However, the City shall independently review and analyze all draft and final EIRs or Negative Declarations prepared for a project and shall find that the EIR or Negative Declaration reflects the independent judgment of the City prior to approval of the document. If a Draft EIR or Final EIR is prepared under a contract with the City, the contract must be executed within forty-five (45) days from the date on which the City sends a Notice of Preparation. The City, however, may take longer to execute the contract if the project applicant and the City mutually agree to an extension of the 45-day time period. (Pub. Resources Code, § 21151.5; see also Local Guidelines Section 7.02.)
During the process of preparing an EIR, the City, as Lead Agency, shall have the following duties:
(a) If a California Native American tribe has requested consultation, within 14 days after determining that an application for a project is complete or a decision to undertake a project, the City shall begin consultation with the California Native American tribes (see Local Guidelines Section 7.07);
(b) Immediately after deciding that an EIR is required for a project, the City shall send to the Office of Planning and Research and each Responsible Agency a Notice of Preparation (Form “G”) stating that an EIR will be prepared (see Local Guidelines Section 7.03); (c) Prior to release of an EIR, if the California Native American tribe that is culturally affiliated with the geographic area of a project requests in writing to be informed of any proposed project, the City shall begin consultation with the tribe consistent with California law and Local Guidelines Section 7.07;
(d) The City shall prepare or cause to be prepared the Draft EIR for the project (see Local Guidelines Sections 7.06 and 7.18);
(e) Once the Draft EIR is completed, the City shall file a Notice of Completion (Form “H”) with the Office of Planning and Research (see Local Guidelines Section 7.25); (f) The City shall consult with state, federal and local agencies that exercise authority over resources that may be affected by the project for their comments on the completed Draft EIR (see, e.g., Local Guidelines Sections 5.02, 5.16, Section 7.26); (g) The City shall provide public notice of the availability of a Draft EIR (Form “K”) at the same time that it sends a Notice of Completion to the Office of Planning and Research (see Local Guidelines Section 7.25);
(h) The City shall evaluate comments on environmental issues received from persons who reviewed the Draft EIR and shall prepare or cause to be prepared a written response to all comments that raise significant environmental issues and that were timely received during the public comment period. A written response must be provided to all public agencies who commented on the project during the public review period at least ten (10) days prior to certifying an EIR (see Local Guidelines Section 7.30); (i) The City shall prepare or cause to be prepared a Final EIR before approving the project (see Local Guidelines Section 7.31);
(j) The City shall certify that the Final EIR has been completed in compliance with CEQA and has been reviewed by the City Council (see Local Guidelines Section 7.33); and (k) The City shall include in the Final EIR any comments received from a Responsible Agency on the Notice of Preparation or the Draft EIR (see Local Guidelines Sections 2.08, 7.30 and 7.31).

City Council
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22 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES

2023 City of Santa Ana Local Guidelines 2-3 ©Best Best & Krieger LLP

2.04 CEQA DETERMINATIONS MADE BY NON-ELECTED BODY; PROCEDURE TO APPEAL SUCH DETERMINATIONS.

As Lead Agency, the City may charge a non-elected decisionmaking body with the responsibility of making a finding of exemption or adopting, certifying or authorizing environmental documents. Any such determination, however, shall be subject to the City's procedures allowing for the appeal of the CEQA determination of any non-elected body to the City Council. In the absence of a procedure governing such appeal, any CEQA determination made by a non-elected decisionmaker shall be appealable to the City Council within ten (10) days of the non-elected decisionmaker’s determination. If the non-elected decisionmaker’s CEQA determination is not timely appealed as set forth herein, the non-elected decisionmaker’s determination shall be final.

In the event the City Council has delegated authority to a subsidiary board or official to approve a project, the City hereby delegates to that subsidiary board or official the authority to make all necessary CEQA determinations, including whether an EIR, Negative Declaration, Mitigated Negative Declaration or exemption shall be required for any project. A subsidiary board or official’s CEQA determination shall be subject to appeal as set forth above. (Reference: State CEQA Guidelines, §§ 15061(e), 15074(f), 15090(b).)

2.05 PROJECTS RELATING TO DEVELOPMENT OF HAZARDOUS WASTE AND OTHER SITES.

An applicant for a development project must submit a signed statement to the City, as Lead Agency, stating whether the project and any alternatives are located on a site that is included in any list compiled by the Secretary for Environmental Protection of the California Environmental Protection Agency (“California EPA”) listing hazardous waste sites and other specified sites located in the City’s boundaries. The applicant’s statement must contain the following information:
(a) The applicant’s name, address, and phone number;
(b) Address of site, and local agency (city/county);
(c) Assessor’s book, page, and parcel number; and
(d) The list which includes the site, identification number, and date of list.

Before accepting as complete an application for any development project as defined in Local Guidelines Section 11.17, the City, as Lead Agency, shall consult lists compiled by the Secretary for Environmental Protection of the California EPA pursuant to Government Code section 65962.5 listing hazardous waste sites and other specified sites located in the City’s boundaries. When acting as Lead Agency, the City shall notify an applicant for a development project if the project site is located on such a list and not already identified. In the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration (see Local Guidelines Section

6.04) or the Notice of Preparation of Draft EIR (see Local Guidelines Section 7.03), the City shall specify the California EPA list, if any, that includes the project site, and shall provide the information contained in the applicant’s statement.
(Reference: Gov. Code, § 65962.5.)

City Council
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Local Guidelines for Implementing the
California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES

2023 City of Santa Ana Local Guidelines 2-4 ©Best Best & Krieger LLP

2.06 RESPONSIBLE AGENCY PRINCIPLE.

When a project is to be carried out or approved by more than one public agency, all public agencies other than the Lead Agency that have discretionary approval power over the project shall be identified as Responsible Agencies.

2.07 DUTIES OF A RESPONSIBLE AGENCY.

When it is identified as a Responsible Agency, the City shall consider the environmental documents prepared or caused to be prepared by the Lead Agency and reach its own conclusions on whether and how to approve the project involved. The City shall also both respond to consultation and attend meetings as requested by the Lead Agency to assist the Lead Agency in preparing adequate environmental documents. The City should also review and comment on Draft EIRs, Negative Declarations, and Mitigated Negative Declarations. Comments shall be limited to those project activities that are within the City’s area of expertise or are required to be carried out or approved by the City or are subject to the City’s powers.

As a Responsible Agency, the City may identify significant environmental effects of a project for which mitigation is necessary. As a Responsible Agency, the City may submit to the Lead Agency proposed mitigation measures that would address those significant environmental effects. If mitigation measures are required, the City should submit to the Lead Agency complete and detailed performance objectives for such mitigation measures that would address the significant environmental effects identified, or refer the Lead Agency to appropriate, readily available guidelines or reference documents. Any mitigation measures submitted to the Lead Agency by the City, when acting as a Responsible Agency, shall be limited to measures that mitigate impacts to resources that are within the City’s authority. For private projects, the City, as a Responsible Agency, may require the project proponent to provide such information as may be required and to reimburse the City for all costs incurred by it in reporting to the Lead Agency. (Reference: State CEQA Guidelines, § 15096.)

2.08 RESPONSE TO NOTICE OF PREPARATION BY RESPONSIBLE AGENCIES.

Within thirty (30) days of receipt of a Notice of Preparation of an EIR, the City, as a Responsible Agency, shall specify to the Lead Agency the scope and content of the environmental information related to the City’s area of statutory responsibility in connection with the proposed project. At a minimum, the response shall identify the significant environmental issues and possible alternatives and mitigation that the City, as a Responsible Agency, will need to have explored in the Draft EIR. Such information shall be specified in writing, shall be as specific as possible, and shall be communicated to the Lead Agency, by certified mail, email, or any other method of transmittal that provides it with a record that the response was received. The Lead Agency shall incorporate this information into the EIR. (Reference: Pub. Resources Code, § 21080.4; State CEQA Guidelines, § 15103.)

City Council
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Local Guidelines for Implementing the
California Environmental Quality Act (2023) LEAD AND RESPONSIBLE AGENCIES

2.09 USE OF FINAL EIR OR NEGATIVE DECLARATION BY RESPONSIBLE AGENCIES.

The City, as a Responsible Agency, shall consider the Lead Agency’s Final EIR or Negative Declaration before acting upon or approving a proposed project. As a Responsible Agency, the City must independently review and consider the adequacy of the Lead Agency’s environmental documents prior to approving any portion of the proposed project. In certain instances, the City, in its role as a Responsible Agency, may require that a Subsequent EIR or a Supplemental EIR be prepared to fully address those aspects of the project over which the City has approval authority. Mitigation measures and alternatives deemed feasible and relevant to the City’s role in carrying out the project shall be adopted. Findings that are relevant to the City’s role as a Responsible Agency shall be made. After the City decides to approve or carry out part of a project for which an EIR or negative declaration has previously been prepared by the Lead Agency, the City, as Responsible Agency, should file a Notice of Determination with the County Clerk within five (5) days of approval, but need not state that the Lead Agency’s EIR or Negative Declaration complies with CEQA. The City, as Responsible Agency, should state that it considered the EIR or Negative Declaration as prepared by a Lead Agency. (Reference: State CEQA Guidelines, § 15096.)

2.10 SHIFT IN LEAD AGENCY RESPONSIBILITIES.

The City, as a Responsible Agency, shall assume the role of the Lead Agency if any one of the following three conditions is met:
(a) The Lead Agency did not prepare any environmental documents for the project, and the statute of limitations has expired for a challenge to the action of the appropriate Lead Agency;

(b) The Lead Agency prepared environmental documents for the project, and all of the following conditions apply:
(1) A Subsequent or Supplemental EIR is required;
(2) The Lead Agency has granted a final approval for the project; and (3) The statute of limitations has expired for a challenge to the action of the appropriate Lead Agency; or
(c) The Lead Agency prepared inadequate environmental documents without providing public notice of a Negative Declaration or sending Notice of Preparation of an EIR to Responsible Agencies and the statute of limitations has expired for a challenge to the action of the appropriate Lead Agency.

(Reference: State CEQA Guidelines, § 15052.)

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3. ACTIVITIES EXEMPT FROM CEQA

3.01 ACTIONS SUBJECT TO CEQA.

CEQA applies to discretionary projects proposed to be carried out or approved by public agencies such as the City. If the proposed activity does not come within the definition of “project” contained in Local Guidelines Section 11.57, it is not subject to environmental review under CEQA.

The term “project,” as defined by CEQA, does not include:
(a) Proposals for legislation to be enacted by the State Legislature; (b) Continuing administrative or maintenance activities, such as purchases for supplies, personnel-related actions, and general policy and procedure making (except as provided in Local Guidelines Section 11.57);
(c) The submittal of proposals to a vote of the people in response to a petition drive initiated by voters, or the enactment of a qualified voter-sponsored initiative under California Constitution Art. II, Section 11(a) and Election Code section 9214; (d) The creation of government funding mechanisms or other government fiscal activities that do not involve any commitment to any specific project that may have a potentially significant physical impact on the environment. Government funding mechanisms may include, but are not limited to, assessment districts and community facilities districts; (e) Organizational or administrative activities of governments that will not result in direct or indirect physical changes in the environment; and
(f) Activities that do not result in a direct or reasonably foreseeable indirect physical change in the environment.
(Reference: State CEQA Guidelines, §§ 15060(c), 15378.)

3.02 MINISTERIAL ACTIONS.

Ministerial actions are not subject to CEQA review. A ministerial action is one that is approved or denied by a decision that a public official or a public agency makes that involves only the use of fixed standards or objective measurements without personal judgment or discretion.

When a project involves an approval that contains elements of both a ministerial and discretionary nature, the project will be deemed to be discretionary and subject to the requirements of CEQA. The decision whether the approval of a proposed project or activity is ministerial in nature may involve or require, to some extent, interpretation of the language of the legal mandate, and should be made on a case-by-case basis. The following is a non-exclusive list of examples of ministerial activities:
(a) Issuance of business licenses;
(b) Approval of final subdivision maps and final parcel maps; (c) Approval of individual utility service connections and disconnections; (d) Issuance of licenses;
(e) Issuance of a permit to do street work;

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2023 City of Santa Ana Local Guidelines 3-2 ©Best Best & Krieger LLP (f) Issuance of building permits where the Lead Agency does not retain significant discretionary power to modify or shape the project; and (g) Until January 1, 2024, approval of an application to install an emergency standby generator to serve a macro cell tower where conditions set forth in Government Code section 65850.75 are met.
(Reference: State CEQA Guidelines, § 15268.)

3.03 EXEMPTIONS IN GENERAL.

CEQA and the State CEQA Guidelines exempt certain activities and provide that local agencies should further identify and describe certain exemptions. The requirements of CEQA and the obligation to prepare an EIR, Negative Declaration, or Mitigated Negative Declaration generally do not apply to the exempt activities that are set forth in CEQA, the State CEQA Guidelines, and Chapter 3 of these Local Guidelines.
(Reference: State CEQA Guidelines, §§ 15260 – 15332.)

3.04 NOTICE OF EXEMPTION.

After approval of an exempt project, a “Notice of Exemption” (Form “A”) may be filed by the City or its representatives with the County Clerk of each county in which the activity will be located. A Notice of Exemption must be filed electronically with the County Clerk if that option is offered by the County Clerk. After filing, the City must additionally post the Notice of Exemption on the City’s website, if any.

If the Lead Agency exempts an agricultural housing, affordable housing, or residential infill project under State CEQA Guidelines sections 15193, 15194 or 15195 and approves or determines to carry out that project, it must also file a notice with the Office of Planning and Research (“OPR”) identifying the exemption.

The County Clerk must post the Notice of Exemption within twenty-four (24) hours of receipt, and the Notice must remain posted for thirty (30) days. The thirty day (30) posting requirement excludes the first day of posting and includes the last day of posting. On the 30th day, the Notice of Exemption must be posted for the entire day. Although no California Department of Fish and Wildlife (“DFW”) filing fee is applicable to exempt projects, most counties customarily charge a documentary handling fee to pay for record keeping on behalf of the DFW. Refer to the Index in the County Clerk Memo to determine if such a fee will be required for the project.

The Notice of Exemption must, among other things, identify the person undertaking the project, including any person undertaking an activity that receives financial assistance from the City as part of the project or the person receiving a lease, permit, license, certificate, or other entitlement for use from the City as part of the project. Certain counties require the name and address of an applicant to be included in the “Project Applicant” box of the Notice of Exemption, even when the only project proponent is the City; in these counties, if the City is the only project proponent, the City’s name and address should be provided in the “Project Applicant” box of the Notice of Exemption. Check the county’s requirements before submitting the Notice of Exemption for filing and posting.

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2023 City of Santa Ana Local Guidelines 3-3 ©Best Best & Krieger LLP The Notice of Exemption may be filed by the project applicant, rather than the Lead Agency, in certain circumstances. Specifically, the Lead Agency may direct the project applicant to file the Notice of Exemption where the activity that the Lead Agency has determined is exempt from CEQA either:
(a) is undertaken by a person (not a public agency) and is supported, in whole or in part, through contracts, grants, subsidies, loans, or other forms of assistance from one or more public agencies; or
(b) involves the issuance to a person (not a public agency) of a lease, permit, license, certificate, or other entitlement for use by one or more public agencies. (See Public Resources Code, §§ 21065(b)-(c), 21152). Where the Notice of Exemption is filed by a project applicant rather than the Lead Agency, the applicant must attach a Certificate of Determination to the Notice of Exemption to be filed. The Certificate of Determination may be in the form of a certified copy of an existing document or record of the Lead Agency. Alternatively, the Lead Agency may prepare a Certificate of Determination (see Form “B”) stating that the activity is exempt from CEQA, and the Lead Agency may provide the Certificate of Determination to the applicant. The applicant must attach the Certificate of Determination to the Notice of Exemption to be filed.

The filing of a Notice of Exemption, when appropriate, is recommended for City actions because it starts a 35-day statute of limitations on legal challenges to the City’s determination that the activity is exempt from CEQA. If a Notice of Exemption is not filed, a 180-day statute of limitations will apply. Please see Local Guidelines Section 3.12 for certain circumstances in which the Lead Agency is required to file a Notice of Exemption.

When a request is made for a copy of the Notice prior to the date on which the City determines the project is exempt, the Notice must be mailed, first class postage prepaid, within five (5) days after the City’s determination. If such a request is made following the City’s determination, then the copy should be mailed in the same manner as soon as possible. (Reference: Pub. Resources Code, § 21152; State CEQA Guidelines, § 15062.)

3.05 DISAPPROVED PROJECTS.

CEQA does not apply to projects that the Lead Agency rejects or disapproves.

Even if a project for which an EIR, Negative Declaration, or Mitigated Negative Declaration has been prepared is ultimately disapproved, the project applicant shall not be relieved of its obligation to pay the costs incurred to prepare the EIR, Negative Declaration, or Mitigated Negative Declaration for the project.
(Reference: State CEQA Guidelines, §§ 15061(b)(4), 15270.)

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3.06 PROJECTS WITH NO POSSIBILITY OF SIGNIFICANT EFFECT.

Where it can be seen with absolute certainty that there is no possibility that the activity in question may have a significant effect on the environment, the activity is exempt from CEQA.

3.07 EMERGENCY PROJECTS.

The following types of emergency projects are exempt from CEQA (the term “emergency” is defined in Local Guidelines Section 11.20):
(a) Work in a disaster-stricken area in which a state of emergency has been proclaimed by the Governor pursuant to Section 8550 of the Government Code. This includes projects that will remove, destroy, or significantly alter a historical resource when that resource represents an imminent threat to the public of bodily harm or of damage to adjacent property or when the project has received a determination by the State Office of Historic Preservation pursuant to Section 5028(b) of the Public Resources Code. (b) Emergency repairs to publicly or privately owned service facilities necessary to maintain service essential to the public health, safety, or welfare. Emergency repairs include those that require a reasonable amount of planning to address an anticipated emergency. (c) Projects necessary to prevent or mitigate an emergency. This does not include long-term projects undertaken for the purpose of preventing or mitigating a situation that has a low probability of occurrence in the short-term, but this exclusion does not apply (i) if the anticipated period of time to conduct an environmental review of such a long-term project would create a risk to public health, safety, or welfare, or (ii) if activities (such as fire or catastrophic risk mitigation or modifications to improve facility integrity) are proposed for existing facilities in response to an emergency at a similar existing facility. (d) Projects undertaken, carried out, or approved by a public agency to maintain, repair, or restore an existing highway damaged by fire, flood, storm, earthquake, land subsidence, gradual earth movement, or landslide, provided that the project is within the existing right of way of that highway and is initiated within one year of the damage occurring. Highway shall have the same meaning as defined in Section 360 of the Vehicle Code. This exemption does not apply to highways designated as official state scenic highways, nor to any project undertaken, carried out, or approved by a public agency to expand or widen a highway damaged by fire, flood, storm, earthquake, land subsidence, gradual earth movement, or landslide.
(e) Seismic work on highways and bridges pursuant to Streets and Highways Code section 180.2.
(Reference: State CEQA Guidelines, § 15269.)

3.08 FEASIBILITY AND PLANNING STUDIES.

A project that involves only feasibility or planning studies for possible future actions which the City has not yet approved, adopted or funded is exempt from CEQA. (Reference: State CEQA Guidelines, § 15262.)

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3.09 RATES, TOLLS, FARES, AND CHARGES.

The establishment, modification, structuring, restructuring or approval of rates, tolls, fares, or other charges by the City that the City finds are for one or more of the purposes listed below are exempt from CEQA.
(a) Meeting operating expenses, including employee wage rates and fringe benefits; (b) Purchasing or leasing supplies, equipment or materials; (c) Meeting financial reserve needs and requirements; or (d) Obtaining funds for capital projects necessary to maintain service within existing service areas.

When the City determines that one of the aforementioned activities pertaining to rates, tolls, fares, or charges is exempt from the requirements of CEQA, it shall incorporate written findings setting forth the specific basis for the claim of exemption in the record of any proceeding in which such an exemption is claimed.
(Reference: State CEQA Guidelines, § 15273.)

3.10 PIPELINES WITHIN A PUBLIC RIGHT-OF-WAY AND LESS THAN ONE MILE IN LENGTH.

Projects that are for the installation of a new pipeline or the maintenance, repair, restoration, reconditioning, relocation, replacement, removal, or demolition of an existing pipeline and that are:
(a) in a public street or highway or any other public right-of-way; and (b) less than one mile in length

shall be exempt from CEQA requirements.
“Pipeline” includes subsurface facilities but does not include any surface facility related to the operation of the underground facility.

(Reference: Public Resources Code, § 21080.21.)

3.11 PIPELINES OF LESS THAN EIGHT MILES IN LENGTH.

Projects that are for the inspection, maintenance, repair, restoration, reconditioning, relocation, replacement, or removal of an existing pipeline, or any valve, flange, meter, or other piece of equipment that is directly attached to the pipeline shall be exempt from CEQA requirements if all of the following conditions are met:
(a) The project is less than eight miles in length.
(b) Notwithstanding the project length, actual construction and excavation activities undertaken to achieve the maintenance, repair, restoration, reconditioning, relocation, replacement, or removal of an existing pipeline are not undertaken over a length of more than one-half mile at any one time.

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2023 City of Santa Ana Local Guidelines 3-6 ©Best Best & Krieger LLP (c) The project consists of a section of pipeline that is not less than eight miles from any section of pipeline that has been subject to an exemption pursuant to CEQA in the past 12 months. (d) The project is not solely for the purpose of excavating soil that is contaminated by hazardous materials, and, to the extent not otherwise expressly required by law, the party undertaking the project immediately informs the lead agency of the discovery of contaminated soil.
(e) To the extent not otherwise expressly required by law, the person undertaking the project has, in advance of undertaking the project, prepared a plan that will result in notification of the appropriate agencies so that they may take action, if determined to be necessary, to provide for the emergency evacuation of members of the public who may be located in close proximity to the project.
(f) Project activities are undertaken within an existing right-of-way and the right-of-way is restored to its condition prior to the project.
(g) The project applicant agrees to comply with all conditions otherwise authorized by law, imposed by the city or county planning department as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and to otherwise comply with the Keene-Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), and other applicable state laws, and with all applicable federal laws.

If a project meets all of the requirements for this exemption, the person undertaking the project shall do all of the following:
(a) Notify, in writing, any affected public agency, including, but not limited to, any public agency having permit, land use, environmental, public health protection, or emergency response authority of this exemption.
(b) Provide notice to the public in the affected area in a manner consistent with paragraph (3) of Public Resources Code section 21092(b).
(c) In the case of private rights-of-way over private property, receive from the underlying property owner permission for access to the property.
(d) Comply with all conditions otherwise authorized by law, imposed by the city or county planning department as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and otherwise comply with the Keene- Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), and other applicable state laws, and with all applicable federal laws.

This exemption does not apply to a project in which the diameter of the pipeline is increased or to a project undertaken within the boundaries of an oil refinery.

For purposes of this exemption, the following definitions apply:

(a) “Pipeline” includes every intrastate pipeline used for the transportation of hazardous liquid substances or highly volatile liquid substances, including a common carrier pipeline, and all piping containing those substances located within a refined products bulk loading

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2023 City of Santa Ana Local Guidelines 3-7 ©Best Best & Krieger LLP facility which is owned by a common carrier and is served by a pipeline of that common carrier, and the common carrier owns and serves by pipeline at least five such facilities in the state. “Pipeline” does not include the following:
(1) An interstate pipeline subject to Part 195 of Title 49 of the Code of Federal Regulations.
(2) A pipeline for the transportation of a hazardous liquid substance in a gaseous state.
(3) A pipeline for the transportation of crude oil that operates by gravity or at a stress level of 20 percent or less of the specified minimum yield strength of the pipe.
(4) Transportation of petroleum in onshore gathering lines located in rural areas.
(5) A pipeline for the transportation of a hazardous liquid substance offshore located upstream from the outlet flange of each facility on the Outer Continental Shelf where hydrocarbons are produced or where produced hydrocarbons are first separated, dehydrated, or otherwise processed, whichever facility is farther downstream.
(6) Transportation of a hazardous liquid by a flow line. (7) A pipeline for the transportation of a hazardous liquid substance through an onshore production, refining, or manufacturing facility, including a storage or in plant piping system associated with that facility. (8) Transportation of a hazardous liquid substance by vessel, aircraft, tank truck, tank car, or other vehicle or terminal facilities used exclusively to transfer hazardous liquids between those modes of transportation.

3.12 CERTAIN RESIDENTIAL HOUSING PROJECTS.

CEQA does not apply to the construction, conversion, or use of residential housing if the project meets all of the general requirements described in Section A below and satisfies the specific requirements for any one of the following three categories: (1) agricultural housing (Section B below), (2) affordable housing projects in urbanized areas (Section C below), or (3) affordable housing projects near major transit stops (Section D below).

A. General Requirements . The construction, conversion, or use of residential housing units affordable to low-income households (as defined in Local Guidelines Section 11.36) located on an infill site in an urbanized area is exempt from CEQA if all of the following general requirements are satisfied:
(1) The project is consistent with:
(a) Any applicable general plan, specific plan, or local coastal program, including any mitigation measures required by such plan or program, as that plan or program existed on the date that the application was deemed complete; and
(b) Any applicable zoning ordinance, as that zoning ordinance existed on the date that the application was deemed complete.

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2023 City of Santa Ana Local Guidelines 3-8 ©Best Best & Krieger LLP However, the project may be inconsistent with zoning if the zoning is inconsistent with the general plan and the project site has not been rezoned to conform to the general plan;
(2) Community level environmental review has been adopted or certified; (3) The project and other projects approved prior to the approval of the project can be adequately served by existing utilities, and the project applicant has paid, or has committed to pay, all applicable in-lieu or development fees; (4) The project site meets all of the following four criteria relating to biological resources:
(a) The project site does not contain wetlands;
(b) The project site does not have any value as a wildlife habitat; (c) The project does not harm any species protected by the federal Endangered Species Act of 1973, the Native Plant Protection Act, or the California Endangered Species Act; and
(d) The project does not cause the destruction or removal of any species protected by a local ordinance in effect at the time the application for the project was deemed complete;
(5) The site is not included on any list of facilities and sites compiled pursuant to Government Code section 65962.5;
(6) The project site is subject to a preliminary endangerment assessment prepared by a registered environmental assessor to determine the existence of any release of a hazardous substance on the site and to determine the potential for exposure of future occupants to significant health hazards from any nearby property or activity. In addition, the following steps must have been taken in response to the results of this assessment:
(a) If a release of a hazardous substance is found to exist on the site, the release shall be removed or any significant effects of the release shall be mitigated to a level of insignificance in compliance with state and federal requirements; or
(b) If a potential for exposure to significant hazards from surrounding properties or activities is found to exist, the effects of the potential exposure shall be mitigated to a level of insignificance in compliance with state and federal requirements; (7) The project does not have a significant effect on historical resources pursuant to Section 21084.1 of the Public Resources Code (see Local Guidelines Section 11.28);
(8) The project site is not subject to wildland fire hazard, as determined by the Department of Forestry and Fire Protection; unless the applicable general

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2023 City of Santa Ana Local Guidelines 3-9 ©Best Best & Krieger LLP plan or zoning ordinance contains provisions to mitigate the risk of a wildland fire hazard;
(9) The project site does not have an unusually high risk of fire or explosion from materials stored or used on nearby properties;
(10) The project site does not present a risk of a public health exposure at a level that would exceed the standards established by any state or federal agency;
(11) Either the project site is not within a delineated earthquake fault zone, or a seismic hazard zone, as determined pursuant to Section 2622 and 2696 of the Public Resources Code respectively, or the applicable general plan or zoning ordinance contains provisions to mitigate the risk of an earthquake or seismic hazard;
(12) Either the project site does not present a landslide hazard, flood plain, flood way, or restriction zone, or the applicable general plan or zoning ordinance contains provisions to mitigate the risk of a landslide or flood; (13) The project site is not located on developed open space; (14) The project site is not located within the boundaries of a state conservancy; (15) The project site has not been divided into smaller projects to qualify for one or more of the exemptions for affordable housing, agricultural housing, or residential infill housing projects found in the subsequent sections; and
(16) The project meets the requirements set forth in either Public Resources Code sections 21159.22, 21159.23 or 21159.24.
(Reference: State CEQA Guidelines, § 15192.)
B. Specific Requirements for Agricultural Housing . CEQA does not apply to the construction, conversion, or use of residential housing for agricultural employees that meets all of the general requirements described above in Section A and meets the following additional criteria:
(1) The project either:
(a) Is affordable to lower income households, lacks public financial assistance, and the developer has provided sufficient legal commitments to ensure the continued availability and use of the housing units for lower income households for a period of at least fifteen (15) years; or
(b) If public financial assistance exists for the project, then the project must be housing for very low-, low-, or moderate-income

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2023 City of Santa Ana Local Guidelines 3-10 ©Best Best & Krieger LLP households and the developer of the project has provided sufficient legal commitments to the appropriate local agency to ensure the continued availability and use of the housing units for low- and moderate-income households for a period of at least fifteen (15) years;
(2) The project site is adjacent on at least two sides to land that has been developed and the project consists of not more than forty-five (45) units or provides dormitories, barracks, or other group-living facilities for a total of forty-five (45) or fewer agricultural employees, and either:
(a) The project site is within incorporated city limits or within a census-defined place with a minimum population density of at least five thousand (5,000) persons per square mile; or (b) The project site is within incorporated city limits or within a census-defined place and the minimum population density of the census-defined place is at least one thousand (1,000) persons per square mile, unless the Lead Agency determines that there is a reasonable possibility that the project, if completed, would have a significant effect on the environment due to unusual
circumstances or that the cumulative effects of successive projects of the same type in the same area would, over time, be significant;
(3) If the project is located on a site zoned for general agricultural use, it must consist of twenty (20) or fewer units, or, if the housing consists of dormitories, barracks, or other group-living facilities, the project must not provide housing for more than twenty (20) agricultural employees; and (4) The project is not more than two (2) acres in area if the project site is located in an area with a population density of at least one thousand (1,000) persons per square mile, and is not more than five (5) acres in area for all other project sites.
(Reference: Pub. Resources Code, §§ 21084, 21159.22; State CEQA Guidelines, §§ 15192, 15193.)
C. Specific Requirements for Affordable Housing Projects in Urbanized Areas .

CEQA does not apply to any development project that consists of the construction, conversion, or use of residential housing consisting of one hundred (100) or fewer units that are affordable to low-income households if all of the general requirements described in Section A above are satisfied and the following additional criteria are also met:
(1) The developer of the project provides sufficient legal commitments to the local agency to ensure the continued availability and use of the housing units for lower income households for a period of at least thirty (30) years,

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2023 City of Santa Ana Local Guidelines 3-11 ©Best Best & Krieger LLP at monthly housing costs deemed to be “affordable rent” for lower income, very low income, and extremely low income households, as determined pursuant to Section 50053 of the Health and Safety Code; (2) The project site meets one of the following conditions:
(a) Has been previously developed for qualified urban uses; (b) Is immediately adjacent to parcels that are developed with qualified urban uses; or
(c) At least 75% of the perimeter of the site adjoins parcels that are developed with qualified urban uses and the remaining 25% of the perimeter of the site adjoins parcels that have previously been developed for qualified urban uses, the site has not been developed for urban uses and no parcel within the site has been created within ten (10) years prior to the proposed development of the site;
(3) The project site is not more than five (5) acres in area; and (4) The project site meets one of the following requirements regarding population density:
(a) The project site is within an urbanized area or within a census- defined place with a population density of at least five thousand (5,000) persons per square mile;
(b) If the project consists of fifty (50) or fewer units, the project site is within an incorporated city with a population density of at least twenty-five hundred (2,500) persons per square mile and a total population of at least twenty-five thousand (25,000) persons; or (c) The project site is within either an incorporated city or a census- defined place with a population density of one thousand (1,000) persons per square mile, unless there is a reasonable possibility that the project would have a significant effect on the environment due to unusual circumstances or due to the related or cumulative impacts of reasonably foreseeable projects in the vicinity of the project.
(Reference: Pub. Resources Code, §§ 21083, 21159.23; State CEQA Guidelines, § 15194.) D. Specific Requirements for Affordable Housing Projects Near Major Transit Stops.
(a) Except as provided in subdivision (b), CEQA does not apply to a project if all of the following criteria are met:

1. The project is a residential project on an infill site.

2. The project is located within an urbanized area.

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3. The project satisfies the criteria of Public Resources Code section 21159.21, described in Section A above.

4. Within five years of the date that the application for the project is deemed complete pursuant to Section 65943 of the Government Code, community-level environmental review was certified or adopted.

5. The site of the project is not more than four acres in total area.

6. The project does not contain more than 100 residential units.

7. Either of the following criteria (subdivision (a) or subdivision (b)) are met:
a. (1) At least 10 percent of the housing is sold to families of moderate income, or not less than 10 percent of the
housing is rented to families of low income, or not less than 5 percent of the housing is rented to families of very low income; and

(2) The project developer provides sufficient legal
commitments to the appropriate local agency to ensure the continued availability and use of the housing units for very low-, low-, and moderate-income households at monthly
housing costs determined pursuant to paragraph (3) of the subdivision (h) of Section 65589.5 of the Government Code.

b. The project developer has paid or will pay in-lieu fees pursuant to a local ordinance in an amount sufficient to result in the development of an equivalent number of units that would otherwise be required pursuant to subparagraph 7.a above.

8. The project is within one-half mile of a major transit stop.

9. The project does not include any single level building that exceeds 100,000 square feet.

10. The project promotes higher density infill housing. A project with a density of at least 20 units per acre shall be conclusively presumed to promote higher density infill housing. A project with a density of at least 10 units per acre and a density greater than the average density of the residential properties within 1,500 feet shall be presumed to promote higher density housing unless the preponderance of the evidence demonstrates otherwise.
(b) Notwithstanding subdivision (a) above, the Exemption for Affordable Housing Projects near Major Transit Stops does not apply if any one of the following criteria is met:

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1. There is a reasonable possibility that the project will have a project- specific, significant effect on the environment due to unusual circumstances;

2. Substantial changes have occurred since community-level environmental review was adopted or certified with respect to the circumstances under which the project is being undertaken, and those changes are related to the project; or

3. New information regarding the circumstances under which the project is being undertaken has become available, and that new information is related to the project and was not known and could not have been known at the time of the community-level environmental review. (c) If a project satisfies the criteria described above in Section 3.12D(a), but is not exempt from CEQA as a result of satisfying the criteria described in Section 3.12D(b), the analysis of the environmental effects of the project in the EIR or the negative declaration for the project shall be limited to an analysis of the project-specific effects of the project and any effects identified pursuant to Paragraph 2 or 3 of Section 3.12D(b), above. (Reference: Pub. Resources Code, §§ 21083, 21159.24; State CEQA Guidelines, § 15195.)
E. Whenever the Lead Agency determines that a project is exempt from environmental review based on Public Resources Code sections 21159.22 [Section 3.12B of these Local Guidelines], 21159.23 [Section 3.12C of these Local Guidelines], or 21159.24 [Section 3.12D of these Local Guidelines], Staff and/or the proponent of the project shall file a Notice of Exemption with the Office of Planning and Research within five (5) working days after the approval of the project. (Reference: State CEQA Guidelines, § 15196.)

3.13 MINOR ALTERATIONS TO FLUORIDATE WATER UTILITIES.

Minor alterations to water utilities made for the purpose of complying with the fluoridation requirements of Health and Safety Code sections 116410 and 116415 or regulations adopted thereunder are exempt from CEQA.
(Reference: State CEQA Guidelines, § 15282(m).)

3.14 BALLOT MEASURES.

The definition of project in the State CEQA Guidelines specifically excludes the submittal of proposals to a vote of the people of the state or of a particular community. This exemption does not apply to the public agency that sponsors the initiative. When a governing body makes a decision to put a measure on the ballot, that decision may be discretionary and therefore subject to CEQA. In contrast, the enactment of a qualified voter-sponsored initiative under California

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2023 City of Santa Ana Local Guidelines 3-14 ©Best Best & Krieger LLP Constitution Art. II, Section 11(a) and Election Code section 9214 is not a project and therefore is not subject to CEQA review.
(Reference: Local Guidelines Section 3.01; State CEQA Guidelines, § 15378(b)(3).)

3.15 TRANSIT PRIORITY PROJECT.

Exemption: Transit Priority Projects (see Local Guidelines Section 11.75) that are consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a Sustainable Community Strategy or an alternative planning strategy may be exempt from CEQA. To qualify for the exemption, the decision-making body must hold a hearing and make findings that the project meets all of Public Resources Code section 21155.1’s environmental, housing, and public safety conditions and requirements.

Streamlined Review : A Transit Priority Project that has incorporated all feasible mitigation measures, performance standards or criteria set forth in a prior environmental impact report, may be eligible for streamlined environmental review. For a complete description of the requirements for this streamlined review see Public Resources Code section 21155.2. Similarly, the environmental review for a residential or mixed use residential project may limit, or entirely omit, its discussion of growth-inducing impacts or impacts from traffic on global warming under certain limited circumstances. Note, however, that impacts from other sources of greenhouse gas emissions would still need to be analyzed. For complete requirements see Public Resources Code section 21159.28.

Note that neither the exemption nor the streamlined review will apply until: (1) the applicable Metropolitan Planning Organization prepares and adopts a Sustainable Communities Strategy or alternative planning strategy for the region; and (2) the California Air Resources Board has accepted the Metropolitan Planning Organization’s determination that the Sustainable Communities Strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets adopted for the region. (Reference: Pub. Resources Code, §§ 21155.1, 21151.2, 21159.28.)

3.16 CERTAIN INFILL PROJECTS
(a) (1) If an environmental impact report was certified for a planning level decision of the city or county, the application of CEQA to the approval of an infill project shall be limited to the effects on the environment that (A) are specific to the project or to the project site and were not addressed as significant effects in the prior environmental impact report or (B) substantial new information shows the effects will be more significant than described in the prior environmental impact report. The attached Form “S” shall be used for this determination. A lead agency's determination pursuant to this section shall be supported by substantial evidence. (2) An effect of a project upon the environment shall not be considered a specific effect of the project or a significant effect that was not considered significant in a prior environmental impact report, or an effect that is more significant than was described in the prior environmental impact report if uniformly applicable development policies or standards adopted by the city, county, or the lead agency, would apply to the project and the lead agency makes a finding, based

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2023 City of Santa Ana Local Guidelines 3-15 ©Best Best & Krieger LLP upon substantial evidence, that the development policies or standards will substantially mitigate that effect.
(b) If an infill project would result in significant effects that are specific to the project or the project site, or if the significant effects of the infill project were not addressed in the prior environmental impact report, or are more significant than the effects addressed in the prior environmental impact report, and if a mitigated negative declaration or a sustainable communities environmental assessment could not be otherwise adopted, an environmental impact report prepared for the project analyzing those effects shall be limited as follows:
(1) Alternative locations, densities, and building intensities to the project need not be considered.
(2) Growth inducing impacts of the project need not be considered. (c) This section applies to an infill project that satisfies both of the following:
(1) The project satisfies any of the following:

A) Is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy for which the State Air Resources Board, pursuant to subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, has accepted a metropolitan planning organization's determination that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. (B) Consists of a small walkable community project located in an area designated by a city for that purpose.
(C) Is located within the boundaries of a metropolitan planning organization that has not yet adopted a sustainable communities strategy or alternative planning strategy, and the project has a residential density of at least 20 units per acre or a floor area ratio of at least 0.75.
(2) Satisfies all applicable statewide performance standards contained in the guidelines adopted pursuant to Public Resources Code section 21094.5.5 (Form “R”). (d) This section applies after the Secretary of the Natural Resources Agency adopts and certifies the guidelines establishing statewide standards pursuant to Public Resources Code section 21094.5.5.
(e) For the purposes of this section, the following terms mean the following:
(1) “Infill project” means a project that meets the following conditions:
(A) Consists of any one, or combination, of the following uses:

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2023 City of Santa Ana Local Guidelines 3-16 ©Best Best & Krieger LLP (i) Residential.
(ii) Retail or commercial, where no more than one-half of the project area is used for parking.
(iii) A transit station.
(iv) A school.
(v) A public office building.
(B) Is located within an urban area on a site that has been previously developed, or on a vacant site where at least 75 percent of the perimeter of the site adjoins, or is separated only by an improved public right-of-way from, parcels that are developed with qualified urban uses.
(2) “Planning level decision” means the enactment or amendment of a general plan, community plan, specific plan, or zoning code.
(3) “Prior environmental impact report” means the environmental impact report certified for a planning level decision, as supplemented by any subsequent or supplemental environmental impact reports, negative declarations, or addenda to those documents. (4) “Small walkable community project” means a project that is in an incorporated city, which is not within the boundary of a metropolitan planning organization and that satisfies the following requirements:
(A) Has a project area of approximately one-quarter mile diameter of contiguous land completely within the existing incorporated boundaries of the city. (B) Has a project area that includes a residential area adjacent to a retail downtown area.
(C) The project has a density of at least eight dwelling units per acre or a floor area ratio for retail or commercial use of not less than 0.50. (5) “Urban area” includes either an incorporated city or an unincorporated area that is completely surrounded by one or more incorporated cities that meets both of the following criteria:
(A) The population of the unincorporated area and the population of the surrounding incorporated cities equal a population of 100,000 or more. (B) The population density of the unincorporated area is equal to, or greater than, the population density of the surrounding cities.
(Reference: Pub. Resources Code, § 21094.5.)

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3.17 EXEMPTION FOR INFILL PROJECTS IN TRANSIT PRIORITY AREAS A residential or mixed-use project, or a project with a floor area ratio of at least 0.75 on commercially-zoned property, including any required subdivision or zoning approvals, is exempt from CEQA if the project satisfies the following criteria:
 The project is located within a transit priority area as defined in Section 11.74 below;  The project is consistent with an applicable specific plan for which an environmental impact report was certified; and
 The project is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy for which the State Air Resources Board has accepted the determination that the sustainable communities strategy or the alternative planning strategy would achieve the applicable greenhouse gas emissions reduction targets.

Further environmental review shall be required for a project meeting the above criteria only if one of the events specified in Section 8.04 below occurs.
(Reference: State CEQA Guidelines, § 15182(b).)

3.18 EXEMPTION FOR RESIDENTIAL PROJECTS UNDERTAKEN PURSUANT TO A SPECIFIC PLAN Where a public agency has prepared an EIR for a specific plan after January 1, 1980, a residential project undertaken pursuant to and in conformity with that specific plan is generally exempt from CEQA. Residential projects covered by this section include, but are not limited to, land subdivisions, zoning changes, and residential planned unit developments.

Further environmental review shall be required for a project meeting the above criteria only if, after the adoption of the specific plan, one of the events specified in Section 8.04 below occurs.

In that circumstance, this exemption shall not apply until the city or county which adopted the specific plan completes a subsequent EIR or a supplement to an EIR on the specific plan. The exemption provided by this section shall again be available to residential projects after the Lead Agency has filed a Notice of Determination on the specific plan as reconsidered by the subsequent EIR or supplement to the EIR.
(Reference: State CEQA Guidelines, § 15182(c).)

3.19 TRANSFER OF LAND FOR THE PRESERVATION OF NATURAL CONDITIONS CEQA does not apply to the acquisition, sale, or other transfer of interest in land by the City for the purpose of fulfilling any of the following purposes: (1) preservation of natural conditions existing at the time of transfer, including plant and animal habitats, (2) restoration of natural conditions, including plant and animal habitats, (3) continuing agricultural use of the land; (4) prevention of encroachment of development into flood plains; (5) preservation of historical

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2023 City of Santa Ana Local Guidelines 3-18 ©Best Best & Krieger LLP resources; or (6) preservation of open space or lands for park purposes. CEQA similarly does not apply to the granting or acceptance of funding by the City for the foregoing purposes.

The foregoing applies even if physical changes to the environment or changes in the use of the land are a reasonably foreseeable consequence of the acquisition, sale, or other transfer of the interests in land, or of the granting or acceptance of funding, provided that environmental review otherwise required by CEQA occurs before any project approval that would authorize physical changes being made to that land.

The City must file a Notice of Exemption with the State Clearinghouse and the County Clerk should it find a project exempt under this provision. (Reference: Pub. Resources Code, § 21080.28.)

3.20 TRANSIT PRIORITIZATION PROJECTS.

CEQA exempts the following projects when (i) the project is carried out by a local agency that is the lead agency for the project; (ii) the project does not induce single-occupancy vehicle trips, add additional highway lanes, widen highways, or add physical infrastructure or striping to highways except for minor modifications needed for efficient and safe movement of transit vehicles, bicycles, or high-occupancy vehicles, such as extended merging lanes, shoulder improvements, or improvements to the roadway within the existing right of way; (iii) the project does not include the addition of any auxiliary lanes; and (iv) the construction of the project shall not require the demolition of affordable housing units:
(1) Pedestrian and bicycle facilities—including bicycle parking, bicycle sharing facilities, and bikeways as defined in Section 890.4 of the Streets and Highways Code—that improve safety, access, or mobility, including new facilities, within the public right-of-way;
(2) Projects that improve customer information and wayfinding for transit riders, bicyclists, or pedestrians within the public right-of-way; (3) Transit prioritization projects, which are defined to mean any of the following transit project types on highways or in the public right-of-way:
(a) Signal and sign changes, such as signal coordination, signal timing modifications, signal modifications or the installation of traffic signs or new signals;
(b) The installation of wayside technology and onboard technology; (c) The installation of ramp meters;
(d) The conversion to dedicated transit lanes, including transit queue jump or bypass lanes, shared turning lanes and turn restrictions, the narrowing of lanes to allow for dedicated transit lanes or transit reliability improvements, or the widening of existing transit travel lanes by removing or restricting street parking; and

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2023 City of Santa Ana Local Guidelines 3-19 ©Best Best & Krieger LLP (e) Transit stop access and safety improvements, including, but not limited to, the installation of transit bulbs and the installation of transit boarding islands. (4) A project for the designation and conversion of general purpose lanes to high- occupancy vehicle lanes or bus-only lanes, or highway shoulders to part-time transit lanes, for use either during peak congestion hours or all day on highways with existing public transit service or where a public transit agency will be implementing public transit service as identified in a short range transit plan. (5) A project for the institution or increase of bus rapid transit, bus, or light rail service, including the construction or rehabilitation of stations, terminals, or existing operations facilities, which will be exclusively used by zero-emission, near-zero emission, low oxide of nitrogen engine, compressed natural gas fuel, fuel cell, or hybrid powertrain buses or light rail vehicles, on existing public rights-of-way or existing highway rights-of-way, whether or not the right-of-way is in use for public mass transit. The project shall be located on a site that is wholly within the boundaries of an urbanized area or urban cluster, as designated by the United State Census Bureau.
(6) A project to construct or maintain infrastructure to charge or refuel zero-emission transit buses, provided the project is carried out by a public transit agency that is subject to, and in compliance with, the State Air Resources Board's Innovative Clean Transit regulations (Article 4.3 (commencing with Section 2023) of Chapter 1 of Division 3 of Title 13 of the California Code of Regulations) and the project is located on property owned by the transit agency or within an existing public right- of-way.

A lead agency applying an exemption pursuant to this paragraph for hydrogen refueling infrastructure or facilities necessary to refuel or maintain zero-emission public transit buses, trains, or ferries shall hold a noticed public hearing and give notice of the meeting consistent with Public Resources Code section 21080.25(b)(6)(B).
(7) The maintenance, repair, relocation, replacement, or removal of any utility infrastructure associated with a project identified in paragraphs (1) to (6), inclusive. (8) A project that consists exclusively of a combination of any of the components of a project identified in paragraphs (1) to (7), inclusive. (9) A planning decision carried out by a local agency to reduce or eliminate minimum parking requirements or institute parking maximums, remove or restrict parking, or implement transportation demand management requirements or programs.

Additional conditions apply to a project otherwise exempt under this section if the project exceeds fifty million dollars ($50,000,000), as set forth in Public Resources Code section 21080.25(d)-(e).

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2023 City of Santa Ana Local Guidelines 3-20 ©Best Best & Krieger LLP Moreover, a project exempt under this section may be subject to certain labor requirements, including that the project be completed by a skilled and trained workforce, as set forth in Public Resources Code section 21080.25(f).

If the City determines that a project is not subject to CEQA pursuant to this section and approves that project, the City must file a Notice of Exemption with both the Office of Planning and Research and the County Clerk of the county in which the project is located.

This exemption shall remain in effect only until January 1, 2030, and as of that date it will be repealed. (Reference: Pub. Resources Code, § 21080.25.)

3.21 TRANSPORTATION PLANS, PEDESTRIAN PLANS, AND BICYCLE TRANSPORTATION PLANS.

CEQA does not apply to an active transportation plan, a pedestrian plan, or a bicycle transportation plan for restriping of streets and highways, bicycle parking and storage, signal timing to improve street and highway intersection operations, and the related signage for bicycles, pedestrians, and vehicles. An active transportation plan or pedestrian plan is encouraged to include the consideration of environmental factors, but that consideration does not inhibit or preclude the application of this section.

An individual project that is part of an active transportation plan or pedestrian plan remains subject to CEQA unless another exemption applies to that project.

Before determining that a project is exempt pursuant to this section, the Lead Agency must hold noticed public hearings in areas affected by the project to hear and respond to public comments. Publication of the notice must comply with Government Code section 6061 and be in a newspaper of general circulation in the area affected by the proposed project.

For purposes of this section, the following definitions apply:

(1) “Active transportation plan” means a plan developed by a local jurisdiction that promotes and encourages people to choose walking, bicycling, or rolling through the creation of safe, comfortable, connected, and accessible walking, bicycling, or rolling networks, and encourages alternatives to single-occupancy vehicle trips.

(2) “Pedestrian plan” means a plan developed by a local jurisdiction that establishes a comprehensive, coordinated approach to improving pedestrian infrastructure and safety.

This exemption shall remain in effect only until January 1, 2030, and as of that date it will be repealed. (Reference: Pub. Resources Code, § 21080.20.)

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3.22 WATER SYSTEM WELLS AND DOMESTIC WELL PROJECTS
CEQA does not apply to the construction, maintenance, repair, or replacement of a well or a domestic well that meets all of the following conditions:
(1) The domestic well or water system to which the well is connected has been designated by the State Water Resources Control Board (“State Board”) as high risk or medium risk in the State Board’s drinking water needs assessment; (2) The well project is designed to mitigate or prevent a failure of the well or the domestic well that would leave residents that rely on the well, the water system to which the well is connected, or the domestic well without an adequate supply of safe drinking water;
(3) The lead agency determines all of the following:
(a) The well project is not designed primarily to serve irrigation or future growth.
(b) The well project does not affect wetlands or sensitive habitats. (c) Unusual circumstances do not exist that would cause the well project to have a significant effect on the environment.
(d) The well project is not located on a site that is included on any list compiled pursuant to Section 65962.5 of the Government Code.
(e) The well project does not have the potential to cause a substantial adverse change in the significance of a historical resource.
(f) The well project’s construction impacts are fully mitigated consistent with applicable law.
(g) The cumulative impact of successive reasonably anticipated projects of the same type as the well project, in the same place, over time, is not significant.

Before determining that a well project is exempt pursuant to this section, a lead agency must contact the State Board to determine whether claiming the exemption under this section will affect the ability of the well project to receive federal financial assistance or federally capitalized financial assistance.

A lead agency that determines that a well project is exempt under this section must file a notice of exemption with both OPR and the County Clerk. The notice of exemption must explain whether the project is additionally exempt from CEQA under Public Resources Code section 21080 (e.g., whether it is a ministerial project, an emergency repair necessary to maintain service, or an action necessary to prevent or mitigate an emergency), Public Resources Code section 21080.47 (see Section 3.23 of these Local Guidelines, below), or under the Class 1 (Existing Facilities) or Class 2 (Replacement or Reconstruction) categorical exemptions (see Section 3.28

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2023 City of Santa Ana Local Guidelines 3-22 ©Best Best & Krieger LLP of these Local Guidelines, below). If none of the exemptions referenced in this paragraph apply to a project that is otherwise exempt under this section, the notice of exemption must explain why the exemptions referenced in this paragraph do not apply to the project.

For purposes of this section, the following definitions apply:

A “well” is defined as a wellhead that provides drinking water to a “water system.” A “domestic well” is defined as a groundwater well used to supply water for the domestic needs of an individual residence or a water system that is not a public water system and that has no more than four service connections.

A “water system” is defined to mean a “public water system” as that term is defined in Health and Safety Code section 116275(h) (i.e., a system for the provision of water for human consumption through pipes or other constructed conveyances that has 15 or more service connections or regularly serves at least 25 individuals daily at least 60 days out of the year), a “state small water system” as that term is defined in Health and Safety Code section 116275(n) (i.e., a system for the provision of piped water to the public for human consumption that serves at least five, but not more than 14, service connections and does not regularly serve drinking water to more than an average of 25 individuals daily for more than 60 days out of the year), or a tribal water system.
(Pub. Resources Code, § 21080.31 [in effect until January 1, 2028].)

3.23 SMALL DISADVANTAGED COMMUNITY WATER SYSTEM AND STATE SMALL WATER SYSTEM.

CEQA does not apply to certain water infrastructure projects that primarily benefit a “small disadvantaged community water system” or a “state small water system,” as these terms are defined in Public Resources Code section 21080.47. If certain labor requirements and other conditions are met as set forth in Public Resources Code section 21080.47, the installation, repair, or construction of the following for the benefit of a small disadvantaged community water system or state small water system is exempt from CEQA:

(1) Drinking water groundwater wells with a maximum flow rate of up to 250 gallons per minute;

(2) Drinking water treatment facilities with a footprint of less than 2,500 square feet that are not located in an environmentally sensitive area;

(3) Drinking water storage tanks with a capacity of up to 250,000 gallons;

(4) Booster pumps and hydropneumatic tanks;

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2023 City of Santa Ana Local Guidelines 3-23 ©Best Best & Krieger LLP (5) Pipelines of less than one mile in length in a road right-of-way or up to seven miles in length in a road right-of-way when the project is required to address threatened or current drinking water violations;

(6) Water services lines; and

(7) Minor drinking water system appurtenances, including, but not limited to, system and service meters, fire hydrants, water quality sampling stations, valves, air releases and vacuum break valves, emergency generators, backflow prevention devices, and appurtenance enclosures.

(Reference: Pub. Resources Code, § 21080.47.)

3.24 CONSERVATION AND RESTORATION OF CALIFORNIA NATIVE FISH AND WILDLIFE. (a) CEQA does not apply to a project that is exclusively one of the following (though a project may exclusively be one of the following even if it has incidental public benefits, such as public access or recreation) and meets the criteria set forth in subdivision (b) of this section:

(1) A project to conserve, restore, protect, or enhance, and assist in the recovery of California native fish and wildlife, and the habitat upon which they depend.

(2) A project to restore or provide habitat for California native fish and wildlife.

(b) This section does not apply to a project unless the project does both of the following:

(1) Results in long-term net benefits to climate resiliency, biodiversity, and sensitive species recovery; and

(2) Includes procedures and ongoing management for the protection of the environment.

(c) This section does not apply to a project that includes construction activities, except for construction activities solely related to habitat restoration.

(d) The lead agency shall obtain the concurrence of the Director of Fish and Wildlife for the determinations required pursuant to subdivisions (a) through (c) above.

(e) Within 48 hours of making a determination that a project is exempt pursuant to this section, the lead agency shall file a Notice of Exemption with the Office of Planning and Research, and the Department of Fish and Wildlife must post the concurrence of the Director of Fish and Wildlife on the department’s website.

This exemption is in effect until January 1, 2025. (Pub. Resources Code, § 21080.56.)

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3.25 LINEAR BROADBAND DEPLOYMENT IN A RIGHT-OF-WAY.
(a) CEQA does not apply to a project that consists of linear broadband deployment in a right-of-way if the project meets all of the following conditions:
(1) The project is located in an area identified by the Public Utilities Commission as a component of the statewide open-access middle-mile broadband network pursuant to Section 11549.54 of the Government Code. (2) The project is constructed along, or within 30 feet of, the right-of-way of any public road or highway.

(3) The project is either deployed underground where the surface area is restored to a condition existing before the project or placed aerially along an existing utility pole right-of-way.

(4) The project incorporates, as a condition of project approval, measures developed by the Public Utilities Commission or the Department of Transportation to address potential environmental impacts. At a minimum, the project shall be required to include monitors during construction activities and measures to avoid or address impacts to cultural and biological resources.

(5) The project applicant agrees to comply with all conditions otherwise authorized by law, imposed by the planning department of a city or county as part of a local agency permit process, that are required to mitigate potential impacts of the proposed project, and to comply with the Keene- Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), as applicable, other applicable state laws, and all applicable federal laws.

(b) If a project meets all of the requirements of subdivision (a), the project applicant shall do all of the following:

(1) Notify, in writing, any affected public agency, including, but not limited to, any public agency having permit, land use, environmental, public health protection, or emergency response authority, of the exemption of the project pursuant to this section.

(2) File a Notice of Exemption.

(3) In the case of private rights-of-way over private property, receive from the underlying property owner permission for access to the property.

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2023 City of Santa Ana Local Guidelines 3-25 ©Best Best & Krieger LLP (4) Comply with all conditions authorized by law imposed by the planning department of a city or county as part of any local agency permit process, that are required to mitigate potential impacts of the proposed project, and otherwise comply with the Keene-Nejedly California Wetlands Preservation Act (Chapter 7 (commencing with Section 5810) of Division 5), the California Endangered Species Act (Chapter 1.5 (commencing with Section 2050) of Division 3 of the Fish and Game Code), as applicable, other applicable state laws, and all applicable federal laws.

(Pub. Resources Code, § 21080.51.)

3.26 NEEDLE AND SYRINGE EXCHANGE SERVICES.

The Legislature has authorized cities and counties meeting certain requirements to apply to the State Department of Public Health for authorization to provide hypodermic needle and syringe exchange services consistent with state standards in any location where the State Department of Public Health determines that the conditions exist for the rapid spread of human immunodeficiency virus (HIV), viral hepatitis, or any other potentially deadly or disabling infections that are spread through the sharing of used hypodermic needles and syringes. (Health and Safety Code, § 121349.) Needle and syringe exchange services application submissions, authorizations, and operations performed pursuant to Health and Safety Code section 121349 are exempt from review under CEQA. (Health and Safety Code, § 121349(h).)

3.27 OTHER SPECIFIC EXEMPTIONS.

CEQA and the State CEQA Guidelines exempt many other specific activities, including early activities related to thermal power plants, ongoing projects, transportation improvement programs, family day care homes, congestion management programs, railroad grade separation projects, restriping of streets or highways to relieve traffic congestion, hazardous or volatile liquid pipelines, and the installation of solar energy systems, including, but not limited to solar panels.

Specific statutory exemptions are listed in the Public Resources Code, including Sections 21080 through 21080.35, and in the State CEQA Guidelines, including Sections 15260 through 15285.

In addition, other titles of the California Codes provide statutory exemptions from CEQA, including, for example, Government Code section 12012.70.

3.28 CATEGORICAL EXEMPTIONS.

The State CEQA Guidelines establish certain classes of categorical exemptions. These apply to classes of projects which have been determined not to have a significant effect on the environment and which, therefore, are generally exempt from CEQA. For any project that falls within one of these classes of categorical exemptions, the preparation of environmental documents under CEQA is not required. The classes of projects are briefly summarized below. (Reference to the State CEQA Guidelines for the full description of each exemption is recommended.) The exemptions for Classes 3, 4, 5, 6, and 11 below are qualified in that such projects must be considered in light of the location of the project. A project that is ordinarily insignificant in its impact on the environment may, in a particularly sensitive environment, be significant. Therefore,

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2023 City of Santa Ana Local Guidelines 3-26 ©Best Best & Krieger LLP these classes are considered to apply in all instances except when the project may impact an environmental resource of hazardous or critical concern that has been designated, precisely mapped, and officially adopted pursuant to law by federal, state, or local agencies.

All classes of categorical exemptions are qualified. None of the categorical exemptions are applicable if any of the following circumstances exist:
(1) The cumulative impact of successive projects of the same type in the same place over time is significant;
(2) There is a reasonable possibility that the activity will have a significant effect on the environment due to unusual circumstances;
(3) The project may result in damage to a scenic resource or may result in a substantial adverse change to a historical resource; or
(4) The project is located on a site which is included on any hazardous waste site or list compiled pursuant to Government Code section 65962.5.

However, a project’s greenhouse gas emissions do not, in and of themselves, cause an exemption to be inapplicable if the project otherwise complies with all applicable regulations or requirements adopted to implement statewide, regional, or local plans consistent with State CEQA Guidelines section 15183.5.

With the foregoing limitations in mind, the following classes of activity are generally exempt from CEQA:

Class 1: Existing Facilities. Activities involving the operation, repair, maintenance, permitting, leasing, licensing, minor alteration of—or legislative activities to regulate—existing public or private structures, facilities, mechanical equipment or other property, or topographical features, provided the activity involves negligible or no expansion of existing or former use. The types of “existing facilities” itemized in State CEQA Guidelines section 15301 are not intended to be all-inclusive of the types of projects which might fall within the Class 1 categorical exemption.

The key consideration is whether the project involves negligible or no expansion of use. (State CEQA Guidelines, § 15301.)
Class 2: Replacement or Reconstruction. Replacement or reconstruction of existing facilities, structures, or other property where the new facility or structure will be located on the same site as the replaced or reconstructed facility or structure and will have substantially the same purpose and capacity as the replaced or reconstructed facility or structure. (State CEQA Guidelines, § 15302.)
Class 3: New Construction or Conversion of Small Structures. Construction of limited numbers of small new facilities or structures; installation of small new equipment or facilities in small structures; and the conversion of existing small structures from one use to another, when only minor modifications are made in the exterior of the structure. This exemption includes structures built for both residential and commercial uses. (State CEQA Guidelines, § 15303 outlines, among other things, the maximum number of structures allowable under this exemption.)

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2023 City of Santa Ana Local Guidelines 3-27 ©Best Best & Krieger LLP Class 4: Minor Alterations to Land. Minor alterations in the condition of land, water, and/or vegetation which do not involve removal of healthy, mature, scenic trees, except for forestry or agricultural purposes. (State CEQA Guidelines, § 15304.) Class 5: Minor Alterations in Land Use Limitations. Minor alterations in land use limitations in areas with an average slope of less than 20% which do not result in any changes in land use or density. (State CEQA Guidelines, § 15305.) Class 6: Information Collection. Basic data collection, research, experimental management, and resource evaluation activities which do not result in a serious or major disturbance to an environmental resource. (State CEQA Guidelines, § 15306.) Class 7: Actions by Regulatory Agencies for Protection of Natural Resources. Actions taken by regulatory agencies as authorized by state law or local ordinance to assure the maintenance, restoration, or enhancement of a natural resource where the regulatory process involves procedures for protection of the environment. (State CEQA Guidelines, § 15307.) Class 8: Actions By Regulatory Agencies for Protection of the Environment. Actions taken by regulatory agencies, as authorized by state or local ordinance, to assure the maintenance, restoration, enhancement or protection of the environment where the regulatory process involves procedures for protection of the environment. (State CEQA Guidelines, § 15308.) Class 9: Inspection. Inspection activities, including, but not limited to, inquiries into the performance of an operation and examinations of the quality, health or safety of a project. (State CEQA Guidelines, § 15309.)
Class 10: Loans. Loans made by the Department of Veterans Affairs under the Veterans Farm and Home Purchase Act of 1943, mortgages for the purchase of existing structures where the loan will not be used for new construction and the purchase of such mortgages by financial institutions. (State CEQA Guidelines, § 15310.)
Class 11: Accessory Structures. Construction or replacement of minor structures accessory or appurtenant to existing commercial, industrial, or institutional facilities, including, but not limited to, on-premise signs; small parking lots; and placement of seasonal or temporary use items, such as lifeguard towers, mobile food units, portable restrooms or similar items in generally the same locations from time to time in publicly owned parks, stadiums or other facilities designed for public use. (State CEQA Guidelines, § 15311.) Class 12: Surplus Government Property Sales. Sales of surplus government property, except for certain parcels of land located in an area of statewide, regional or area-wide concern identified in State CEQA Guidelines section 15206(b)(4). However, even if the surplus property to be sold is located in any of those areas, its sale is exempt if:
(a) The property does not have significant values for wildlife or other environmental purposes; and
(b) Any one of the following three conditions is met:

1. The property is of such size, shape, or inaccessibility that it is incapable of independent development or use;

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2. The property to be sold would qualify for an exemption under any other class of categorical exemption in the State CEQA Guidelines; or

3. The use of the property and adjacent property has not changed since the time of purchase by the public agency.
(State CEQA Guidelines, § 15312.)
Class 13: Acquisition of Lands for Wildlife Conservation Purposes. Acquisition of lands for fish and wildlife conservation purposes, including preservation of fish and wildlife habitat, establishment of ecological preserves under Fish and Game Code section 1580, and preservation of access to public lands and waters where the purpose of the acquisition is to preserve the land in its natural condition. (State CEQA Guidelines, § 15313.) Class 14: Minor Additions to Schools. Minor additions to existing schools within existing school grounds where the addition does not increase original student capacity by more than 25% or ten (10) classrooms, whichever is less. The addition of portable classrooms is included in this exemption. (State CEQA Guidelines, § 15314.)
Class 15: Minor Land Divisions. Division(s) of property in urbanized areas zoned for residential, commercial or industrial use into four or fewer parcels when the division is in conformance with the General Plan and zoning, no variances or exceptions are required, all services and access to the proposed parcels to local standards are available, the parcel was not involved in a division of a larger parcel within the previous two (2) years, and the parcel does not have an average slope greater than 20%. (State CEQA Guidelines, § 15315.) Class 16: Transfer of Ownership of Land in Order to Create Parks. Acquisition, sale, or other transfer of land in order to establish a park where the land is in a natural condition or contains historical or archaeological resources and either:
(a) The management plan for the park has not been prepared, or (b) The management plan proposes to keep the area in a natural condition or preserve the historic or archaeological resources.

CEQA will apply when a management plan is proposed that will change the area from its natural condition or cause substantial adverse change in the significance of the historic or archaeological resource. (State CEQA Guidelines, § 15316.) Class 17: Open Space Contracts or Easements. Establishment of agricultural preserves, making and renewing of open space contracts under the Williamson Act, or acceptance of easements or fee interests in order to maintain the open space character of the area. (The cancellation of such preserves, contracts, interests or easements is not included in this exemption.) (State CEQA Guidelines, § 15317.)
Class 18: Designation of Wilderness Areas. Designation of wilderness areas under the California Wilderness System. (State CEQA Guidelines, § 15318.) Class 19: Annexations of Existing Facilities and Lots for Exempt Facilities. This exemption applies only to the following annexations:

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(a) Annexations to a city or special district of areas containing existing public or private structures developed to the density allowed by the current zoning or prezoning of either the gaining or losing governmental agency, whichever is more restrictive; provided, however, that the extension of utility services to the existing facilities would have a capacity to serve only the existing facilities; and (b) Annexations of individual small parcels of the minimum size for facilities exempted by Class 3, New Construction or Conversion of Small Structures. (State CEQA Guidelines, § 15319.)
Class 20: Changes in Organization of Local Agencies. Changes in the organization of local governmental agencies where the changes do not change the geographical area in which previously existing powers are exercised. Examples include but are not limited to:
(a) Establishment of a subsidiary district;
(b) Consolidation of two or more districts having identical powers; and (c) Merger with a city of a district lying entirely within the boundaries of the city. (State CEQA Guidelines, § 15320.)
Class 21: Enforcement Actions by Regulatory Agencies. Actions by regulatory agencies to enforce or revoke a lease, permit, license, certificate or other entitlement for use issued, adopted or prescribed by the regulatory agency or enforcement of a law, general rule, standard or objective administered or adopted by the regulatory agency; or law enforcement activities by peace officers acting under any law that provides a criminal sanction. The direct referral of a violation of lease, permit, license, certificate, or entitlement to the City Attorney for judicial enforcement is exempt under this Class. (Construction activities undertaken by the public agency taking the enforcement or revocation action are not included in this exemption.) (State CEQA Guidelines, § 15321.) Class 22: Educational or Training Programs Involving No Physical Changes. The adoption, alteration or termination of educational or training programs which involve no physical alteration in the area affected or which involve physical changes only in the interior of existing school or training structures. Examples include but are not limited to:
(a) Development of or changes in curriculum or training methods; or (b) Changes in the trade structure in a school which do not result in changes in student transportation. (State CEQA Guidelines, § 15322.)
Class 23: Normal Operations of Facilities for Public Gatherings. Continued or repeated normal operations of existing facilities for public gatherings for which the facilities were designed, where there is past history, of at least three years, of the facility being used for the same or similar purposes. Facilities included within this exemption include, but are not limited to, race tracks, stadiums, convention centers, auditoriums, amphitheaters, planetariums, swimming pools and amusement parks. (State CEQA Guidelines, § 15323.)

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2023 City of Santa Ana Local Guidelines 3-30 ©Best Best & Krieger LLP Class 24: Regulation of Working Conditions. Actions taken by the City to regulate employee wages, hours of work or working conditions where there will be no demonstrable physical changes outside the place of work. (State CEQA Guidelines, § 15324.) Class 25: Transfers of Ownership of Interest in Land to Preserve Existing Natural Conditions and Historical Resources. Transfers of ownership of interest in land in order to preserve open space, habitat, or historical resources. Examples include, but are not limited to, acquisition, sale, or other transfer of areas to: preserve existing natural conditions, including plant or animal habitats; allow continued agricultural use of the areas; allow restoration of natural conditions; preserve open space or lands for natural park purposes; or prevent encroachment of development into floodplains. This exemption does not apply to the development of parks or park uses. (State CEQA Guidelines § 15325.)
Class 26: Acquisition of Housing for Housing Assistance Programs. Actions by a redevelopment agency, housing authority or other public agency to implement an adopted Housing Assistance Plan by acquiring an interest in housing units, provided the housing units are either in existence or possessing all required permits for construction when the agency makes its final decision to acquire the units. (State CEQA Guidelines, § 15326.) Class 27: Leasing New Facilities. Leasing of a newly constructed or previously unoccupied privately owned facility by a local or state agency when the City determines that the proposed use of the facility:
(a) Conforms with existing state plans and policies and with general, community, and specific plans for which an EIR or Negative Declaration has been prepared; (b) Is substantially the same as that originally proposed at the time the building permit was issued;
(c) Does not result in a traffic increase of greater than 10% of front access road capacity; and
(d) Includes the provision of adequate employee and visitor parking facilities. (State CEQA Guidelines, § 15327.)
Class 28: Small Hydroelectric Projects as Existing Facilities. Installation of certain small hydroelectric-generating facilities in connection with existing dams, canals and pipelines, subject to the conditions in State CEQA Guidelines section 15328. (State CEQA Guidelines, § 15328.) Class 29: Cogeneration Projects at Existing Facilities. Installation of cogeneration equipment with a capacity of 50 megawatts or less at existing facilities meeting certain conditions listed in State CEQA Guidelines, § 15329. (State CEQA Guidelines section 15329.) Class 30: Minor Actions to Prevent, Minimize, Stabilize, Mitigate or Eliminate the Release or Threat of Release of Hazardous Waste or Hazardous Substances. Any minor cleanup actions taken to prevent, minimize, stabilize, mitigate, or eliminate the release or threat of release of a hazardous waste or substance which are small or medium removal actions costing $1 million or less.

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2023 City of Santa Ana Local Guidelines 3-31 ©Best Best & Krieger LLP (a) No cleanup action shall be subject to this Class 30 exemption if the action requires the onsite use of a hazardous waste incinerator or thermal treatment unit or the relocation of residences or businesses, or the action involves the potential release into the air of volatile organic compounds as defined in Health and Safety Code section 25123.6, except for small scale in situ soil vapor extraction and treatment systems which have been permitted by the local Air Pollution Control District or Air Quality Management District. All actions must be consistent with applicable state and local environmental permitting requirements including, but not limited to, off-site disposal, air quality rules such as those governing volatile organic compounds and water quality standards, and approved by the regulatory body with jurisdiction over the site;
(b) Examples of such minor cleanup actions include but are not limited to:

1. Removal of sealed, non-leaking drums of hazardous waste or substances that have been stabilized, containerized and are designated for a lawfully permitted destination;

2. Maintenance or stabilization of berms, dikes, or surface impoundments;

3. Construction or maintenance or interim of temporary surface caps;

4. Onsite treatment of contaminated soils or sludge provided treatment system meets Title 22 requirements and local air district requirements;

5. Excavation and/or offsite disposal of contaminated soils or sludge in regulated units;

6. Application of dust suppressants or dust binders to surface soils;

7. Controls for surface water run-on and run-off that meets seismic safety standards;

8. Pumping of leaking ponds into an enclosed container;

9. Construction of interim or emergency ground water treatment systems; or

10. Posting of warning signs and fencing for a hazardous waste or substance site that meets legal requirements for protection of wildlife. (State CEQA Guidelines, § 15330.)
Class 31: Historical Resource Restoration/Rehabilitation. Maintenance, repairs, stabilization, rehabilitation, restoration, preservation, conservation, or reconstruction of historical resources in a manner consistent with the Secretary of the Interior’s Standards for the Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring, and Reconstructing Historic Buildings (1995), Weeks and Grimmer. (State CEQA Guidelines, § 15331.)
Class 32: Infill Development Projects. Infill development meeting the following conditions:
(a) The project is consistent with the applicable general plan designation and all applicable general plan policies as well as with applicable zoning designation and regulations;
(b) The proposed development occurs within city limits on a project site of no more than five acres substantially surrounded by urban uses; (c) The project site has no value as habitat for endangered, rare or threatened species;

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2023 City of Santa Ana Local Guidelines 3-32 ©Best Best & Krieger LLP (d) Approval of the project would not result in any significant effects relating to traffic, noise, air quality, or water quality; and
(e) The site can be adequately served by all required utilities and public services. (State CEQA Guidelines, § 15332.)
Class 33: Small Habitat Restoration Projects.

This exemption applies to projects to assure the maintenance, restoration, enhancement, or protection of habitat for fish, plants, or wildlife, provided that such projects meet the following criteria:
(a) The project does not exceed five acres in size;
(b) There would be no significant adverse impact on endangered, rare or threatened species or their habitat pursuant to Section 15065 of the State CEQA Guidelines;

(d) The project will not result in impacts that are significant when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects.

Examples of small habitat restoration projects include, but are not limited to: revegetation of disturbed areas with native plant species; wetland restoration, the primary purpose of which is to improve conditions for waterfowl or other species that rely on wetland habitat; stream or river bank revegetation, the primary purpose of which is to improve habitat for amphibians or native fish; projects to restore or enhance habitat that are carried out principally with hand labor and not mechanized equipment; stream or river bank stabilization with native vegetation or other bioengineering techniques, the primary purpose of which is to reduce or eliminate erosion and sedimentation; and culvert replacement conducted in accordance with published guidelines of DFW or NOAA Fisheries, the primary purpose of which is to improve habitat or reduce sedimentation.
(State CEQA Guidelines, § 15333.)

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4. TIME LIMITATIONS

4.01 REVIEW OF PRIVATE PROJECT APPLICATIONS.

Staff shall determine whether the application for a private project is complete within thirty (30) days of receipt of the application. No application may be deemed incomplete based on an applicant’s refusal to waive the time limitations set forth in Local Guidelines Sections 4.03 and

4.04. Accepting an application as complete does not limit the authority of the City, acting as Lead Agency or Responsible Agency, to require the applicant to submit additional information needed for environmental evaluation of the project. Requiring such additional information after the application is complete does not change the status of the application. (Reference: State CEQA Guidelines, § 15101.)

4.02 DETERMINATION OF TYPE OF ENVIRONMENTAL DOCUMENT.

Except as provided in Local Guidelines Sections 4.05 and 4.06, Staff’s initial determination as to whether a Negative Declaration, Mitigated Negative Declaration or an EIR should be prepared shall be made within thirty (30) days from the date on which an application for a project is accepted as complete by the City. This period may be extended fifteen (15) days with consent of the applicant and the City.
(Reference: State CEQA Guidelines, § 15102.)

4.03 COMPLETION AND ADOPTION OF NEGATIVE DECLARATION.

For private projects involving the issuance of a lease, permit, license, certificate, or other entitlement for use by one or more public agencies, the Negative Declaration/Mitigated Negative Declaration shall be completed and approved within one hundred eighty (180) days from the date when the City accepted the application as complete. In the event that compelling circumstances justify additional time and the project applicant and Lead Agency consent thereto, Staff may provide that the 180-day time limit may be extended once for a period of not more than 90 days. (Reference: State CEQA Guidelines, § 15107.)

4.04 COMPLETION AND CERTIFICATION OF FINAL EIR.

For private projects, the Final EIR shall be completed and certified by the City within one (1) year after the date the City accepted the application as complete. In the event that compelling circumstances justify additional time and the project applicant consents thereto, the City may provide a one-time extension up to ninety (90) days for completing and certifying the EIR. (Reference: State CEQA Guidelines, § 15108.)

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4.05 PROJECTS SUBJECT TO THE PERMIT STREAMLINING ACT.

The Permit Streamlining Act requires agencies to make decisions on certain development project approvals within specified time limits. If a project is subject to the Permit Streamlining Act, the City cannot require the project applicant to submit the informational equivalent of an EIR or prove compliance with CEQA as a prerequisite to determining whether the project application is complete. In addition, if requested by the project applicant, the City must begin processing the project application prior to final CEQA action, provided the information necessary to begin the process is available.
(Reference: Gov. Code §§ 65941, 65944.)
Under the Permit Streamlining Act, the Lead Agency must approve or disapprove the development project application within one hundred eighty (180) days from the date on which it certifies the EIR, or within ninety (90) days of certification if an extension for completing and certifying the EIR was granted. If the Lead Agency adopts a Negative Declaration/Mitigated Negative Declaration or determines the development project is exempt from CEQA, it shall approve or disapprove the project application within sixty (60) days from the date on which it adopts the Negative Declaration/Mitigated Negative Declaration or determines that the project is exempt from CEQA.
(Reference: Gov. Code §§ 65950, 65950.1; see also State CEQA Guidelines, § 15107.) Except for waivers of the time periods for preparing a joint Environmental Impact Report/Environmental Impact Statement (as outlined in Government Code sections 65951 and 65957), the City cannot require a waiver of the time limits specified in the Permit Streamlining Act as a condition of accepting or processing a development project application. In addition, the City cannot disapprove a development project application in order to comply with the time limits specified in the Permit Streamlining Act.
(Reference: Gov. Code §§ 65940.5, 65952.2.)

4.06 PROJECTS, OTHER THAN THOSE SUBJECT TO THE PERMIT STREAMLINING ACT, WITH SHORT TIME PERIODS FOR APPROVAL.

A few statutes require agencies to make decisions on project applications within time limits that are so short that review of the project under CEQA would be difficult. To enable the City as Lead Agency to comply with both the enabling statute and CEQA, the City shall deem a project application as not received for filing under the enabling statute until such time as the environmental documentation required by CEQA is complete. This section applies where all of the following conditions are met:
(a) The enabling statute for a program, other than development projects under Chapter 4.5 (commencing with Section 65920) of Division 1 of Title 7 of the Government Code, requires the City to take action on an application within a specified period of time of six (6) months or less;
(b) The enabling statute provides that the project is approved by operation of law if the City fails to take any action within the specified time period; and

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2023 City of Santa Ana Local Guidelines 4-3 ©Best Best & Krieger LLP (c) The project application involves the City’s issuance of a lease, permit, license, certificate or other entitlement for use.

In any case, the environmental document shall be completed or certified and the decision on the application shall be made within the period established by the Permit Streamlining Act (Government Code sections 65920, et seq.).
(Reference: State CEQA Guidelines, § 15111.)

4.07 WAIVER OR SUSPENSION OF TIME PERIODS.

These deadlines may be waived by the applicant if the project is subject to both CEQA and the National Environmental Policy Act (“NEPA”).

An unreasonable delay by an applicant in meeting the City’s requests necessary for the preparation of a Negative Declaration, Mitigated Negative Declaration, or an EIR shall suspend the running of the time periods described in Local Guidelines Sections 4.03 and 4.04 for the period of the unreasonable delay. Alternatively, the City may disapprove a project application where there is unreasonable delay in meeting requests. The City may also allow a renewed application to start at the same point in the process where the prior application was when it was disapproved.

(Reference: State CEQA Guidelines, §§ 15109, 15110, and 15224; see Section 5.04 of these Local Guidelines for information about projects that are subject to both CEQA and NEPA.)

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5. INITIAL STUDY

5.01 PREPARATION OF INITIAL STUDY.

If the City determines that it is the Lead Agency for a project which is not exempt, the City will normally prepare an Initial Study to ascertain whether the project may have a substantial adverse effect on the environment, regardless of whether the overall effect of the project is adverse or beneficial. All phases of project planning, implementation and operation must be considered in the Initial Study. An Initial Study may rely on expert opinion supported by facts, technical studies or other substantial evidence. However, an Initial Study is neither intended nor required to include the level of detail included in an EIR.

The City, as Lead Agency, may use any of the following arrangements or combination of arrangements to prepare an Initial Study:
(1) Preparing the Initial Study directly with the City’s own staff. (2) Contracting with another entity, public or private, to prepare the Initial Study. (3) Accepting a draft Initial Study prepared by the applicant, a consultant retained by the applicant, or any other third person.
(4) Executing a third party contract or memorandum of understanding with the applicant to govern the preparation of an Initial Study by an independent contractor. (5) Using a previously prepared Initial Study.

The Initial Study sent out for public review, however, must reflect the independent judgment of the Lead Agency.

For private projects, the person or entity proposing to carry out the project shall complete Form “I” of these Local CEQA Guidelines, submit the completed Form “I” to the City, and submit all other data and information as may be required by the City to determine whether the proposed project may have a significant effect on the environment. All costs incurred by the City in reviewing the data and information submitted, or in conducting its own investigation based upon such data and information, or in preparing an Initial Study for the project shall be borne by the person or entity proposing to carry out the project.
(Reference: State CEQA Guidelines, §§ 15063, 15084.)

5.02 INFORMAL CONSULTATION WITH OTHER AGENCIES.

When more than one public agency will be involved in undertaking or approving a project, the Lead Agency shall consult with all Responsible and any Trustee Agencies. Such consultation shall be undertaken in compliance with the notice procedures applicable to the type of CEQA document being prepared. See Section 6.04, Negative Declarations, and Sections 7.03 and 7.25, EIRs.

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2023 City of Santa Ana Local Guidelines 5-2 ©Best Best & Krieger LLP When the City is acting as Lead Agency, the City may choose to engage in early consultation with Responsible and Trustee Agencies before the City begins to prepare the Initial Study. This early consultation may be done quickly and informally and is intended to ensure that the EIR, Negative Declaration or Mitigated Negative Declaration reflects the concerns of all Responsible Agencies that will issue approvals for the project and all Trustee Agencies responsible for natural resources affected by the project. The City’s early consultation process may include consultation with other individuals or organizations with an interest in the project, if the City so desires. The OPR, upon request of the City or a private project applicant, shall assist in identifying the various Responsible Agencies for a proposed project and ensure that the Responsible Agencies are notified regarding any early consultation. In the case of a project undertaken by a public agency, the OPR, upon request of the City, shall ensure that any Responsible Agency or public agency that has jurisdiction by law with respect to the project is notified regarding any early consultation.

If, during the early consultation process it is determined that the project will clearly have a significant effect on the environment, the City, as Lead Agency, may immediately dispense with the Initial Study and determine that an EIR is required. (Reference: State CEQA Guidelines, § 15063.)

5.03 CONSULTATION WITH PRIVATE PROJECT APPLICANT.

During or immediately after preparation of an Initial Study for a private project, the City may consult with the applicant to determine if the applicant is willing to modify the project to reduce or avoid the significant effects identified in the Initial Study. If the project can be revised to avoid or mitigate effects to a level of insignificance and there is no substantial evidence before the City that the project, as revised, may have a significant effect on the environment, the City may prepare and adopt a Negative Declaration or Mitigated Negative Declaration. If any significant effect may still occur despite alterations of the project, an EIR must be prepared. (Reference: State CEQA Guidelines, § 15063(g).)

5.04 PROJECTS SUBJECT TO NEPA.

Projects that are carried out, financed, or approved in whole or in part by a federal agency are subject to the provisions of NEPA in addition to CEQA. To the extent possible, the State CEQA Guidelines encourage the City, when it is a Lead Agency under CEQA, to use the federally- prepared Environmental Impact Statement (“EIS”) or Finding of No Significant Impact (“FONSI”) or to prepare a joint CEQA/NEPA document instead of preparing separate NEPA and CEQA documents for a project that is subject to both NEPA and CEQA. (State CEQA Guidelines, § 15220.)
For example, the City should attempt to work in conjunction with the federal agency involved in the project to prepare a combined EIR-EIS or Negative Declaration-FONSI. (State CEQA Guidelines, § 15222.) To avoid the need for the federal agency to prepare a separate document for the same project, the Lead Agency must involve the federal agency in the preparation of the joint document. The Lead Agency may also enter into a Memorandum of Understanding with the federal agency to ensure that both federal and state requirements are met.

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2023 City of Santa Ana Local Guidelines 5-3 ©Best Best & Krieger LLP The City is required to cooperate with the federal agency and to utilize joint planning processes, environmental research and studies, public hearings, and environmental documents to the fullest extent possible. (State CEQA Guidelines, § 15226.) However, since NEPA does not require an examination of mitigation measures or growth-inducing impacts, analysis of mitigation measures and growth-inducing impacts will need to be added before NEPA documents may be used to satisfy CEQA. (State CEQA Guidelines, § 15221.) For projects that are subject to NEPA, a scoping meeting held pursuant to NEPA satisfies the CEQA scoping requirement as long as notice is provided to the agencies and individuals listed in Local Guidelines Section 7.10, and provided in accordance with these Local Guidelines.

If the federal agency refuses to cooperate with the City with regard to the preparation of joint documents, the City should attempt to involve a state agency in the preparation of the EIR, Negative Declaration, or Mitigated Negative Declaration. Since federal agencies are explicitly permitted to utilize environmental documents prepared by agencies of statewide jurisdiction, it is possible that the federal agency will reuse the state-prepared CEQA documents instead of requiring the applicant to fund a redundant set of federal environmental documents. (State CEQA Guidelines, § 15228.)
Where the federal agency has circulated the EIS or FONSI and the circulation satisfied the requirements of CEQA and any other applicable laws, the City, when it is a Lead Agency under CEQA, may use the EIS or FONSI in place of an EIR or Negative Declaration without having to recirculate the federal documents. The City’s intention to adopt the previously circulated EIS or FONSI must be publicly noticed in the same way as a Notice of Availability of a Draft EIR.

Special rules may apply when the environmental documents are prepared for projects involving the reuse of military bases. (See State CEQA Guidelines, § 15225.)

5.05 AN INITIAL STUDY.

The Initial Study shall be used to determine whether a Negative Declaration, Mitigated Negative Declaration or an EIR shall be prepared for a project. It provides written documentation of whether the City found evidence of significant adverse impacts which might occur. The purposes of an Initial Study are to:
(a) Identify environmental impacts;
(b) Enable an applicant or Lead Agency to modify a project, mitigating adverse impacts before an EIR is written;
(c) Focus an EIR, if one is required, on potentially significant environmental effects; (d) Facilitate environmental assessment early in the design of a project; (e) Provide documentation of the factual basis for the finding in a Negative Declaration that a project will not have a significant effect on the environment; (f) Eliminate unnecessary EIRs; and
(g) Determine whether a previously prepared EIR could be used for the project. (Reference: State CEQA Guidelines, § 15063.)

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5.06 CONTENTS OF INITIAL STUDY.

An Initial Study shall contain in brief form:
(a) A description of the project, including the location of the project. The project description must be consistent throughout the environmental review process; (b) An identification of the environmental setting. The environmental setting is usually the existing physical environmental conditions in the vicinity of the project, as they exist at the time the Notice of Preparation is published, or if no Notice of Preparation is published, such as in the case of a Negative Declaration or Mitigated Negative Declaration, at the time environmental analysis begins. The environmental setting should describe both the project site and surrounding properties. The description should include, but not necessarily be limited to, a discussion of existing structures, land use, energy supplies, topography, water usage, soil stability, plants and animals, and any cultural, historical, or scenic aspects. This environmental setting will normally constitute the baseline physical conditions against which a Lead Agency may compare the project to determine whether an impact is significant;
(c) An identification of environmental effects by use of a checklist, matrix, or other method, provided that entries are briefly explained to show the evidence supporting the entries. The brief explanation may be through either a narrative or a reference to other information such as attached maps, photographs, or an earlier EIR or Negative Declaration or Mitigated Negative Declaration. A reference to another document should include a citation to the page or pages where the information is found;
(d) A discussion of ways to mitigate any significant effects identified; (e) An examination of whether the project is consistent with existing zoning and local land use plans and other applicable land use controls;
(f) The name of the person or persons who prepared or participated in the Initial Study; and (g) Identification of prior EIRs or environmental documents that could be used with the project.
(Reference: State CEQA Guidelines, § 15063(d).)

5.07 USE OF A CHECKLIST INITIAL STUDY.

When properly completed, the Environmental Checklist (Form “J”) will meet the requirements of Local Guidelines Section 5.05 for an Initial Study provided that the entries on the checklist are explained. Either the Environmental Checklist (Form “J”) should be expanded or a separate attachment should be prepared to describe the project, including its location, and to identify the environmental setting.

California courts have rejected the use of a bare, unsupported Environmental Checklist as an Initial Study. An Initial Study must contain more than mere conclusions. It must disclose supporting data or evidence upon which the Lead Agency relied in conducting the Initial Study.

The Lead Agency must augment checklists with supporting factual data and reference information sources when completing the forms. Explanation of all “potential impact” answers should be provided on attached sheets. For controversial projects, it is advisable to state briefly why “no”

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2023 City of Santa Ana Local Guidelines 5-5 ©Best Best & Krieger LLP answers were checked. If practicable, attach a list of reference materials, such as prior EIRs, plans, traffic studies, air quality data, or other supporting studies.

5.08 EVALUATING SIGNIFICANT ENVIRONMENTAL EFFECTS.

In evaluating the environmental significance of effects disclosed by the Initial Study, the Lead Agency shall consider:
(a) Whether the Initial Study and/or any comments received informally during consultations indicate that a fair argument can be made that the project may have a significant adverse environmental impact that cannot be mitigated to a level of insignificance. Even if a fair argument can be made to the contrary, an EIR should be prepared; (b) Whether both primary (direct) and reasonably foreseeable secondary (indirect) consequences of the project were evaluated. Primary consequences are immediately related to the project, while secondary consequences are related more to the primary consequences than to the project itself. For example, secondary impacts upon the resources base, including land, air, water and energy use of an area, may result from population growth, a primary impact;
(c) Whether adverse social and economic changes will result from a physical change caused by the project. Adverse economic and social changes resulting from a project are not, in themselves, significant environmental effects. However, if such adverse changes cause physical changes in the environment, those consequences may be used as the basis for finding that the physical change is significant;
(d) Whether there is serious public controversy or disagreement among experts over the environmental effects of the project. However, the existence of public controversy or disagreement among experts does not, without more, require preparation of an EIR in the absence of substantial evidence of significant effects; (e) Whether the cumulative impact of the project is significant and whether the incremental effects of the project are “cumulatively considerable” (as defined in Local Guidelines Section 11.14) when viewed in connection with the effects of past projects, current projects, and probable future projects. The City may conclude that a project’s incremental contribution to a cumulative effect is not cumulatively considerable if the project will comply with the requirements in a previously approved plan or mitigation program (including, but not limited to, water quality control plan, air quality attainment or maintenance plan, integrated waste management plan, habitat conservation plan, natural community conservation plan, plans or regulations for the reduction of greenhouse gas emissions) that provides specific requirements that will avoid or substantially lessen the cumulative problem. To be used for this purpose, such a plan or program must be specified in law or adopted by the public agency with jurisdiction over the affected resources through a public review process. In relying on such a plan or program, the City should explain which requirements apply to the project and ensure that the project’s incremental contribution is not cumulatively considerable; and
(f) Whether the project may cause a substantial adverse change in the significance of an archaeological or historical resource.

The City may use a threshold of significance (as that term is defined in State CEQA Guidelines section 15064.7) to determine whether a project may cause a significant environmental

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2023 City of Santa Ana Local Guidelines 5-6 ©Best Best & Krieger LLP impact. When using a threshold of significance, the City should briefly explain how compliance with the threshold means that the project’s impacts are less than significant. Compliance with the threshold, however, does not relieve the City of the obligation to consider substantial evidence indicating that a project’s environmental effects may still be significant. (Reference: State CEQA Guidelines, § 15064(b)(2).)

5.09 DETERMINING THE SIGNIFICANCE OF TRANSPORTATION IMPACTS On or about December 28, 2018, the California Natural Resources Agency added a new section to the State CEQA Guidelines—Section 15064.3, entitled “Determining the Significance of Transportation Impacts.”
Section 15064.3 provides:
(a) Purpose.

This section describes specific considerations for evaluating a project's transportation impacts. Generally, vehicle miles traveled is the most appropriate measure of transportation impacts. For the purposes of this section, “vehicle miles traveled” refers to the amount and distance of automobile travel attributable to a project. Other relevant considerations may include the effects of the project on transit and non-motorized travel. Except as provided in subdivision (b)(2) below (regarding roadway capacity), a project's effect on automobile delay shall not constitute a significant environmental impact.

(b) Criteria for Analyzing Transportation Impacts.

(1) Land Use Projects. Vehicle miles traveled exceeding an applicable threshold of significance may indicate a significant impact. Generally, projects within one-half mile of either an existing major transit stop or a stop along an existing high quality transit corridor should be presumed to cause a less than significant transportation impact. Projects that decrease vehicle miles traveled in the project area compared to existing conditions should be presumed to have a less than significant transportation impact.

(2) Transportation Projects. Transportation projects that reduce, or have no impact on, vehicle miles traveled should be presumed to cause a less than significant transportation impact. For roadway capacity projects, agencies have discretion to determine the appropriate measure of transportation impact consistent with CEQA and other applicable requirements. To the extent that such impacts have already been adequately addressed at a programmatic level, such as in a regional transportation plan EIR, a lead agency may tier from that analysis as provided in Section 15152.

(3) Qualitative Analysis. If existing models or methods are not available to estimate the vehicle miles traveled for the particular project being considered, a lead agency

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2023 City of Santa Ana Local Guidelines 5-7 ©Best Best & Krieger LLP may analyze the project's vehicle miles traveled qualitatively. Such a qualitative analysis would evaluate factors such as the availability of transit, proximity to other destinations, etc. For many projects, a qualitative analysis of construction traffic may be appropriate.

(4) Methodology. A lead agency has discretion to choose the most appropriate methodology to evaluate a project's vehicle miles traveled, including whether to express the change in absolute terms, per capita, per household or in any other measure. A lead agency may use models to estimate a project's vehicle miles traveled, and may revise those estimates to reflect professional judgment based on substantial evidence. Any assumptions used to estimate vehicle miles traveled and any revisions to model outputs should be documented and explained in the environmental document prepared for the project. The standard of adequacy in Section 15151 shall apply to the analysis described in this section.

The provisions of this section shall apply prospectively as described in section 15007. A lead agency may elect to be governed by the provisions of this section immediately. Beginning on July 1, 2020, the provisions of this section shall apply statewide.

(Reference: State CEQA Guidelines, § 15064.3.)

5.10 MANDATORY FINDINGS OF SIGNIFICANT EFFECT.

Whenever there is substantial evidence, in light of the whole record, that any of the conditions set forth below may occur, the Lead Agency shall find that the project may have a significant effect on the environment and thereby shall require preparation of an EIR:
(a) The project has the potential to substantially degrade the quality of the environment, substantially reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop below self-sustaining levels, threaten to eliminate a plant or animal community, substantially reduce the number or restrict the range of a rare or endangered plant or animal, or eliminate important examples of major periods of California history or prehistory;
(b) The project has the potential to achieve short-term environmental goals to the disadvantage of long-term environmental goals;
(c) The project has possible environmental effects which are individually limited but cumulatively considerable, as defined in Local Guidelines Section 11.14. That is, the City, when acting as Lead Agency, is required to determine whether the incremental impacts of a project are cumulatively considerable by evaluating them against the back-drop of the environmental effects of the other projects; or
(d) The environmental effects of a project will cause substantial adverse effects on humans either directly or indirectly.

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2023 City of Santa Ana Local Guidelines 5-8 ©Best Best & Krieger LLP If, before the release of the CEQA document for public review, the potential for triggering one of the mandatory findings of significance is avoided or mitigation measures or project modifications reduce the potentially significant impacts to a point where clearly the mandatory finding of significance is not triggered, preparation of an EIR is not mandated. If the project’s potential for triggering one of the mandatory findings of significance cannot be avoided or mitigated to a point where the criterion is clearly not triggered, an EIR shall be prepared, and the relevant mandatory findings of significance shall be used:
(1) as thresholds of significance for purposes of preparing the EIR’s impact analysis; (2) in making findings on the feasibility of alternatives or mitigation measures; (3) when found to be feasible, in making changes in the project to lessen or avoid the adverse environmental impacts; and
(4) when necessary, in adopting a statement of overriding considerations.

Although an EIR prepared for a project that triggers one of the mandatory findings of significance must use the relevant mandatory findings as thresholds of significance, the EIR need not conclude that the impact itself is significant. Rather, the City, as Lead Agency, must exercise its discretion and determine, on a case-by-case basis after evaluating all of the relevant evidence, whether the project’s environmental impacts are avoided or mitigated below a level of significance or whether a statement of overriding considerations is required.

With regard to a project that has the potential to substantially reduce the number or restrict the range of a protected species, the City, as Lead Agency, does not have to prepare an EIR solely due to that impact, provided the project meets the following three criteria:
(a) The project proponent must be bound to implement mitigation requirements relating to such species and habitat pursuant to an approved habitat conservation plan and/or natural communities conservation plan;
(b) The state or federal agency must have approved the habitat conservation plan and/or natural community conservation plan in reliance on an EIR and/or EIS; and (c) The mitigation requirements must either avoid any net loss of habitat and net reduction in number of the affected species, or preserve, restore, or enhance sufficient habitat to mitigate the reduction in habitat and number of the affected species below a level of significance.
(Reference: State CEQA Guidelines, § 15065.)

5.11 MANDATORY PREPARATION OF AN EIR FOR WASTE-BURNING PROJECTS.

Lead Agencies shall prepare or cause to be prepared and certify the completion of an EIR, or, if appropriate, an Addendum, Supplemental EIR, or Subsequent EIR, for any project involving the burning of municipal wastes, hazardous waste or refuse-derived fuel, including, but not limited to, tires, if the project consists of any of the following:
(a) The construction of a new facility;

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2023 City of Santa Ana Local Guidelines 5-9 ©Best Best & Krieger LLP (b) The expansion of an existing hazardous waste burning facility which would increase its permitted capacity by more than 10%;
(c) The issuance of a hazardous waste facilities permit to a land disposal facility, as defined in Local Guidelines Section 11.32; or
(d) The issuance of a hazardous waste facilities permit to an offsite large treatment facility, as defined in Local Guidelines Sections 11.33 and 11.53.

This section does not apply to projects listed in subsections (c) and (d), immediately above, if the facility only manages hazardous waste that is identified or listed pursuant to Health and Safety Code section 25140 or 25141 or only conducts activities which are regulated pursuant to Health and Safety Code sections 25100, et seq.

The Lead Agency shall calculate the percentage of expansion for an existing facility by comparing the proposed facility’s capacity with either of the following, as applicable:
(a) The facility capacity authorized in the facility’s hazardous waste facilities permit pursuant to Health and Safety Code section 25200, or its grant of interim status pursuant to Health and Safety Code section 25200.5, or the facility capacity authorized in any state or local agency permit allowing the construction or operation of the facility for the burning of hazardous waste granted before January 1, 1990; or
(b) The facility capacity authorized in the facility’s original hazardous facilities permit, grant of interim status, or any state or local agency permit allowing the construction or operation of a facility for the burning of hazardous waste, granted on or after January 1, 1990.

This section does not apply to any project over which the State Energy Resources Conservation and Development Commission has assumed jurisdiction per Health and Safety Code sections 25500 et seq.

The EIR requirement is also subject to a number of exceptions for specific types of waste- burning projects. (Public Resources Code section 21151.1 and State CEQA Guidelines section 15081.5.) Even if preparation of an EIR is not mandatory for a particular type of waste-burning project, those projects are not exempt from the other requirements of CEQA, the State CEQA Guidelines, or these Local Guidelines. In addition, waste-burning projects are subject to special notice requirements under Public Resources Code section 21092. Specifically, in addition to the standard public notices required by CEQA, notice must be provided to all owners and occupants of property located within one-fourth mile of any parcel or parcels on which the waste-burning project will be located. (Public Resources Code section 21092(c); see Local Guidelines Sections

6.12 and 7.27.)

5.12 DEVELOPMENT PURSUANT TO AN EXISTING COMMUNITY PLAN AND EIR.

Before preparing a CEQA document, Staff should determine whether the proposed project involves development consistent with an earlier zoning or community plan to accommodate a particular density for which an EIR has been certified. If an earlier EIR for the zoning or planning action has been certified, and if the proposed project concerns the approval of a subdivision map or development, CEQA applies only to the extent the project raises environmental effects peculiar to the parcel which were not addressed in the earlier EIR. Off-site and cumulative effects not

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2023 City of Santa Ana Local Guidelines 5-10 ©Best Best & Krieger LLP discussed in the general plan EIR must still be considered. Mitigation measures set out in the earlier EIR should be implemented at this stage.

Environmental effects shall not be considered peculiar to the parcel if uniformly applied development policies or standards have been previously adopted by a city or county with a finding based on substantial evidence that the policy or standard will substantially mitigate the environmental effect when applied to future projects. Examples of uniformly applied development policies or standards include, but are not limited to: parking ordinances; public access requirements; grading ordinances; hillside development ordinances; flood plain ordinances; habitat protection or conservation ordinances; view protection ordinances; and requirements for reducing greenhouse gas emissions as set forth in adopted land use plans, policies or regulations.

Any rezoning action consistent with the Community Plan shall be subject to exemption from CEQA in accordance with this section. “Community Plan” means part of a city’s general plan which: (1) applies to a defined geographic portion of the total area included in the general plan; (2) complies with Article 5 (commencing with Section 65300) of Chapter 3 of Division 1 of Title 7 of the Government Code by referencing each of the mandatory elements specified in Government Code section 65302; and (3) contains specific development policies adopted for the area in the Community Plan and identifies measures to implement those policies, so that the policies which will apply to each parcel can be determined.
(Reference: State CEQA Guidelines, § 15183.)

5.13 LAND USE POLICIES.

When a project will amend a general plan or another land use policy, the Initial Study must address how the change in policy and its expected direct and indirect effects will affect the environment. When the amendments constitute substantial changes in policies that result in a significant impact on the environment, an EIR may be required.

5.14 EVALUATING IMPACTS ON HISTORICAL RESOURCES.

Projects that may cause a substantial adverse change in the significance of a historical resource, as defined in Local Guidelines Section 11.28 are projects that may have a significant effect on the environment, thus requiring consideration under CEQA. Particular attention and care should be given when considering such projects, especially projects involving the demolition of a historical resource, since such demolitions have been determined to cause a significant effect on the environment.

Substantial adverse change in the significance of a historical resource means physical demolition, destruction, relocation or alteration of the resource or its immediate surroundings, such that the significance of a historical resource would be materially impaired.

The significance of a historical resource is materially impaired when a project:
(a) Demolishes or materially alters in an adverse manner those physical characteristics of a historical resource that convey its historical significance and that justify its inclusion in, or eligibility for inclusion in, the California Register of Historical Resources;

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2023 City of Santa Ana Local Guidelines 5-11 ©Best Best & Krieger LLP (b) Demolishes or materially alters in an adverse manner those physical characteristics that account for its inclusion in a local register of historical resources or its identification in a historical resources survey, unless the Lead Agency establishes by a preponderance of evidence that the resource is not historically or culturally significant; or (c) Demolishes or materially alters in an adverse manner those physical characteristics of a historical resource that convey its historical significance and that justify its eligibility for inclusion in the California Register of Historical Resources as determined by the Lead Agency for purposes of CEQA.

Generally, a project that follows either one of the following sets of standards and guidelines will be considered mitigated to a level of less than significant: (a) the Secretary of the Interior’s Standards for the Treatment of Historic Properties with Guidelines for Preserving, Rehabilitating, Restoring and Reconstructing Historic Buildings; or (b) the Secretary of the Interior’s Standards for Rehabilitation and Guidelines for Rehabilitating Historic Buildings (1995), Weeks and Grimmer.

In the event of an accidental discovery of a possible historical resource during construction of the project, the City may provide for the evaluation of the find by a qualified archaeologist or other professional. If the find is determined to be a historical resource, the City should take appropriate steps to implement appropriate avoidance or mitigation measures. Work on non- affected portions of the project, as determined by the City, may continue during the process.

Curation may be an appropriate mitigation measure for an artifact that must be removed during project excavation or testing.
(Reference: State CEQA Guidelines, § 15064.5.)

5.15 EVALUATING IMPACTS ON ARCHAEOLOGICAL SITES.

When a project will impact an archaeological site, the City shall first determine whether the site is a historical resource, as defined in Local Guidelines Section 11.28 If the archaeological site is a historical resource, it shall be treated and evaluated as such, and not as an archaeological resource. If the archaeological site does not meet the definition of a historical resource, but does meet the definition of a unique archaeological resource set forth in Public Resources Code section 21083.2, the site shall be treated in accordance with said provisions of the Public Resources Code.

The time and cost limitations described in Section 21083.2(c-f) do not apply to surveys and site evaluation activities intended to determine whether the project site contains unique archaeological resources.

If the archaeological resource is neither a unique archaeological resource nor a historical resource, the effects of the project on those resources shall not be considered a significant effect on the environment. It shall be sufficient that both the resource and the effect on it are noted in the Initial Study or EIR, if one is prepared to address impacts on other resources, but they need not be considered further in the CEQA process.

In the event of an accidental discovery of a possible unique archaeological resource during construction of the project, the City may provide for the evaluation of the find by a qualified archaeologist. If the find is determined to be a unique archaeological resource, the City should

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2023 City of Santa Ana Local Guidelines 5-12 ©Best Best & Krieger LLP take appropriate steps to implement appropriate avoidance or mitigation measures. Work on non- affected portions of the project, as determined by the City, may continue during the process.

Curation may be an appropriate mitigation measure for an artifact that must be removed during project excavation or testing.

When an Initial Study identifies the existence of, or the probable likelihood of, Native American human remains within the Project, the City shall comply with the provisions of State CEQA Guidelines section 15064.5(d). In the event of an accidental discovery or recognition of any human remains in any location other than a dedicated cemetery, the City shall comply with the provisions of State CEQA Guidelines section 15064.5(e). (Reference: State CEQA Guidelines, § 15064.5(c).)

5.16 CONSULTATION WITH WATER AGENCIES REGARDING LARGE DEVELOPMENT PROJECTS.
(a) Projects Subject to Consultation Requirements.

For certain development projects, cities and counties must consult with water agencies. If the City is a municipal water provider, the city or county may request that the City prepare a water supply assessment to be included in the relevant environmental documentation for the project. The City may refer to this section when preparing such an assessment or when reviewing projects in its role as a Responsible Agency. This section applies only to water demand projects as defined by Local Guidelines Section 11.83. Program level environmental review may not need to be as extensive as project level environmental review. (See Local Guidelines Sections 8.03 and 8.08.) (b) Water Supply Assessment.

When a city or county as Lead Agency determines the type of environmental document that will be prepared for a water demand project or any project that includes a water demand project, the city or county must identify any public water system (as defined in Local Guidelines Sections 11.59 and 11.83) that may supply water for the project. The city or county must also request that the public water system determine whether the projected demand associated with the project was included in the most recently adopted Urban Water Management Plan. The city or county must also request that the public water system prepare a specified water supply assessment for approval at a regular or special meeting of the public water system governing body. A sample request for a water supply assessment is provided as Form “N” of these Local CEQA Guidelines.

If no public water system is identified that may supply water for the water demand project, the city or county shall prepare the water supply assessment. The city or county shall consult with any entity serving domestic water supplies whose service area includes the site of the water demand project, the local agency formation commission, and the governing body of any public water system adjacent to the site of the water demand project. The city council or county board of supervisors must approve the water assessment prepared pursuant to this paragraph at a regular or special meeting.

As per Water Code section 10910, the water assessment must include identification of existing water supply entitlements, water rights, or water service contracts relevant to the water

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2023 City of Santa Ana Local Guidelines 5-13 ©Best Best & Krieger LLP supply for the proposed project and water received in prior years pursuant to those entitlements, rights, and contracts, and further information is required if water supplies include groundwater.

The water assessment must determine the ability of the public water system to meet existing and future demands along with the demands of the proposed water demand project in light of existing and future water supplies. This supply demand analysis is to be conducted via a twenty-year projection, and must assess water supply sufficiency during normal year, single dry year, and multiple dry year hydrology scenarios. If the public water agency concludes that the water supply is, or will be, insufficient, it must submit plans for acquiring additional water supplies.

The city or county may grant the public water agency a thirty (30) day extension of time to prepare the assessment if the public water agency requests an extension within ninety (90) days of being asked to prepare the assessment. If the governing body of the public water system fails to request and receive an extension of time, or fails to submit the water assessment notwithstanding the thirty (30) day extension, the city or county may seek a writ of mandamus to compel the governing body of the public water system to comply.

If a water-demand project has been the subject of a water assessment, no additional water assessment shall be required for subsequent water-demand projects that were included in the larger water-demand project if all of the following criteria are met:
(1) The entity completing the water assessment concluded that its water supplies are sufficient to meet the projected water demand associated with the larger water- demand project, in addition to the existing and planned future uses, including, but not limited to, agricultural and industrial uses; and
(2) None of the following changes has occurred since the completion of the water assessment for the larger water-demand project:
(A) Changes in the larger water-demand project that result in a substantial increase in water demand for the water-demand project;
(B) Changes in the circumstances or conditions substantially affecting the ability of the public water system identified in the water assessment to provide a sufficient supply of water for the water demand project; and (C) Significant new information becomes available which was not known and could not have been known at the time when the entity had reached its assessment conclusions.
(3) The city or county shall include the water assessment, and any water acquisition plan in the EIR, negative declaration, or mitigated negative declaration, or any supplement thereto, prepared for the project, and may include an evaluation of the water assessment and water acquisition plan information within such environmental document. A discussion of water supply availability should be included in the main text of the environmental document. Normally, this discussion should be based on the data and information included in the water supply assessment. In making its required findings under CEQA, the city or county shall determine, based on the entire record, whether projected water supplies will be

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2023 City of Santa Ana Local Guidelines 5-14 ©Best Best & Krieger LLP sufficient to satisfy the demands of the project, in addition to existing and planned future uses. If a city or county determines that water supplies will not be sufficient, the city or county shall include that determination in its findings for the project.

The degree of certainty regarding the availability of water supplies will vary depending on the stage of project approval. A Lead Agency should have greater confidence in the availability of water supplies for a specific project than might be required for a conceptual plan (i.e. general plan, specific plan). An analysis of water supply in an environmental document may incorporate by reference information in a water supply assessment, urban water management plan, or other publicly available sources. The analysis shall include the following:

(1) Sufficient information regarding the project's proposed water demand and proposed water supplies to permit the Lead Agency to evaluate the pros and cons of supplying the amount of water that the project will need.

(2) An analysis of the reasonably foreseeable environmental impacts of supplying water throughout all phases of the project.

(3) An analysis of circumstances affecting the likelihood of the water's availability, as well as the degree of uncertainty involved. Relevant factors may include but are not limited to, drought, salt-water intrusion, regulatory or contractual curtailments, and other reasonably foreseeable demands on the water supply.

(4) If the Lead Agency cannot determine that a particular water supply will be available, it shall conduct an analysis of alternative sources, including at least in general terms the environmental consequences of using those alternative sources, or alternatives to the project that could be served with available water.

For complete information on these requirements, consult Water Code sections 10910, et seq. For other CEQA provisions applicable to these types of projects, see Local Guidelines Sections 7.03 and 7.25.

5.17 SUBDIVISIONS WITH MORE THAN 500 DWELLING UNITS.

Cities and counties must obtain written verification (see Form “O” for a sample) from the applicable public water system(s) that a sufficient water supply is available before approving certain residential development projects. If the City is a municipal water provider for a project, the city or county may request such a verification from the City. The City should also be aware of these requirements when reviewing projects in its role as a Responsible Agency.

Cities and counties are prohibited from approving a tentative map, parcel map for which a tentative map was not required, or a development agreement for a subdivision of property of more than 500 dwellings units, unless:
(1) The City Council, Board of Supervisors, or the advisory agency receives written verification from the applicable public water system that a sufficient water supply is available; or

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2023 City of Santa Ana Local Guidelines 5-15 ©Best Best & Krieger LLP (2) Under certain circumstances, the City Council, Board of Supervisors or the advisory agency makes a specified finding that sufficient water supplies are, or will be, available prior to completion of the project.

For complete information on these requirements, consult Government Code section 66473.7.
(Reference: Pub. Resources Code, § 21083.4.)

5.18 IMPACTS TO OAK WOODLANDS.

When a county prepares an Initial Study to determine what type of environmental document will be prepared for a project within its jurisdiction, the county must determine whether the project may result in a conversion of oak woodlands that will have a significant effect on the environment. Normally, this rule will not apply to projects undertaken by the City. However, if the City is a Responsible Agency on such a project, the City should endeavor to ensure that the county, as Lead Agency, analyzes these impacts in accordance with CEQA. (Reference: State CEQA Guidelines, § 21083.4.)

5.19 CLIMATE CHANGE AND GREENHOUSE GAS EMISSIONS.

A. Estimating or Calculating the Magnitude of the Project’s Greenhouse Gas Emissions.

The City shall analyze the greenhouse gas emissions of its projects as required by State CEQA Guidelines section 15064.4. For projects subject to CEQA, the City shall make a good- faith effort, based to the extent possible on scientific and factual data, to describe, calculate or estimate the amount of greenhouse gas emissions resulting from a project.

In performing analysis of greenhouse gas emissions, the City, as Lead Agency, shall have discretion to determine, in the context of a particular project, whether to:
(1) Quantify greenhouse gas emissions resulting from a project; and/ or (2) Rely on a qualitative analysis or performance-based standards.

B. Factors in Determining Significance.

In determining the significance of a project's greenhouse gas emissions, the City, when acting as Lead Agency, should focus its analysis on the reasonably foreseeable incremental contribution of the project's emissions to the effects of climate change. A project's incremental contribution may be cumulatively considerable even if it appears relatively small compared to statewide, national, or global emissions. The City’s analysis should consider a timeframe that is appropriate for the project. The City’s analysis also must reasonably reflect evolving scientific knowledge and state regulatory schemes.

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2023 City of Santa Ana Local Guidelines 5-16 ©Best Best & Krieger LLP Once the amount of a project’s greenhouse gas emissions have been described, estimated, or calculated, the City should consider the following factors, among others, to determine whether those emissions are significant:
(1) The extent to which the project may increase or reduce greenhouse gas emissions as compared to the existing environmental setting. Physical environmental conditions in the vicinity of the project, as they exist at the time the Notice of Preparation is published or the time when the environmental analysis is commenced, will normally constitute the baseline. All project phases, including construction and operation, should be considered in determining whether a project will cause emissions to increase or decrease as compared to the baseline;
(2) Whether the project emissions exceed a threshold of significance that the Lead Agency determines applies to the project. The Lead Agency may rely on thresholds of significance developed by experts or other agencies, provided that application of the threshold and the significance conclusion is supported with substantial evidence. When relying on thresholds developed by other agencies, the Lead Agency should ensure that the threshold is appropriate for the project and the project’s location; and (3) The extent to which the project complies with regulations or requirements adopted to implement a statewide, regional, or local plan for the reduction or mitigation of greenhouse gas emissions (see, e.g., State CEQA Guidelines section 15183.5(b)). Such requirements must be adopted by the relevant public agency through a public review process and must reduce or mitigate the project’s incremental contribution of greenhouse gas emissions. If there is substantial evidence that the possible effects of a particular project are still cumulatively considerable notwithstanding compliance with the adopted regulations or requirements, an EIR must be prepared for the project. In determining the significance of impacts, the Lead Agency may consider a project's consistency with the State's long- term climate goals or strategies, provided that substantial evidence supports the agency's analysis of how those goals or strategies address the project's incremental contribution to climate change and its conclusion that the project's incremental contribution is not cumulatively considerable.

The Lead Agency may use a model or methodology to estimate greenhouse gas emissions resulting from a project. The Lead Agency has discretion to select the model or methodology it considers most appropriate to enable decision makers to intelligently take into account the project's incremental contribution to climate change. The Lead Agency must support its selection of a model or methodology with substantial evidence. The Lead Agency should explain the limitations of the particular model or methodology selected for use.

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When an EIR is prepared, it must discuss any inconsistencies between the proposed project and any applicable general plan, specific plans, and regional plans. This includes, but is not limited to, any applicable air quality attainment plans, regional blueprint plans, or plans for the reduction of greenhouse gas emissions.

D. Mitigation Measures Related to Greenhouse Gas Emissions.

Lead Agencies must consider feasible means of mitigating the significant effects of greenhouse gas emissions. Any such mitigation measure must be supported by substantial evidence and be subject to monitoring or reporting. Potential mitigation will depend on the particular circumstances of the project, but may include the following, among others:
(1) Measures in an existing plan or mitigation program for the reduction of emissions that are required as part of the Lead Agency’s decision; (2) Reductions in emissions resulting from a project through implementation of project features, project design, or other measures, such as those described in State CEQA Guidelines Appendix F;
(3) Off-site measures, including offsets that are not otherwise required, to mitigate a project’s emissions;
(4) Measures that sequester greenhouse gases; and
(5) In the case of the adoption of a plan, such as a general plan, long range development plan, or plan for the reduction of greenhouse gas emissions, mitigation may include the identification of specific measures that may be implemented on a project-by- project basis. Mitigation may also include the incorporation of specific measures or policies found in an adopted ordinance or regulation that reduces the cumulative effect of emissions.

E. Streamlined Analysis of Greenhouse Gas Emissions.

Under certain limited circumstances, the legislature has specifically declared that the analysis of greenhouse gas emissions or climate change impacts may be limited. Public Resources Code sections 21155, 21155.2, and 21159.28 provide that if certain residential, mixed use and transit priority projects meet specified ratios and densities, then the lead agencies for those projects may conduct a limited review of greenhouse gas emissions or may be exempted from analyzing global warming impacts that result from cars and light duty trucks, if a detailed list of requirements is met. However, unless the project is exempt from CEQA, the Lead Agency must consider whether such projects will result in greenhouse gas emissions from other sources, including, but not limited to, energy use, water use, and solid waste disposal.

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77 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) INITIAL STUDY

The City may analyze and mitigate the significant effects of greenhouse gas emissions at a programmatic level. Later project-specific environmental documents may then tier from and/or incorporate by reference that existing programmatic review.

G. Plans for the Reduction of Greenhouse Gas Emissions.

Public agencies may choose to analyze and mitigate greenhouse gas emissions in a plan for the reduction of greenhouse gas emissions or in a similar document. A plan for the reduction of greenhouse gas emissions should:
(1) Quantify greenhouse gas emissions, both existing and projected over a specified time period, resulting from activities within a defined geographic area; (2) Establish a level, based on substantial evidence, below which the contribution to greenhouse gas emissions from activities covered by the plan would not be cumulatively considerable;
(3) Identify and analyze the greenhouse gas emissions resulting from specific actions or categories of actions anticipated within the geographic area; (4) Specify measures or a group of measures, including performance standards, that substantial evidence demonstrates, if implemented on a project-by-project basis, would collectively achieve the specified emissions level; (5) Establish a mechanism to monitor the plan’s progress toward achieving the level and to require amendment if the plan is not achieving specified levels; and (6) Be adopted in a public process following environmental review.

A plan for the reduction of greenhouse gas emissions, once adopted following certification of an EIR, or adoption of another environmental document, may be used in the cumulative impacts analysis of later projects. An environmental document that relies on a plan for the reduction of greenhouse gas emissions for a cumulative impacts analysis must identify those requirements specified in the plan that apply to the project, and, if those requirements are not otherwise binding and enforceable, incorporate those requirements as mitigation measures applicable to the project.

If there is substantial evidence that the effects of a particular project may be cumulatively considerable notwithstanding the project’s compliance with the specified requirements in the plan for reduction of greenhouse gas emissions, an EIR must be prepared for the project.

H. Analyzing the Effects of Climate Change on the Project.

Where an EIR is prepared for a project, the EIR shall analyze any significant environmental effects the project might cause by bringing development and people into the project area that may be affected by climate change. In particular, the EIR should evaluate any potentially significant impacts of locating development in areas susceptible to hazardous conditions (e.g., floodplains, coastlines, wildfire risk areas) as identified in authoritative hazard maps, risk assessments or in

City Council
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78 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) INITIAL STUDY

2023 City of Santa Ana Local Guidelines 5-19 ©Best Best & Krieger LLP land use plans addressing such hazards areas. The analysis may be limited to the potentially significant effects of locating the project in a potentially hazardous location. Further, this analysis may be limited by the project’s life in relation to the potential of such effects to occur and the availability of existing information related to potential future effects of climate change. Further, the EIR need not include speculation regarding such future effects.

5.20 ENERGY CONSERVATION.

Potentially significant energy implications of a project must be considered in an EIR to the extent relevant and applicable to the project. Therefore, the project description should identify the following as applicable or relevant to the particular project:
(1) Energy consuming equipment and processes which will be used during construction, operation and/or removal of the project. If appropriate, this discussion should consider the energy intensiveness of materials and equipment required for the project;
(2) Total energy requirements of the project by fuel type and end use; (3) Energy conservation equipment and design features;
(4) Identification of energy supplies that would serve the project; and (5) Total estimated daily vehicle trips to be generated by the project and the additional energy consumed per trip by mode.

As described in Local Guidelines Section 5.06, above, an initial study must include a description of the environmental setting. The discussion of the environmental setting may include existing energy supplies and energy use patterns in the region and locality. The City may also consider the extent to which energy supplies have been adequately considered in other environmental documents. Environmental impacts may include:
(1) The project’s energy requirements and its energy use efficiencies by amount and fuel type for each stage of the project including construction, operation, maintenance and/or removal. If appropriate, the energy intensiveness of materials may be discussed;
(2) The effects of the project on local and regional energy supplies and on requirements for additional capacity;
(3) The effects of the project on peak and base period demands for electricity and other forms of energy;
(4) The degree to which the project complies with existing energy standards; (5) The effects of the project on energy resources; and/or

City Council
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79 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) INITIAL STUDY

2023 City of Santa Ana Local Guidelines 5-20 ©Best Best & Krieger LLP (6) The project’s projected transportation energy use requirements and its overall use of efficient transportation alternatives.

As discussed above in Section 5.06, the Initial Study must identify the potential environmental effects of the proposed activity. That discussion must include the unavoidable adverse effects. Unavoidable adverse effects may include wasteful, inefficient and unnecessary consumption of energy during the project construction, operation, maintenance and/or removal that cannot be feasibly mitigated.

When discussing energy conservation, alternatives should be compared in terms of overall energy consumption and in terms of reducing wasteful, inefficient and unnecessary consumption of energy.

5.21 ENVIRONMENTAL IMPACT ASSESSMENT.

The Initial Study identifies which environmental impacts may be significant. Based upon the Initial Study, Staff shall determine whether a proposed project may or will have a significant effect on the environment. Such determination shall be made in writing on the Environmental Impact Assessment Form (Form “C”). If Staff finds that a project will not have a significant effect on the environment, it shall recommend that a Negative Declaration be prepared and adopted by the decision-making body. If Staff finds that a project may have a significant effect on the environment, but the effects can be mitigated to a level of insignificance, it shall recommend that a Mitigated Negative Declaration be prepared and adopted by the decision-making body. If Staff finds that a project may have a significant effect on the environment, it shall recommend that an EIR be prepared and certified by the decision-making body.

5.22 FINAL DETERMINATION.

The City Council shall have the final responsibility for determining whether an EIR, Negative Declaration or Mitigated Negative Declaration shall be required for any project. The City Council’s determination shall be final and conclusive on all persons, including Responsible Agencies and Trustee Agencies, except as provided in Section 15050(c) of the State CEQA Guidelines. Additionally, in the event the City Council has delegated authority to a subsidiary board or official to approve a project, the City Council also hereby delegates to that subsidiary board or official the authority to make all necessary CEQA determinations, including whether an EIR, Negative Declaration, Mitigated Negative Declaration or exemption shall be required for any project. A subsidiary board or official’s CEQA determination shall be subject to appeal consistent with the City’s established procedures for appeals.
(Reference: Pub. Resources Code, § 21151.)

City Council
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80 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

6. NEGATIVE DECLARATION

6.01 DECISION TO PREPARE A NEGATIVE DECLARATION.

A Negative Declaration (Form “E”) shall be prepared for a project subject to CEQA when the Initial Study shows that there is no substantial evidence in light of the whole record that the project may have a significant or potentially significant adverse effect on the environment. (See Local Guidelines Sections 11.65 and 11.71.)
(Reference: State CEQA Guidelines, § 15070(a).)

6.02 DECISION TO PREPARE A MITIGATED NEGATIVE DECLARATION.

A Mitigated Negative Declaration (Form “E”) shall be prepared for a project subject to CEQA when the Initial Study identifies potentially significant effects on the environment, but:
(a) The project applicant has agreed to revise the project or the City can revise the project to avoid these significant effects or to mitigate the effects to a point where it is clear that no significant effects would occur; or
(b) There is no substantial evidence in light of the whole record before the City that the revised project may have a significant effect.

It is insufficient to require an applicant to adopt mitigation measures after final adoption of the Mitigated Negative Declaration or to state that mitigation measures will be recommended on the basis of a future study. The City must know the measures at the time the Mitigated Negative Declaration is adopted in order for them to be evaluated and accepted as adequate mitigation.

Evidence of agreement by the applicant to such mitigation should be in the record prior to public review. Except where noted, the procedural requirements for the preparation and approval of a Negative Declaration and Mitigated Negative Declaration are the same. (Reference: State CEQA Guidelines, § 15070(b).)

6.03 CONTRACTING FOR PREPARATION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

The City, when acting as Lead Agency, is responsible for preparing all documents required pursuant to CEQA. The documents may be prepared by Staff or by private consultants pursuant to a contract with the City, but they must be the City’s product and reflect the independent judgment of the City.

6.04 NOTICE OF INTENT TO ADOPT A NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

When, based upon the Initial Study, it is recommended to the decision-making body that a Negative Declaration or Mitigated Negative Declaration be adopted, a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration (Form “D”) shall be prepared. In addition to being provided to the public through the means set forth in Local Guidelines Section 6.07, this Notice shall also be provided to:

City Council
22 –
81 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-2 ©Best Best & Krieger LLP (a) Each Responsible and Trustee Agency;
(b) Any other federal, state, or local agency that has jurisdiction by law or exercises authority over resources affected by the project, including:
(1) Any water supply agency consulted under Local Guidelines Section 5.16; (2) Any city or county bordering on the project area;
(3) For a project of statewide, regional, or area-wide significance, to any transportation agencies or public agencies which have major local arterials or public transit facilities within five (5) miles of the project site or freeways, highways, or rail transit service within ten (10) miles of the project site which could be affected by the project; and
(4) For a subdivision project located within one mile of a facility of the State Water Resources Development System, to the California Department of Water Resources; (c) The last known name and address of all organizations and individuals who have previously filed a written request with the City to receive these Notices; (d) For certain projects that may impact a low-level flight path, military impact zone, or special use airspace and that meet the other criteria of Local Guidelines Section 6.05, to the specified military services contact;
(e) For certain projects that involve the construction or alteration of a facility anticipated to include hazardous air emissions or handle hazardous substances within one-quarter mile of a school and that meet the other requirements of Local Guidelines Section 6.06, to any potentially affected school district;
(f) For certain waste-burning projects that meet the requirements of Local Guidelines Section

5.11 (regarding mandatory preparation of EIR) (see also Local Guidelines Section 7.27), to the owners and occupants of property within one-fourth mile of any parcel on which the project will be located; and
(g) For a project that establishes or amends a redevelopment plan that contains land in agricultural use, notice shall be provided to the agricultural and farm agencies and organizations specified in Health and Safety Code section 33333.3.

The Notice of Intent must also be posted to the Lead Agency’s website, if any. (Pub.

Resources Code, § 21092.2(d).) Additionally, for a project of statewide, regional, or area-wide significance, the Lead Agency should also consult with public transit agencies with facilities within one-half mile of the proposed project.

A copy of the proposed Negative Declaration or Mitigated Negative Declaration and the Initial Study shall be attached to the Notice of Intent to Adopt that is sent to every Responsible Agency and Trustee Agency concerned with the project and every other public agency with jurisdiction by law over resources affected by the project.

The public review period for a Negative Declaration or Mitigated Negative Declaration shall not be less than twenty (20) days; the public review period shall be at least thirty (30) days where the Negative Declaration or Mitigated Negative Declaration is for a proposed project where

City Council
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82 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-3 ©Best Best & Krieger LLP (1) a state agency is the lead agency, a responsible agency, or a trustee agency; (2) a state agency otherwise has jurisdiction by law with respect to the project; or (3) the proposed project is of sufficient statewide, regional, or area-wide significance as determined pursuant to State CEQA Guidelines section 15206. The Lead Agency shall give notice of the public review period by filing and posting a Notice of Intent to Adopt a Negative Declaration (Form “D”) with the County Clerk before commencement of the public review period; where a public review period of at least 30 days is required, the Lead Agency shall also electronically submit the Notice of Intent to the State Clearinghouse. (Pub. Resources Code, § 21091.)
For purposes of calculating the length of the public review period, the last day of the public review period cannot fall on a weekend, a legal holiday, or other day on which the lead agency’s offices are closed.1 (Reference: Rominger v. County of Colusa (2014) 229 Cal.App.4th 690, 708.) The City requires requests for notices to be in writing and to be renewed annually. If the City is not otherwise required by CEQA or another regulation to provide notice, the City may charge a fee for providing notices to individuals or organizations that have submitted written requests to receive such notices, unless the request is made by another public agency.

If the Negative Declaration or Mitigated Negative Declaration has been submitted to the State Clearinghouse for review by state agencies, the public review period shall be at least as long as the period of review and comment by state agencies as established by the State Clearinghouse. (See Local Guidelines Section 6.10.) Day one of the state agency review period shall be the date that the State Clearinghouse distributes the Negative Declaration or Mitigated Negative Declaration to state agencies.

The Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration shall contain the following information:
(a) The period during which comments shall be received; (b) The date, time and place of any public meetings or hearings on the proposed project; (c) A brief description of the proposed project and its location; (d) The address where copies of the proposed Negative Declaration or Mitigated Negative Declaration and all documents incorporated by reference in the proposed Negative Declaration or Mitigated Negative Declaration are available for review; (e) A description of how the proposed Negative Declaration or Mitigated Negative Declaration can be obtained in electronic format;
(f) The Environmental Protection Agency (“EPA”) list on which the proposed project site is located, if applicable, and the corresponding information from the applicant’s statement (see Local Guidelines Section 2.05); and
(g) The significant effects on the environment, if any, anticipated as a result of the proposed project.

1 A public agency’s “offices are closed” for purposes of this section on days in which the agency is formally closed for business (for example, due to a weekend, a legal holiday, or a formal furlough affecting the entire office). A public agency’s office is not considered closed for purposes of this section where the agency’s office may be physically closed, but the agency is nonetheless open for business and is operating remotely or virtually (for example, in response to the Covid-19 pandemic).

City Council
22 –
83 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-4 ©Best Best & Krieger LLP (Reference: Pub. Resources Code, §§ 21082.1, 21091, 21161; State CEQA Guidelines, §§ 15072, 15105, 15205.)

6.05 PROJECTS AFFECTING MILITARY SERVICES; DEPARTMENT OF DEFENSE NOTIFICATION.

CEQA imposes additional requirements to provide notice to potentially affected military agencies when:
(a) The project meets one of the following three criteria:
(1) The project includes a general plan amendment;
(2) The project is of statewide, regional, or area-wide significance; or (3) The project relates to a public use airport or certain lands surrounding a public use airport; and
(b) A “military service” (defined in Section 11.42 of these Local Guidelines) has provided its contact office and address and notified the Lead Agency of the specific boundaries of a “low-level flight path” (defined in Section 11.37 of these Local Guidelines), “military impact zone” (defined in Section 11.41 of these Local Guidelines), or “special use airspace” (defined in Section 11.67 of these Local Guidelines).

When a project meets these requirements, the City must provide the military service’s designated contact with a copy of the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration that has been prepared for the project, unless the project involves the remediation of lands contaminated with hazardous wastes and meets certain other requirements. (Reference: Pub. Resources Code §§ 21080.4 and 21092; Health & Safety Code §§ 25300, et seq., 25396, and 25187.)
The City must provide the military service with sufficient notice of its intent to adopt a Negative Declaration or Mitigated Negative Declaration to ensure that the military service has no fewer than twenty (20) days to review the documents before they are approved, provided that the military service shall have a minimum of thirty (30) days to review the environmental documents if the documents have been submitted to the State Clearinghouse. (Reference: State CEQA Guidelines, §§ 15105(b), 15190.5(c).)

6.06 SPECIAL FINDINGS REQUIRED FOR FACILITIES THAT MAY EMIT HAZARDOUS AIR EMISSIONS NEAR SCHOOLS.

Special procedural rules apply to projects involving the construction or alteration of a facility within one-quarter mile of a school/schools when: (1) the facility might reasonably be anticipated to emit hazardous air emissions or to handle an extremely hazardous substance or a mixture containing extremely hazardous substances in a quantity equal to or greater than the threshold specified in Health and Safety Code section 25532(j), and (2) the emissions or substances may pose a health or safety hazard to persons who would attend or would be employed at the

City Council
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84 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-5 ©Best Best & Krieger LLP school. If the project meets both of those criteria, a Lead Agency may not approve a Negative Declaration or a Mitigated Negative Declaration unless both of the following have occurred:
(a) The Lead Agency consulted with the affected school district or districts having jurisdiction over the school regarding the potential impact of the project on the school; and (b) The school district(s) was given written notification of the project not less than thirty (30) days prior to the proposed approval of the Negative Declaration.

When the City is considering the adoption of a Negative Declaration or Mitigated Negative Declaration for a project that meets these criteria, it can satisfy this requirement by providing the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration, the proposed Negative Declaration or Mitigated Negative Declaration, and the Initial Study to the potentially affected school district at least thirty (30) days before the decision-making body will consider the adoption of the Negative Declaration or Mitigated Negative Declaration. See also Local Guidelines Section 6.04.

Implementation of this Guideline shall be consistent with the definitions and terms utilized in State CEQA Guidelines section 15186.

6.07 CONSULTATION WITH CALIFORNIA NATIVE AMERICAN TRIBES.

Prior to the release of a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration for a project, the Lead Agency shall begin consultation with a California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed project if:
(a) The California Native American tribe requested to the Lead Agency, in writing, to be informed by the Lead Agency through formal notification of proposed projects in the geographic area that is traditionally and culturally affiliated with the tribe; and

(b) The California Native American tribe responds, in writing, within 30 days of receipt of the formal notification, and requests the consultation. The California Native American tribe shall designate a lead contact person when responding to the Lead Agency. If a lead contact is not designated by the California Native American tribe, or it designates multiple lead contact people, the Lead Agency shall defer to the individuals listed on the contact list maintained by the Native American Heritage Commission. Consultation is defined in Local Guidelines Section 11.12.

To expedite the requirements of this section, the Native American Heritage Commission shall assist the Lead Agency in identifying the California American Native tribes that are traditionally and culturally affiliated with the project area.

Within 14 days of determining that an application for a project is complete or a decision by a public agency to undertake a project, the Lead Agency shall provide formal notification to the designated contact of, or a trial representative of, traditionally and culturally affiliated California Native America tribes that have requested notice, which shall be accomplished by at least one written notification that includes a brief description of the proposed project and its

City Council
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Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-6 ©Best Best & Krieger LLP location, the Lead Agency contact information, and a notification that the California Native American tribe has 30 days to request consultation. Where the application for a housing development project is deemed to be complete on or after March 4, 2020 and before December 31, 2021, the California Native American tribe shall have 60 days to respond to the Lead Agency and request consultation. (Reference: Gov. Code, § 65583(i).) The Lead Agency shall begin the consultation process within 30 days of receiving a California Native American tribe's request for consultation.

If consultation is requested, the parties may propose mitigation measures, including those set forth in Public Resources Code section 21084.3, capable of avoiding or substantially lessening potential significant impacts to a tribal cultural resource or alternatives that would avoid significant impacts to a tribal cultural resource. The consultation may include discussion concerning the type of environmental review necessary, the significance of tribal cultural resources, the significance of the project's impacts on the tribal cultural resources, and, if necessary, project alternatives or the appropriate measures for preservation or mitigation that the California Native American tribe may recommend to the Lead Agency.

The consultation shall be considered concluded when either of the following occurs:
(1) The parties agree to measures to mitigate or avoid a significant effect, if a significant effect exists, on a tribal cultural resource. (2) A party, acting in good faith and after reasonable effort, concludes that mutual agreement cannot be reached.

The California Native American tribe is not limited in its ability to submit information to the lead agency regarding the significance of the tribal cultural resources, the significance of the project's impact on tribal cultural resources, or any appropriate measures to mitigate the impacts.

Additionally, the lead agency or project proponent is not limited in its ability to incorporate changes and additions to the project as a result of the consultation, even if not legally required. (Reference: Pub. Resources Code, §§ 21080.3.1, 21080.3.2.)

6.08 IDENTIFICATION OF TRIBAL CULTURAL RESOURCES AND PROCESSING OF INFORMATION

AFTER CONSULTATION WITH THE CALIFORNIA NATIVE AMERICAN TRIBE After consultation with the California Native American tribe listed above in Local Guidelines Section 6.07, any mitigation measures agreed upon in the consultation conducted pursuant to Public Resources Code section 21080.3.2 shall be recommended for inclusion in the Mitigated Negative Declaration and in an adopted mitigation monitoring and reporting program, if the mitigation measures are determined to avoid or lessen the proposed project’s impacts on tribal cultural resources, and if the mitigation measures are enforceable.

If a project may have a significant impact on a tribal cultural resource, the Lead Agency's Mitigated Negative Declaration shall discuss both of the following:

City Council
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86 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-7 ©Best Best & Krieger LLP (a) Whether the proposed project has a significant impact on an identified tribal cultural resource;
(b) Whether feasible alternatives or mitigation measures, including those measures that may be agreed to during the consultation, avoid or substantially lessen the impact on the identified tribal cultural resource.

Any information provided regarding the location, description and use of the tribal cultural resource that is submitted by a California Native American tribe during the environmental review process shall not be included in the Negative Declaration or Mitigated Negative Declaration or otherwise disclosed by the Lead Agency or any other public agency to the public, consistent with Government Code sections 7927.005, and State CEQA Guidelines section 15120(d), without the prior consent of the tribe that provided the information. If the Lead Agency publishes any information submitted by a California Native American tribe during the consultation or environmental review process, that information shall be published in a confidential appendix to the Negative Declaration or Mitigated Negative Declaration unless the tribe provides consent, in writing, to the disclosure of some or all of the information to the public. This does not prohibit the confidential exchange of the submitted information between public agencies that have lawful jurisdiction over the preparation of the Negative Declaration or the Mitigated Negative Declaration.

The exchange of confidential information regarding tribal cultural resources submitted by a California Native American tribe during the consultation or environmental review process among the Lead Agency, the California Native American tribe, the project applicant, or the project applicant's agent is not prohibited by Public Resources Code section 21082.3. The project applicant and the project applicant's legal advisers must use a reasonable degree of care and maintain the confidentiality of the information exchanged for the purposes of preventing looting, vandalism, or damage to tribal cultural resources and shall not disclose to a third party confidential information regarding the cultural resource unless the California Native American tribe providing the information consents in writing to the public disclosure of such information.

Public Resources Code section 21082.3 does not prevent a Lead Agency or other public agency from describing the information in general terms in the Negative Declaration or Mitigated Negative Declaration so as to inform the public of the basis of the Lead Agency's or other public agency's decision without breaching the confidentiality required. In addition, a Lead Agency may adopt a Mitigated Negative Declaration for a project with a significant impact on an identified tribal cultural resource only if one of the following occurs:
(a) The consultation process between the California Native American tribe and the Lead Agency has occurred as provided in Public Resources Code sections 21080.3.1 and 21080.3.2 and concluded pursuant to subdivision (b) of Section 21080.3.2.
(b) The California Native American tribe has requested consultation pursuant to Public Resources Code section 21080.3.1 and has failed to provide comments to the Lead agency, or otherwise failed to engage, in the consultation process.

City Council
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87 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-8 ©Best Best & Krieger LLP (c) The Lead Agency has complied with subdivision (d) of Section 21080.3.1 of the Public Resources Code and the California Native American tribe has failed to request consultation within 30 days.

If substantial evidence demonstrates that a project will cause a significant effect to a tribal cultural resource but the decision-makers do not include the mitigation measures recommended by the staff in the Mitigated Negative Declaration, or if there are no agreed upon mitigation measures at the conclusion of the consultation; or if no consultation has occurred, the Lead Agency must still consider the adoption of feasible mitigation.
(Reference: Pub. Resources Code, § 21082.3.)

6.09 SIGNIFICANT ADVERSE IMPACTS TO TRIBAL CULTURAL RESOURCES Public agencies shall, when feasible, avoid damaging effects to any tribal cultural resource.

If the Lead Agency determines that a project may cause a substantial adverse change to a tribal cultural resource, and measures are not otherwise identified in the consultation process provided in Public Resources Code section 21080.3.2 and as set forth in Local Guidelines Section 6.07, the following examples of mitigation measures, if feasible, may be considered to avoid or minimize the significant adverse impacts:
(a) Avoidance and preservation of the resources in place, including, but not limited to, planning and construction to avoid the resources and protect the cultural and natural context, or planning greenspace, parks, or other open space, to incorporate the resources with culturally appropriate protection and management criteria. (b) Treating the resource with culturally appropriate dignity taking into account the tribal cultural values and meaning of the resource, including, but not limited to, the following:
(1) Protecting the cultural character and integrity of the resource. (2) Protecting the traditional use of the resource.
(3) Protecting the confidentiality of the resource.
(c) Permanent conservation easements or other interests in real property, with culturally appropriate management criteria for the purposes of preserving or utilizing the resources or places.
(d) Protecting the resource.
(Reference: Pub. Resources Code, § 21084.3.)

City Council
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Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

6.10 POSTING AND PUBLICATION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

The City shall have a copy of the Notice of Intent to Adopt, the Negative Declaration or Mitigated Negative Declaration, and the Initial Study posted at the City’s offices and on the City’s website, if any, and shall make these documents available for public inspection. The Notice must be provided either twenty (20) or thirty (30) days prior to final adoption of the Negative Declaration or Mitigated Negative Declaration. The public review period for a Negative Declaration or Mitigated Negative Declaration prepared for a project subject to state agency review, as set forth in Local Guidelines Section 6.11, must be circulated for at least as long as the review period established by the State Clearinghouse, usually no less than thirty (30) days. Under certain circumstances, a shortened review period of at least twenty (20) days may be approved by the State Clearinghouse as provided for in State CEQA Guidelines section 15105. See the Shortened Review Request Form “P.” The state review period will commence on the date the State Clearinghouse distributes the document to state agencies. The State Clearinghouse will distribute the document within three (3) days of receipt if the Negative Declaration or Mitigated Negative Declaration is deemed complete.

The Notice must also be posted in the office of the Clerk in each county in which the project is located and must remain posted throughout the public review period. The County Clerk is required to post the Notice within twenty-four (24) hours of receiving it.

Notice shall be provided as stated in Local Guidelines Section 6.04. In addition, Notice of the Intent to Adopt shall be given to the last known name and address of all organizations and individuals who have previously requested notice; by posting the notice on the website of the lead agency; and by at least one of the following procedures:
(a) Publication at least once in a newspaper of general circulation in the area affected by the proposed project. If more than one area will be affected, the notice shall be published in the newspaper of largest circulation from among the newspapers of general circulation in those areas;
(b) Posting of notice on and off site in the area where the project is to be located; or (c) Direct mailing to owners and occupants of property contiguous to the project, as shown on the latest equalized assessment roll.

The City, when acting as Lead Agency, shall consider all comments received during the public review period for the Negative Declaration or Mitigated Negative Declaration. For a Negative Declaration or Mitigated Negative Declaration, the City is not required to respond in writing to comments it receives either during or after the public review period. However, the City may provide a written response to all comments if it will not delay action on the Negative Declaration or Mitigated Negative Declaration, since any comment received prior to final action on the Negative Declaration or Mitigated Negative Declaration can form the basis of a legal challenge. A written response that refutes the comment or adequately explains the City’s action in light of the comment will assist the City in defending against a legal challenge. The City shall notify any public agency that comments on a Negative Declaration or Mitigated Negative Declaration of the public hearing or hearings, if any, on the project for which the Negative Declaration or Mitigated Negative Declaration was prepared.

City Council
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89 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-10 ©Best Best & Krieger LLP (Reference: Pub. Resources Code, § 21092; State CEQA Guidelines, §§ 15072-15073.)

6.11 SUBMISSION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION TO STATE CLEARINGHOUSE.

A Negative Declaration or Mitigated Negative Declaration must be submitted to the State Clearinghouse, in an electronic form as required by the Office of Planning and Research, regardless of whether the document must be circulated for review and comment by state agencies under State CEQA Guidelines section 15205 and 15206. The Negative Declaration or Mitigated Negative Declaration must be submitted via the Office of Planning and Research’s CEQA Submit website (https://ceqasubmit.opr.ca.gov/Security/LogOn?ReturnUrl=%2f). The CEQA Submit website differentiates between environmental documents that do require review and comment by state agencies and those that do not. In particular, the website provides a “Local Review Period” tab for submitting documents that do not require review and comment by state agencies, and a “State Review Period” tab for submitting documents that do require review and comment by state agencies.

A Negative Declaration or Mitigated Negative Declaration must be submitted to the State Clearinghouse for review and comment by state agencies (i.e., a Negative Declaration or Mitigated Negative Declaration must be submitted through the CEQA Submit website under the “State Review Period” tab) in the following situations:
(a) The Negative Declaration or Mitigated Negative Declaration is prepared by a Lead Agency that is a state agency;
(b) The Negative Declaration or Mitigated Negative Declaration is prepared by a public agency where a state agency is a Responsible Agency, Trustee Agency, or otherwise has jurisdiction by law with respect to the project; or
(c) The Negative Declaration or Mitigated Negative Declaration is for a project identified in State CEQA Guidelines section 15206 as being of statewide, regional, or area-wide significance.

State CEQA Guidelines section 15206 identifies the following types of projects as being examples of projects of statewide, regional, or area-wide significance that require submission to the State Clearinghouse for circulation:
(1) Projects that have the potential to cause significant environmental effects beyond the city or county where the project would be located, such as:
(a) Residential development of more than 500 units;
(b) Commercial projects employing more than 1,000 persons or covering more than 500,000 square feet of floor space;
(c) Office building projects employing more than 1,000 persons or covering more than 250,000 square feet of floor space;
(d) Hotel or motel development of more than 500 rooms; or (e) Industrial projects housing more than 1,000 persons, occupying more than 40 acres of land, or covering more than 650,000 square feet of floor area;

City Council
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90 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-11 ©Best Best & Krieger LLP (2) Projects for the cancellation of a Williamson Act contract covering 100 or more acres;
(3) Projects in one of the following Environmentally Sensitive Areas:
(a) Lake Tahoe Basin;
(b) Santa Monica Mountains Zone;
(c) Sacramento-San Joaquin River Delta;
(d) Suisun Marsh;
(e) Coastal Zone, as defined by the California Coastal Act; (f) Areas within one-quarter mile of a river designated as wild and scenic; or (g) Areas within the jurisdiction of the San Francisco Bay Conservation and Development Commission;
(4) Projects that would affect sensitive wildlife habitats or the habitats of any rare, threatened, or endangered species;
(5) Projects that would interfere with water quality standards; and (6) Projects that would provide housing, jobs, or occupancy for 500 or more people within 10 miles of a nuclear power plant.

A Negative Declaration or Mitigated Negative Declaration may also be submitted to the State Clearinghouse for circulation if a state agency has special expertise with regard to the environmental impacts involved.

The public review period for a Negative Declaration or a Mitigated Negative Declaration shall not be less than twenty (20) days. The review period, however, shall be at least thirty (30) days if the Negative Declaration or Mitigated Negative Declaration is for a proposed project where a state agency is the lead agency, a responsible agency, or a trustee agency; a state agency otherwise has jurisdiction by law with respect to the project; or the proposed project is of sufficient statewide, regional, or areawide significance as determined pursuant to the guidelines certified and adopted pursuant to State CEQA Guidelines section 15206.

When the Negative Declaration or Mitigated Negative Declaration is submitted to the State Clearinghouse for state agency review, the review period begins (day one) on the date that the State Clearinghouse distributes the Negative Declaration or Mitigated Negative Declaration to state agencies. The State Clearinghouse is required to distribute the Negative Declaration or Mitigated Negative Declaration to state agencies within three (3) working days from the date the State Clearinghouse receives the document, as long as the Negative Declaration or Mitigated Negative Declaration is complete when submitted to the State Clearinghouse. If the document submitted to the State Clearinghouse is not complete, the State Clearinghouse must notify the Lead Agency. The review period for the public and all other agencies may run concurrently with the state agency review period established by the State Clearinghouse, but the public review period cannot conclude before the state agency review period does. The review period for the public shall be at least as long as the review period established by the State Clearinghouse.

City Council
22 –
91 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-12 ©Best Best & Krieger LLP A shorter review period by the State Clearinghouse for a Negative Declaration or Mitigated Negative Declaration can be requested by the decision-making body. The shortened review period shall not be less than twenty (20) days. Such a request must be made in writing by the Lead Agency to the Office of Planning and Research. The decision-making body may designate by resolution or ordinance an individual authorized to request a shorter review period. (See Form “P”). Any approval of a shortened review period must be given prior to, and reflected in, the public notice. However, a shortened review period shall not be approved by the Office of Planning and Research for any proposed project of statewide, regional or area-wide environmental significance, as defined by State CEQA Guidelines section 15206.

When the City completes its Negative Declaration or Mitigated Negative Declaration for a proposed project, the City must also cause a Notice of Completion (Form “H”) to be filed with the Office of Planning and Research via the Office of Planning and Research’s CEQA Submit website.

The Notice of Completion should briefly identify the project, indicate that an environmental document has been prepared for the project, and identify the project location by latitude and longitude.

The City must post the Notice of Intent, Notice of Completion, and Negative Declaration or Mitigated Negative Declaration on its website, if any. (Reference: Pub. Resources Code, §§ 21082.1, 21161; State CEQA Guidelines, §§ 15205, 15206.)

6.12 SPECIAL NOTICE REQUIREMENTS FOR WASTE- AND FUEL-BURNING PROJECTS.

For any project that involves the burning of municipal waste, hazardous waste, or refuse- derived fuel (such as tires) and that does not require an EIR, as defined in Local Guidelines Section

5.11, a Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration shall be given to all organizations and individuals who have previously requested it and shall also be given by all three of the procedures listed in Local Guidelines Section 6.07. In addition, Notice shall be given by direct mailing to the owners and occupants of property within one-quarter mile of any parcel or parcels on which such a project is located.

These notice requirements apply only to those projects described in Local Guidelines Section 5.11. These notice requirements do not preclude the City from providing additional notice by other means if desired.
(Reference: Pub. Resources Code, § 21092(c).)

6.13 CONSULTATION WITH WATER AGENCIES REGARDING LARGE DEVELOPMENT PROJECTS.

Under specific circumstances a city or county acting as Lead Agency must consult with the public water system that will supply the project to determine whether the public water system can adequately supply the water needed for the project. As a Responsible Agency, the City should be aware of these requirements. See Local Guidelines Section 5.16 for more information on these requirements. (Reference: State CEQA Guidelines, § 15155.)

City Council
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92 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

6.14 CONTENT OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

A Negative Declaration must be prepared directly by or under contract to the City and should generally resemble Form “E.” It shall contain the following information:
(a) A brief description of the project proposed, including any commonly used name for the project;
(b) The location of the project and the name of the project proponent; (c) A finding that the project as proposed will not have a significant effect on the environment; and
(d) An attached copy of the Initial Study documenting reasons to support the finding.

For a Mitigated Negative Declaration, feasible mitigation measures included in the project to substantially lessen or avoid potentially significant effects must be fully enforceable through permit conditions, agreements, or other measures. Such permit conditions, agreements, and measures must be consistent with applicable constitutional requirements such as the “nexus” and “rough proportionality” standards established by case law.

The proposed Negative Declaration or Mitigated Negative Declaration must reflect the independent judgment of the City.
(Reference: State CEQA Guidelines, § 15071.)

6.15 TYPES OF MITIGATION.

The following is a non-exhaustive list of potential types of mitigation the City may consider:
(a) Avoidance;
(b) Preservation;
(c) Rehabilitation or replacement. Replacement may be on-site or off-site depending on the particular circumstances; and/or
(d) Participation in a fee program.
(Reference: State CEQA Guidelines, § 15370.)

6.16 ADOPTION OF NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

Following the publication, posting or mailing of the Notice of Intent to Adopt a Negative Declaration or Mitigated Negative Declaration, but not before the expiration of the applicable twenty (20) or thirty (30) day public review period, the Negative Declaration or Mitigated Negative Declaration may be presented to the decision-making body at a regular or special meeting. Prior to adoption, the City shall independently review and analyze the Negative Declaration or Mitigated Negative Declaration and find that the Negative Declaration or Mitigated Negative Declaration reflects the independent judgment of the City.

If new information is added to the Negative Declaration or Mitigated Negative Declaration after public review, the City should determine whether recirculation is warranted. (See Local

City Council
22 –
93 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-14 ©Best Best & Krieger LLP Guidelines Section 6.19). If the decision-making body finds that the project will not have a significant effect on the environment, it shall adopt the Negative Declaration or Mitigated Negative Declaration. If the decision-making body finds that the proposed project may have a significant effect on the environment that cannot be mitigated or avoided, it shall order the preparation of a Draft EIR and the filing of a Notice of Preparation of a Draft EIR.

When adopting a Negative Declaration or Mitigated Negative Declaration, the City shall specify the location and custodian of the documents or other material that constitute the record of proceedings upon which it based its decision. If adopting a Negative Declaration for a project that may emit hazardous air emissions within one-quarter mile of a school and that meets the other requirements of Local Guidelines Section 6.06, the decision-making body must also make the findings required by Local Guidelines Section 6.06.

As Lead Agency, the City may charge a non-elected official or body with the responsibility of independently reviewing the adequacy of and adopting a Negative Declaration or a Mitigated Negative Declaration. Any final CEQA determination made by a non-elected decisionmaker, however, is appealable to the City Council within either (a) the time period set forth in the City’s established process to appeal the non-elected decisionmaker’s CEQA determination; or, if no such process exists, (2) ten (10) days of the non-elected decisionmaker’s determination. If the non- elected decisionmaker’s CEQA determination is not timely appealed as set forth herein, the non- elected decisionmaker’s determination shall be final.
(Reference: State CEQA Guidelines, § 15074.)

6.17 MITIGATION REPORTING OR MONITORING PROGRAM FOR MITIGATED NEGATIVE DECLARATION.

When adopting a Mitigated Negative Declaration pursuant to Local Guidelines Section

6.13, the City shall adopt a reporting or monitoring program to assure that mitigation measures, which are required to mitigate or avoid significant effects on the environment, will be fully enforceable through permit conditions, agreements, or other measures and implemented by the project proponent or other responsible party in a timely manner, in accordance with conditions of project approval. The City shall also specify the location and the custodian of the documents that constitute the record of proceedings upon which it based its decision. There is no requirement that the reporting or monitoring program be circulated for public review; however, the City may choose to circulate it for public comments along with the Mitigated Negative Declaration. The mitigation measures required to mitigate or avoid significant effects on the environment must be adopted as conditions of project approval.

This reporting or monitoring program shall be designed to assure compliance during the implementation or construction of a project and shall otherwise comply with the requirements described in Local Guidelines Section 7.38. If a Responsible Agency or Trustee Agency has required that certain conditions be incorporated into the project, the City may request that agency to prepare and submit a proposed reporting or monitoring program. The City shall also require that, prior to the close of the public review period for a Mitigated Negative Declaration (see Local Guidelines Section 6.04), the Responsible or Trustee Agency submit detailed performance objectives for mitigation measures, or refer the City to appropriate, readily available guidelines or

City Council
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94 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-15 ©Best Best & Krieger LLP reference documents. Any mitigation measures submitted to the City by a Responsible or Trustee Agency shall be limited to measures that mitigate impacts to resources that are within the Responsible or Trustee Agency’s authority.

Local agencies have the authority to levy fees sufficient to pay for this program. Therefore, the City can charge the project proponent a fee to cover actual costs of program processing and implementation.

Transportation information resulting from the reporting or monitoring program required to be adopted by the City shall be submitted to the regional transportation planning agency where the project is located and to the Department of Transportation for a project of statewide, regional or area-wide significance according to State CEQA Guidelines section 15206. The transportation planning agency and the Department of Transportation are required by law to adopt guidelines for the submittal of these reporting or monitoring programs, so the City may wish to tailor its submittal to such guidelines.
(Reference: State CEQA Guidelines, §§ 15074, 15097.)

6.18 APPROVAL OR DISAPPROVAL OF PROJECT.

At the time of adoption of a Negative Declaration or Mitigated Negative Declaration, the decision-making body may consider the project for purposes of approval or disapproval. Prior to approving the project, the decision-making body shall consider the Negative Declaration or Mitigated Negative Declaration, together with any written comments received and considered during the public review period, and shall approve or disapprove the Negative Declaration or Mitigated Negative Declaration. In making a finding as to whether there is any substantial evidence that the project will have a significant effect on the environment, the factors listed in Local Guidelines Section 5.08 should be considered. (See Local Guidelines Section 6.06 for approval requirements for facilities that may emit hazardous pollutants or that may handle extremely hazardous substances within one-quarter mile of a school site.) (Reference: State CEQA Guidelines, § 15092.)

6.19 RECIRCULATION OF A NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

A Negative Declaration or Mitigated Negative Declaration must be recirculated when the document must be substantially revised after the public review period but prior to its adoption. A “substantial revision” occurs when the City has identified a new and avoidable significant effect for which mitigation measures or project revisions must be added in order to reduce the effect to a level of insignificance, or when the City determines that the proposed mitigation measures or project revisions will not reduce the potential effects to less than significant and new measures or revisions must be required.

Recirculation is not required under the following circumstances:
(a) Mitigation measures are replaced with equal or more effective measures, and the City makes a finding to that effect;

City Council
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95 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-16 ©Best Best & Krieger LLP (b) New project revisions are added after circulation of the Negative Declaration or Mitigated Negative Declaration or in response to written or oral comments on the project’s effects, but the revisions do not create new significant environmental effects and are not necessary to mitigate an avoidable significant effect;
(c) Measures or conditions of project approval are added after circulation of the Negative Declaration or Mitigated Negative Declaration, but the measures or conditions are not required by CEQA, do not create new significant environmental effects, and are not necessary to mitigate an avoidable significant effect; or (d) New information is added to the Negative Declaration or Mitigated Declaration which merely clarifies, amplifies, or makes insignificant modifications to the Negative Declaration or Mitigated Negative Declaration.

If, after preparation of a Negative Declaration or Mitigated Negative Declaration, the City determines that the project requires an EIR, it shall prepare and circulate the Draft EIR for consultation and review and advise reviewers in writing that a proposed Negative Declaration or Mitigated Declaration had previously been circulated for the project. (Reference: State CEQA Guidelines, § 15073.5.)

6.20 NOTICE OF DETERMINATION ON A PROJECT FOR WHICH A PROPOSED NEGATIVE OR MITIGATED NEGATIVE DECLARATION HAS BEEN APPROVED.

After final approval of a project for which a Negative Declaration or Mitigated Negative Declaration has been prepared, Staff shall cause to be prepared, filed, and posted a Notice of Determination (Form “F”). The Notice of Determination shall contain the following information:
(a) An identification of the project, including the project title as identified on the proposed Negative Declaration or Mitigated Negative Declaration, location, and the State Clearinghouse identification number for the proposed Negative Declaration or Mitigated Negative Declaration if the Notice of Determination is filed with the State Clearinghouse; (b) For private projects, identification of the person undertaking a project that is supported, in whole or in part, through contracts, grants, subsidies, loans, or other forms of assistance from one or more public agencies or the identity of the person receiving a lease, permit, license, certificate, or other entitlement for use from one or more public agencies; (c) A brief description of the project;
(d) The name of the City and the date on which the City approved the project; (e) The determination of the City that the project will not have a significant effect on the environment;
(f) A statement that a Negative Declaration or Mitigated Negative Declaration was adopted pursuant to the provisions of CEQA;
(g) A statement indicating whether mitigation measures were made a condition of the approval of the project, and whether a mitigation monitoring plan/program was adopted; and (h) The address where a copy of the Negative Declaration or Mitigated Negative Declaration may be examined.

The Notice of Determination shall be filed with the Clerk of each county in which the project will be located within five (5) working days of project approval.

City Council
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96 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-17 ©Best Best & Krieger LLP The City must also post the Notice of Determination on its website. Such electronic notice is in addition to the posting requirements of the State CEQA Guidelines and the Public Resources Code. The Clerk must post the Notice of Determination within twenty-four (24) hours of receipt.

The Notice must be posted in the office of the Clerk for a minimum of thirty (30) days. Thereafter, the Clerk shall return the notice to the City with a notation of the period it was posted. The City shall retain the notice for not less than twelve (12) months. If the project requires discretionary approval from any State agency, the Notice of Determination shall also be filed with OPR within five (5) working days of project approval along with proof of payment of the DFW fee or a no effect determination form from the DFW (see Local Guidelines Section 6.24). Simultaneously with the filing of the Notice of Determination with the Clerk, Staff shall cause a copy of the Notice of Determination to be posted at City Offices.

If a written request has been made for a copy of the Notice of Determination prior to the date on which the City adopts the Negative Declaration or Mitigated Negative Declaration, the copy must be mailed, first class postage prepaid, within five (5) days of the City’s determination.

If such a request is made following the City’s determination, then the copy should be mailed in the same manner as soon as possible. The recipients of such documents may be charged a fee reasonably related to the cost of providing the service.

For projects with more than one phase, Staff shall file a Notice of Determination for each phase requiring a discretionary approval.

The filing and posting of the Notice of Determination with the County Clerk, and, if necessary, with OPR, usually starts a thirty (30) day statute of limitations on court challenges to the approval under CEQA. When separate notices are filed for successive phases of the same overall project, the thirty (30) day statute of limitations to challenge the subsequent phase begins to run when the second notice is filed. Failure to file the Notice may result in a one hundred eighty (180) day statute of limitations.
(Reference: State CEQA Guidelines, § 15075.)

6.21 ADDENDUM TO NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

The City may prepare an addendum to an adopted Negative Declaration or Mitigated Negative Declaration if only minor technical changes or additions are necessary. The City may also prepare an addendum to an adopted Negative Declaration or Mitigated Negative Declaration when none of the conditions calling for a subsequent Negative Declaration or Mitigated Negative Declaration have occurred. (See Local Guidelines Section 6.22 below.) An addendum need not be circulated for public review but can be attached to the adopted Negative Declaration or Mitigated Negative Declaration. The City shall consider the addendum with the adopted Negative Declaration or Mitigated Negative Declaration prior to project approval. (Reference: State CEQA Guidelines, § 15164.)

6.22 SUBSEQUENT NEGATIVE DECLARATION OR MITIGATED NEGATIVE DECLARATION.

When a Negative Declaration or Mitigated Negative Declaration has been adopted for a project, or when an EIR has been certified, no subsequent Negative Declaration, Mitigated

City Council
22 –
97 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-18 ©Best Best & Krieger LLP Negative Declaration, or EIR shall be prepared for that project unless the Lead Agency determines, on the basis of substantial evidence in the light of the whole record, one or more of the following:
(a) Substantial changes are proposed in the project which will require major revisions of the previous EIR, Negative Declaration, or Mitigated Negative Declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or

(b) Substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revisions of the previous EIR, Negative Declaration, or Mitigated Negative Declaration due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects; or
(c) New information of substantial importance which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified or the Negative Declaration was adopted which shows any of the following:
(1) The project will have one or more significant effects not discussed in the previous EIR or Negative Declaration;
(2) Significant effects previously examined will be substantially more severe than shown in the previous EIR;
(3) Mitigation measure(s) or alternative(s) previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects of the project, but the project proponents declined to adopt the mitigation measure(s) or alternative(s); or
(4) Mitigation measure(s) or alternative(s) which are considerably different from those analyzed in the previous EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure(s) or alternative(s).

The City, as Lead Agency, would then determine whether a Subsequent EIR, Supplemental EIR, Subsequent Negative Declaration, Subsequent Mitigated Negative Declaration, or Addendum would be applicable. Subsequent Negative Declarations and Mitigated Negative Declarations must be given the same notice and public review period as other Negative Declarations. The Subsequent Negative Declaration shall state where the previous document is available and can be reviewed.
(Reference: State CEQA Guidelines, § 15162.)

6.23 PRIVATE PROJECT COSTS.

For private projects, the person or entity proposing to carry out the project shall bear all costs incurred by the City in preparing the Initial Study and in preparing and filing the Negative Declaration or Mitigated Negative Declaration and Notice of Determination.

City Council
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98 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

6.24 FILING FEES FOR PROJECTS THAT AFFECT WILDLIFE RESOURCES.

At the time a Notice of Determination for a Negative Declaration or Mitigated Negative Declaration is filed with the County or Counties in which the project is located, a fee of $2,764.00, or the then applicable fee, shall be paid to the Clerk for projects that will adversely affect fish or wildlife resources. These fees are collected by the Clerk on behalf of DFW pursuant to Fish and Game Code section 711.4.

Only one filing fee is required for each project unless the project is tiered or phased and separate environmental documents are prepared. (Fish & Game Code section 711.4(g).) For projects where Responsible Agencies file separate Notices of Determination, only the Lead Agency is required to pay the fee.

Note: County Clerks are authorized to charge a documentary handling fee for each project in addition to the Fish and Game Code fees specified above. Refer to the Index in the Staff Summary to help determine the correct total amount of fees applicable to the project.

For private projects, the City may pass these costs on to the project applicant.

Fish and Game Code fees may be waived for projects with “no effect” on fish or wildlife resources or for certain projects undertaken by the DFW and implemented through a contract with a non-profit entity or local government agency; however, the Lead Agency must obtain a form showing that the DFW has determined that the project will have “no effect” on fish and wildlife. (Fish and Game Code section 711.4(c)(2)(A)). Projects that are statutorily or categorically exempt from CEQA are also not subject to the filing fee, and do not require a no effect determination. (State CEQA Guidelines sections 15260 through 15333; Fish and Game Code section 711.4(d)(1)).

The applicable DFW Regional Office’s environmental review and permitting staff are responsible for determining whether a project within their region will qualify for a no effect determination and if the CEQA filing fee will be waived.

The request should be submitted when the CEQA document is released for public review, or as early as possible in the public comment period. Documents submitted in digital format are preferred (e.g. compact disk). If insufficient documentation is submitted to DFW for the proposed project, a no effect determination will not be issued.

If the City believes that a project for which it is Lead Agency will have “no effect” on fish or wildlife resources, it should contact the appropriate DFW Regional Office. The project’s CEQA document may need to be provided to the appropriate DFW Regional Office along with a written request. Documentation submitted to the appropriate DFW Regional Office should set forth facts in support of the fee exemption. Previous examples of projects that have qualified for a fee exemption include: minor zoning changes that did not lead to or allow new construction, grading, or other physical alterations to the environment; and minor modifications to existing structures, including addition of a second story to single or multi-family residences.

The fee exemption requirement that the project have “no” impact on fish or wildlife resources is more stringent than the former requirement that a project have only “de minimis” effects on fish or wildlife resources. DFW may determine that a project would have no effect on fish and wildlife if all of the following conditions apply:

City Council
22 –
99 8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) NEGATIVE DECLARATION

2023 City of Santa Ana Local Guidelines 6-20 ©Best Best & Krieger LLP • The project would not result in or have the potential to result in harm, harassment, or take of any fish and/or wildlife species.
• The project would not result in or have the potential to result in direct or indirect destruction, ground disturbance, or other modification of any habitat that may support fish and/or wildlife species.
• The project would not result in or have the potential to result in the removal of vegetation with potential to support wildlife.
• The project would not result in or have the potential to result in noise, vibration, dust, light, pollution, or an alteration in water quality that may affect fish and/or wildlife directly or from a distance.
• The project would not result in or have the potential to result in any interference with the movement of any fish and/or wildlife species.

Any request for a fee exemption should include the following information:
(1) the name and address of the project proponent and applicant contact information; (2) a brief description of the project and its location; (3) site description and aerial and/or topographic map of the project site; (4) State Clearinghouse number or county filing number; (5) a statement that an Initial Study has been prepared by the City to evaluate the project’s effects on fish and wildlife resources, if any; and (6) a declaration that, based on the City’s evaluation of potential adverse effects on fish and wildlife resources, the City believes the project will have no effect on fish or wildlife.

If insufficient documentation is submitted to DFW for the proposed project, a no effect determination will not be issued. (A sample Request for Fee Exemption is attached as Form “L”.) DFW will review the City’s finding, and if DFW agrees with the City’s conclusions, DFW will provide the City with written confirmation. Retain DFW’s determination as part of the administrative record; the City is required to file a copy of this determination with the County after project approval and at the time of filing of the Notice of Determination.

The Lead Agency must have written confirmation of DFW’s finding of “no impact” at the time the Lead Agency files its Notice of Determination with the County. The County cannot accept the Notice of Determination unless it is accompanied by the appropriate fee or a written no effect determination from DFW.

City Council
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100
8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT

7. ENVIRONMENTAL IMPACT REPORT

7.01 DECISION TO PREPARE AN EIR.

An EIR shall be prepared whenever there is substantial evidence in light of the whole record which supports a fair argument that the project may have a significant effect on the environment. (See Local Guidelines Sections 11.65 and 11.71.) The record may include the Initial Study or other documents or studies prepared to assess the project’s environmental impacts. (Reference: Pub. Resources Code, § 21151.)

7.02 CONTRACTING FOR PREPARATION OF EIRS.

If an EIR is prepared under a contract with the City, the contract must be executed within forty-five (45) days from the date on which the City sends a Notice of Preparation. The City may take longer to execute the contract if the project applicant and the City mutually agree to an extension of the 45-day time limit. (Reference: Pub. Resources Code, § 21151.5.) The EIR prepared under contract must be the City’s product. Staff, together with such consultant help as may be required, shall independently review and analyze the EIR to verify its accuracy, objectivity and completeness prior to presenting it to the decision-making body. The EIR made available for public review must reflect the independent judgment of the City. Staff may require such information and data from the person or entity proposing to carry out the project as Staff deems necessary for completion of the EIR. (Reference: State CEQA Guidelines, §§ 15084, 15090.)

7.03 NOTICE OF PREPARATION OF DRAFT EIR.

After determining that an EIR will be required for a proposed project, the Lead Agency shall prepare and submit a Notice of Preparation (Form “G”) to the Office of Planning and Research through its CEQA Submit website and to each of the following:
(a) Each Responsible Agency and Trustee Agency involved with the project; (b) Any other federal, state, or local agency which has jurisdiction by law or exercises authority over resources affected by the project, including:
(1) Any water supply agency consulted under Local Guidelines Section 5.16; (2) Any city or county bordering on the project area;
(3) For a project of statewide, regional, or area-wide significance, to any transportation agencies or public agencies which have major local arterials or public transit facilities within five (5) miles of the project site or freeways, highways, or rail transit service within ten (10) miles of the project site which could be affected by the project; and
(4) For a subdivision project located within one mile of a facility of the State Water Resources Development System, the California Department of Water Resources;

City Council
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8/1/2023

Local Guidelines for Implementing the
California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT

2023 City of Santa Ana Local Guidelines 7-2 ©Best Best & Krieger LLP (c) The last known name and address of all organizations and individuals who have previously filed a written request with the City to receive these Notices; (d) For certain projects that may impact a low-level flight path, military impact zone, or special use airspace and that meet the other criteria in Local Guidelines Section 7.04, the specified military services contact;
(e) For certain projects that involve the construction or alteration of a facility anticipated to emit hazardous air emissions or handle hazardous substances within one-quarter mile of a school and that meet the other requirements of Local Guidelines Section 7.36, any potentially affected school district;
(f) For certain waste-burning projects that meet the requirements of Local Guidelines Section

5.11 (See also Local Guidelines Section 7.27), the owners and occupants of property within one-fourth mile of any parcel on which the project will be located; and (g) For a project that establishes or amends a redevelopment plan that contains land in agricultural use, the agricultural and farm agencies and organizations specified in Health and Safety Code section 33333.3.

Additionally, for a project of statewide, regional, or area-wide significance, the Lead Agency should also consult with public transit agencies with facilities within one-half mile of the proposed project.

The Notice of Preparation must also be filed and posted in the office of the Clerk in each county in which the project is located for thirty (30) days. The County Clerk must post the Notice within twenty-four (24) hours of receipt.

When submitting the Notice of Preparation to OPR, a Notice of Completion (Form “H”) should be used as a cover sheet. Responsible and Trustee Agencies, the State Clearinghouse, and the state agencies contacted by the State Clearinghouse have thirty (30) days to respond to the Notice of Preparation in writing via certified mail, email, or an equivalent procedure. Agencies that do not respond within thirty (30) days shall be deemed not to have any comments on the Notice of Preparation.

At a minimum, the Notice of Preparation shall include:
(a) A description of the project;
(b) The location of the project indicated either on an attached map (preferably a copy of the USGS 15’ or 7½’ topographical map identified by quadrangle name) or by a street address and cross street in an urbanized area;
(c) The probable environmental effects of the project;
(d) The name and address of the consulting firm retained to prepare the Draft EIR, if applicable; and
(e) The Environmental Protection Agency (“EPA”) list on which the proposed site is located, if applicable, and the corresponding information from the applicant’s statement. (See Local Guidelines Section 2.05.)
(Reference: Pub. Resources Code, § 21080.4; State CEQA Guidelines, § 15082.)

City Council
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Local Guidelines for Implementing the
California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT

7.04 SPECIAL NOTICE REQUIREMENTS FOR AFFECTED MILITARY AGENCIES CEQA imposes additional requirements to provide notice to potentially affected military agencies when:
(a) A “military service” (defined in Section 11.42 of these Local Guidelines) has provided the City with its contact office and address and notified the City of the specific boundaries of a “low-level flight path” (defined in Section 11.37 of these Local Guidelines), “military impact zone” (defined in Section 11.41 of these Local Guidelines), or “special use airspace” (defined in Section 11.67 of these Local Guidelines); and (b) The project meets one of the following criteria:
(1) The project is within the boundaries specified pursuant to subsection (a) of this guideline;
(2) The project includes a general plan amendment;
(3) The project is of statewide, regional, or area-wide significance; or (4) The project relates to a public use airport or certain lands surrounding a public use airport.

When a project meets these requirements, the City must provide the military service’s designated contact with any Notice of Preparation, and/or Notice of Availability of Draft EIRs that have been prepared for a project, unless the project involves the remediation of lands contaminated with hazardous wastes and meets certain other requirements.

The City must provide the military service with sufficient notice of its intent to certify an EIR to ensure that the military service has no fewer than thirty (30) days to review the document; or forty-five (45) days to review the environmental documents before they are approved if the documents have been submitted to the State Clearinghouse.

It should be noted that the effect, or potential effect, a project may have on military activities does not itself constitute an adverse effect on the environment pursuant to CEQA. (Reference: Pub. Resources Code, §§ 21080.4, 21092; Health & Safety Code, §§ 25300, et seq., 25396, 25187; State CEQA Guidelines, § 15082(a).)

7.05 ENVIRONMENTAL LEADERSHIP DEVELOPMENT PROJECT.

Under certain circumstances, a project applicant may choose to apply to the Governor of the State of California to have the project certified as an Environmental Leadership Development Project. A project may qualify as an Environmental Leadership Development Project if it is one of the following:
(1) A residential, retail, commercial, sports, cultural, entertainment, or recreational use project that meets the following standards:

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2023 City of Santa Ana Local Guidelines 7-4 ©Best Best & Krieger LLP  The project is certified as Leadership in Energy and Environmental Design (LEED) gold or better by the United States Green Building Council; and  The project, where applicable, achieves a 15 percent greater standard for transportation efficiency than comparable projects; and  The project is located on an infill site; and
 For a project that is within a metropolitan planning organization for which a sustainable communities strategy or alternative planning strategy is in effect, the infill project shall be consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy, for which the State Air Resources Board has accepted a metropolitan planning organization’s determination, under subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets. (2) A clean renewable energy project that generates electricity exclusively through wind or solar, but not including waste incineration or conversion. (3) A clean energy manufacturing project that manufactures products, equipment, or components used for renewable energy generation, energy efficiency, or for the production of clean alternative fuel vehicles.
(4) A housing development project—i.e., a project that entails either residential units only; mixed-use developments consisting of residential and nonresidential uses with at least two-thirds of the square footage designated for residential use; or transitional housing or supportive housing—that meets all of the following conditions:
 The housing development project is located on an infill site.  For a housing development project that is located within a metropolitan planning organization for which a sustainable communities strategy or alternative planning strategy is in effect, the project is consistent with the general use designation, density, building intensity, and applicable policies specified for the project area in either a sustainable communities strategy or an alternative planning strategy, for which the State Air Resources Board has accepted a metropolitan planning organization’s determination, under subparagraph (H) of paragraph (2) of subdivision (b) of Section 65080 of the Government Code, that the sustainable communities strategy or the alternative planning strategy would, if implemented, achieve the greenhouse gas emission reduction targets.
 Notwithstanding paragraph (1) of subdivision (a) of Section 21183, the housing development project will result in a minimum investment of fifteen million

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2023 City of Santa Ana Local Guidelines 7-5 ©Best Best & Krieger LLP dollars ($15,000,000), but less than one hundred million dollars ($100,000,000), in California upon completion of construction.  At least 15 percent of the housing development project is dedicated as housing that is affordable to lower income households, as defined in Section 50079.5 of the Health and Safety Code. Upon completion of a housing development project that is qualified under this paragraph and is certified by the Governor, the lead agency or applicant of the project shall notify the Office of Planning and Research of the number of housing units and affordable housing units established by the project. Notwithstanding the foregoing, if a local agency has adopted an inclusionary zoning ordinance that establishes a minimum percentage for affordable housing within the jurisdiction in which the housing development project is located that is higher than 15 percent, the percentage specified in the inclusionary zoning ordinance shall be the threshold for affordable housing.
 Except for use as a residential hotel, as defined in Section 50519 of the Health and Safety Code, no part of the housing development project shall be used for a rental unit for a term shorter than 30 days, or designated for hotel, motel, bed and breakfast inn, or other transient lodging use. Moreover, no part of the housing development project shall be used for manufacturing or industrial uses.

The Governor may certify a leadership project for streamlining before the lead agency certifies an EIR for the project if various conditions set forth in Public Resources Code section 21182 are met. The conditions include but are not limited to the following: (1) except as set forth above, the project will result in a minimum investment of one hundred million dollars ($100,000,000) in California upon completion of construction; (2) the project creates high-wage, highly skilled jobs that pay prevailing wages and living wages, provide construction jobs and permanent jobs for Californians, helps reduce unemployment, and promotes apprenticeship training; and (3) the project will not result in any net additional emission of greenhouse gases, including greenhouse gas emissions from employee transportation.

If the Governor certifies a project as an Environmental Leadership Development Project, any lawsuit challenging the project—including any potential appeals to the court of appeal or the California Supreme Court—must be resolved, to the extent feasible, within 270 days of the filing of the certified record of proceedings with the trial court.

This section shall remain in effect until January 1, 2026. This section does not comprehensively set forth the rules governing Environmental Leadership Development projects.

For more information, please see Chapter 6.5 of the Public Resources Code, starting with Public Resources Code section 21178.

7.06 PREPARATION OF DRAFT EIR.

The Lead Agency is responsible for preparing a Draft EIR. The Lead Agency may begin preparation of the Draft EIR without awaiting responses to the Notice of Preparation. However,

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2023 City of Santa Ana Local Guidelines 7-6 ©Best Best & Krieger LLP information communicated to the Lead Agency not later than thirty (30) days after receipt of the Notice of Preparation shall be included in the Draft EIR. (Reference: State CEQA Guidelines, § 15084.)

7.07 CONSULTATION WITH CALIFORNIA NATIVE AMERICAN TRIBES.

Prior to the release of a Draft EIR for a project, the Lead Agency shall begin consultation with a California Native American tribe that is traditionally and culturally affiliated with the geographic area of the proposed project if:
(a) The California Native American tribe requested to the Lead Agency, in writing, to be informed by the Lead Agency through formal notification of proposed projects in the geographic area that is traditionally and culturally affiliated with the tribe; and

(b) The California Native American tribe responds, in writing, within 30 days of receipt of the formal notification, and requests the consultation. The California Native American tribe shall designate a lead contact person when responding to the Lead Agency. If a lead contact is not designated by the California Native American tribe, or if it designates multiple lead contact people, the Lead Agency shall defer to the individuals listed on the contact list maintained by the Native American Heritage Commission. Consultation is defined in Local Guidelines Section 11.12.

The Lead Agency shall begin the consultation process within 30 days of receiving a California Native American tribe's request for consultation.

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2023 City of Santa Ana Local Guidelines 7-7 ©Best Best & Krieger LLP The consultation shall be considered concluded when either of the following occurs:
(1) The parties agree to measures to mitigate or avoid a significant effect, if a significant effect exists, on a tribal cultural resource. (2) A party, acting in good faith and after reasonable effort, concludes that mutual agreement cannot be reached.

The California Native American tribe is not limited in its ability to submit information to the Lead Agency regarding the significance of the tribal cultural resources, the significance of the project's impact on tribal cultural resources, or any appropriate measures to mitigate the impacts.

Additionally, the Lead Agency or project proponent is not limited in its ability to incorporate changes and additions to the project as a result of the consultation, even if not legally required. (Reference: Pub. Resources Code, §§ 21080.3.1, 21080.3.2.)

7.08 IDENTIFICATION OF TRIBAL CULTURAL RESOURCES AND PROCESSING OF INFORMATION

AFTER CONSULTATION WITH THE CALIFORNIA NATIVE AMERICAN TRIBE After consultation with the California Native American tribe listed above in Local Guidelines Section 7.07, any mitigation measures agreed upon in the consultation conducted pursuant to Public Resources Code section 21080.3.2 shall be recommended for inclusion in the EIR and in an adopted mitigation monitoring and reporting program, if the mitigation measures are determined to avoid or lessen the proposed project’s impacts on tribal cultural resources, and if the mitigation measures are enforceable.

If a project may have a significant impact on a tribal cultural resource, the Lead Agency's EIR shall discuss both of the following:
(a) Whether the proposed project has a significant impact on an identified tribal cultural resource;
(b) Whether feasible alternatives or mitigation measures, including those measures that may be agreed to during the consultation, avoid or substantially lessen the impact on the identified tribal cultural resource.

Any information provided regarding the location, description and use of the tribal cultural resource that is submitted by a California Native American tribe during the environmental review process shall not be included in the EIR or otherwise disclosed by the lead agency or any other public agency to the public, consistent with Government Code sections 7927.005, and State CEQA Guidelines section 15120(d), without the prior consent of the tribe that provided the information.

If the Lead Agency publishes any information submitted by a California Native American tribe during the consultation or environmental review process, that information shall be published in a confidential appendix to the EIR unless the tribe provides consent, in writing, to the disclosure of some or all of the information to the public. This does not prohibit the confidential exchange of the submitted information between public agencies that have lawful jurisdiction over the preparation of the EIR.

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2023 City of Santa Ana Local Guidelines 7-8 ©Best Best & Krieger LLP The exchange of confidential information regarding tribal cultural resources submitted by a California Native American tribe during the consultation or environmental review process among the Lead Agency, the California Native American tribe, the project applicant, or the project applicant's agent is not prohibited by Public Resources Code section 21082.3. The project applicant and the project applicant's legal advisers must use a reasonable degree of care and maintain the confidentiality of the information exchanged for the purposes of preventing looting, vandalism, or damage to tribal cultural resources and shall not disclose to a third party confidential information regarding the cultural resource unless the California Native American tribe providing the information consents in writing to the public disclosure of such information.

Public Resources Code section 21082.3 does not prevent a Lead Agency or other public agency from describing the information in general terms in the EIR so as to inform the public of the basis of the Lead Agency's or other public agency's decision without breaching the confidentiality required. In addition, a Lead Agency may certify an EIR for a project with a significant impact on an identified tribal cultural resource only if one of the following occurs:
(a) The consultation process between the California Native American tribe and the Lead Agency has occurred as provided in Public Resources Code sections 21080.3.1 and 21080.3.2 and concluded pursuant to subdivision (b) of Section 21080.3.2.
(b) The California Native American tribe has requested consultation pursuant to Public Resources Code section 21080.3.1 and has failed to provide comments to the Lead Agency, or otherwise failed to engage, in the consultation process. (c) The Lead Agency has complied with subdivision (d) of Section 21080.3.1 of the Public Resources Code and the California Native American tribe has failed to request consultation within 30 days.

If substantial evidence demonstrates that a project will cause a significant effect to a tribal cultural resource but the decision-makers do not include the mitigation measures recommended by the staff in the Draft EIR, or if there are no agreed upon mitigation measures at the conclusion of the consultation, or if no consultation has occurred, the Lead Agency must still consider the adoption of feasible mitigation.
(Reference: Pub. Resources Code, § 21082.3.)

7.09 SIGNIFICANT ADVERSE IMPACTS TO TRIBAL CULTURAL RESOURCES Public agencies shall, when feasible, avoid damaging effects to any tribal cultural resource.

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2023 City of Santa Ana Local Guidelines 7-9 ©Best Best & Krieger LLP context, or planning greenspace, parks, or other open space, to incorporate the resources with culturally appropriate protection and management criteria. (b) Treating the resource with culturally appropriate dignity taking into account the tribal cultural values and meaning of the resource, including, but not limited to the following:
(1) Protecting the cultural character and integrity of the resource. (2) Protecting the traditional use of the resource.
(3) Protecting the confidentiality of the resource.
(c) Permanent conservation easements or other interests in real property, with culturally appropriate management criteria for the purposes of preserving or utilizing the resources or places.
(d) Protecting the resource.
(Reference: Pub. Resources Code, § 21084.3.)

7.10 CONSULTATION WITH OTHER AGENCIES AND PERSONS.

To expedite consultation in response to the Notice of Preparation, the Lead Agency, a Responsible Agency, or a project applicant may request a meeting among the agencies involved to assist in determining the scope and content of the environmental information that the involved agencies may require. For any project that may affect highways or other facilities under the jurisdiction of the State Department of Transportation, the Department of Transportation can request a scoping meeting. When acting as Lead Agency, the City must convene the meeting as soon as possible but no later than thirty (30) days after a request is made. When acting as a Responsible Agency, the City should make any requests for consultation as soon as possible after receiving a Notice of Preparation.

Prior to completion of the Draft EIR, the Lead Agency shall consult with each Responsible Agency and any public agency that has jurisdiction by law over the project.

When acting as a Lead Agency, the City may fulfill this obligation by distributing the Notice of Preparation in compliance with Local Guidelines Section 7.03 and soliciting the comments of Responsible Agencies, Trustee Agencies, and other affected agencies. The City may also consult with any individual who has special expertise with respect to any environmental impacts involved with a project. The City may also consult directly with any person or organization it believes will be concerned with the environmental effects of the project, including any interested individuals and organizations of which the City is reasonably aware. The purpose of this consultation is to “scope” the EIR’s range of analysis. When a Negative Declaration or Mitigated Negative Declaration will be prepared for a project, no scoping meeting need be held, although the City may hold one if it so chooses. For private projects, the City as Lead Agency may charge and collect from the applicant a fee not to exceed the actual cost of the consultations.

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California Environmental Quality Act (2023) ENVIRONMENTAL IMPACT REPORT

2023 City of Santa Ana Local Guidelines 7-10 ©Best Best & Krieger LLP In addition to soliciting comments on the Notice of Preparation, the Lead Agency may be required to conduct a scoping meeting to gather additional input regarding the impacts to be analyzed in the EIR. The Lead Agency is required to conduct a scoping meeting when:
(a) The meeting is requested by a Responsible Agency, a Trustee Agency, OPR, or a project applicant;
(b) The project is one of “statewide, regional or area wide significance” as defined in State CEQA Guidelines section 15206; or
(c) The project may affect highways or other facilities under the jurisdiction of the State Department of Transportation, and the Department of Transportation has requested a scoping meeting.

When acting as Lead Agency, the City shall provide notice of the scoping meeting to all of the following:
(a) Any county or city that borders on a county or city within which the project is located, unless the City has a specific agreement to the contrary with that county or city; (b) Any Responsible Agency;
(c) Any public agency that has jurisdiction by law over the project; (d) A transportation planning agency, or any public agency that has transportation facilities within its jurisdiction, that could be affected by the project; and (e) Any organization or individual who has filed a written request for the notice.

Santa Ana City CouncilAugust 1, 2023

Santa Ana City Council
August 1, 2023