As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial, and financial capability (including funds sufficient to pay any non-federal share of project cost) to ensure proper planning, management, and completion of the project described in this application, within prescribed timelines.
The requirements outlined in these assurances apply to Applicant and any of its subrecipients.
I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the:
(a) Applicable Federal Regulations (see below);
(b) Federal Program Notice of Funding Opportunity (NOFO); (c) Federal Preparedness Grants Manual;
(d) California Supplement to the NOFO; and
(e) Federal and State Grant Program Guidelines.
Federal Regulations
Gover
nment cost principles, uniform administrative requirements, and audit requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (C.F.R.). Updates are issued by the Office of Management and Budget (OMB) and can be found at http://www.whitehouse.gov/omb/.
State and federal grant award requirements are set
forth below. The Applicant hereby
agrees to comply with the following:
1. Proof of Authority
The Applicant will obtain proof of authority from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree:
(a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required;
(b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board, or authorized body;
(c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body;
ATTACHMENT D
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(d) The Applicant is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-federal share of project cost, if any) to ensure proper planning, management and completion of the project described in this application; and
(e) Official executing this agreement is authorized by the Applicant.
T
his Proof of Authority must be maintained on file and readily available upon request.
2. Period of Performance
The period of performance is specified in the Award. The Applicant is only authorized to perform allowable activities approved under the award, within the period of performance.
3. Lobbying and Political Activities
As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into a contract, grant, loan, or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that:
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.
(b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions.
(c) The Applicant shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
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The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501- 1508 and §§ 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds.
F
inally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor’s Office of Emergency Services (Cal OES) or the federal awarding agency.
4. Debarment and Suspension
As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.214 and codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its subrecipients:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency;
(b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local) terminated for cause or default.
Wher
e the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.
5. Non-Discrimination and Equal Employment Opportunity
The Applicant will comply with all state and federal statutes relating to non- discrimination, including:
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(a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. § 2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services;
(b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity;
(c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. §§ 12101- 12213), which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs;
(e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age;
(f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd—2), relating to confidentiality of patient records regarding substance abuse treatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units—i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)— be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identification or national origin;
(i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part of government contractors;
(j) California Public Contract Code § 10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages;
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(k) DHS policy to ensure the equal treatment of faith-based organizations, under which the Applicant must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19;
(l) The Applicant will comply with California’s Fair Employment and Housing Act (FEHA) (California Government Code §§12940, 12945, 12945.2), as applicable.
FEHA prohibits harassment and discrimination in employment because of ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave, military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions; (m) Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and
(n) The requirements of any other nondiscrimination statute(s) that may apply to this application.
6. Drug-Free Workplace
As required by the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.),the Applicant certifies that it will maintain a drug-free workplace and a drug-free awareness program as outlined in the Act.
7. Environmental Standards
The Applicant will comply with state and federal environmental standards, including:
(a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000-21177), to include coordination with the city or county planning agency;
(b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000-15387);
(c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from stationary and mobile sources;
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(e) Institution of environmental quality control measures under the National Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmental and human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities;
(f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988;
(g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order 11990 which requires preservation of wetlands;
(i) The Safe Drinking Water Act of 1974, (P.L. 93-523); (j) The Endangered Species Act of 1973, (P.L. 93-205);
(k) Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.);
(l) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.);
(m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.
T
he Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to § 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or 3) determined to be in violation of federal law relating to air or water pollution.
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8. Audits
Fo
r subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will perform the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements.
9. Cooperation and Access to Records
The Applicant must cooperate with any compliance reviews or investigations conducted by DHS. In accordance with 2 C.F.R. § 200.337, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision.
10. Conflict of Interest
The Applicant will establish safeguards to prohibit the Applicant’s employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.
11. Financial Management
False Claims for Payment - The Applicant will comply with 31 U.S.C §§ 3729-3733 which provides that Applicant shall not submit a false claim for payment, reimbursement, or advance.
12. Reporting - Accountability
The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L. 109-282), including but not limited to (a) the reporting of subawards obligating $30,000 or more in federal funds, and (b) executive compensation data for first-tier subawards as set forth in 2 C.F.R. Part 170, Appendix A. The Applicant also agrees to comply with the requirements set forth in the government-wide financial assistance award term regarding the System for Award Management and Universal Identifier Requirements located at 2 C.F.R. Part 25, Appendix A.
13. Whistleblower Protections
The Applicant must comply with statutory requirements for whistleblower protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310.
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14. Human Trafficking
T
he Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits the Applicant or its subrecipients from: (1) engaging in trafficking in persons during the period of time that the award is in effect; (2) procuring a commercial sex act during the period of time that the award is in effect; or (3) using forced labor in the performance of the award or subawards under the award.
15. Labor Standards
T
he Applicant will comply with the following federal labor standards:
(a) The Davis-Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally-assisted construction contracts or subcontracts, and (b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et al.) as they apply to employees of institutes of higher learning (IHE), hospitals and other non-profit organizations.
16. Worker’s Compensation
T
he Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on the job at all times during the performance of the work of this Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et seq.
17. Property-Related
I
f applicable to the type of project funded by this federal award, the Applicant will:
(a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchase;
(b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires federal award subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more;
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(c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § 469a-1 et seq.); and
(d) Comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures.
18. Certifications Applicable Only to Federally-Funded Construction Projects For all construction projects, the Applicant will:
(a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project;
(b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications; and (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State.
19. Use of Cellular Device While Driving is Prohibited
The Applicant is required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving motor vehicle while using an electronic wireless communications device to write, send, or read a text-based communication. Drivers are also prohibited from the use of a wireless telephone without hands-free listening and talking, unless to make an emergency call to 911, law enforcement, or similar services.
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20. California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity’s grant management activities that are under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act, California Government Code section 6250 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process.
EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM (EMPG) –
PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS
21. Acknowledgment of Federal Funding from DHS
The Applicant must acknowledge its use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds.
22. Activities Conducted Abroad
The Applicant must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained.
23. Best Practices for Collection and Use of Personally Identifiable Information (PII) DHS
defines personally identifiable information (PII) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. If the Applicant collects PII, the Applicant is required to have a publicly-available privacy policy that describes standards on the usage and maintenance of PII they collect. The Applicant may refer to the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template as a useful resource.
24. Copyright
The
Applicant must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of U.S. Government sponsorship (including the award number) to any work first produced under federal financial assistance awards.
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25. Duplication of Benefits
Any c
ost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms and conditions, or for other reasons. However, these prohibitions would not preclude the Applicant from shifting costs that are allowable under two or more awards in accordance with existing federal statutes, regulations, or the federal financial assistance award terms and conditions.
26. Energy Policy and Conservation Act
The Applicant must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act.
27. Federal Debt Status
The Applicant is required to be non-delinquent in its repayment of any federal debt.
Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-129.
28. Fly America Act of 1974
The Applicant must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B- 138942.
29. Hotel and Motel Fire Safety Act of 1990
In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, the Applicant must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. § 2225a.
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30. Non-supplanting Requirement
I
f the Applicant receives federal financial assistance awards made under programs that prohibit supplanting by law, the Applicant must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non- federal sources.
31. Patents and Intellectual Property Rights
U
nless otherwise provided by law, the Applicant is subject to the Bayh-Dole Act, Pub.
L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. The Applicant is subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14.
32. SAFECOM
I
f the Applicant receives federal financial assistance awards made under programs that provide emergency communication equipment and its related activities, the Applicant must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications.
33. Terrorist Financing
T
he Applicant must comply with Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. The Applicant is legally responsible for ensuring compliance with the Order and laws.
34. Reporting of Matters Related to Recipient Integrity and Performance I
f the total value of the Applicant’s currently active grants, cooperative agreements, and procurement contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period of performance of this federal financial assistance award, the Applicant must comply with the requirements set forth in the government-wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the award terms and conditions.
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35. USA Patriot Act of 2001
The Applicant must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175–175c.
36. Use of DHS Seal, Logo, and Flags
The Applicant must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials.
37. Applicability of DHS Standard Terms and Conditions to Tribes T
he DHS Standard Terms and Conditions are a restatement of general requirements imposed upon the Applicant and flow down to any of its subrecipients as a matter of law, regulation, or executive order. If the requirement does not apply to Indian tribes or there is a federal law or regulation exempting its application to Indian tribes, then the acceptance by Tribes of, or acquiescence to, DHS Standard Terms and Conditions does not change or alter its inapplicability to an Indian tribe. The execution of grant documents is not intended to change, alter, amend, or impose additional liability or responsibility upon the Tribe where it does not already exist.
38. Required Use of American Iron, Steel, Manufactured Products, and Construction Materials
T
he Applicant must comply with the “Build America, Buy America” Act (BABAA), enacted as part of the Infrastructure Investment and Jobs Act and Executive Order 14005. Applicants receiving a federal award subject to BABAA requirements may not use federal financial assistance funds for infrastructure projects unless:
(a) All iron and steel used in the project are produced in the United States – this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States;
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(b) All manufactured products used in the project are produced in the United States – this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation; and
(c) All construction materials are manufactured in the United States – this means that all manufacturing processes for the construction material occurred in the United States.
T
he “Buy America” preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. It does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project.
P
er section 70914(c) of BABAA, FEMA may waive the application of a Buy America preference under an infrastructure program in certain cases.
On July 1, 2022, OMB approved FEMA’s General Applicability Public Interest Waiver of the BABAA requirements to be effective for a period of six months, through January 1, 2023. Applicants will not be required to follow the BABAA requirements for FEMA awards made, and any other funding FEMA obligates, during this waiver period. For any new awards FEMA makes after January 1, 2023, as well as new funding FEMA obligates to existing awards or through renewal awards where the new funding is obligated after January 1, 2023, Applicants will be required to follow the BABAA requirements unless another waiver is requested and approved.
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IMPORTANT
The purpose of these assurances is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc.
Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in these assurances. These assurances are binding on Applicant, its successors, transferees, assignees, etc. as well as any of its subrecipients.
Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds.
All a
ppropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the Applicant may be ineligible for award of any future grants if Cal OES determines that the Applicant: (1) has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above.
All o
f the language contained within this document must be included in the award documents for all subawards at all tiers. Applicants are bound by the Department of Homeland Security Standard Terms and Conditions 2022, Version 3, hereby incorporated by reference, which can be found at: https://www.dhs.gov/publication/fy15-dhs- standard-terms-and-conditions.
The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant.
App
licant:
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title: Date:
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City of Santa Ana
PoliceDepartment
www.santa-ana.org/police
Item # 36
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Purchase of Exercise Equipment and Resolution to Accept Donation of Exercise Equipment for the Santa Ana Police Department Fitness Center
AGENDA TITLE
Award Purchase Order to Advanced Exercise Fitness Solutions for Exercise Equipment in the Amount of $76,203 and Resolution to Accept Donation of Exercise Equipment for the Santa Ana Police Department Fitness Center (Specification No. 23-169) (Non- General Fund)
RECOMMENDED ACTION
1. Authorize a one-time purchase and payment of Purchase Order to Advanced Exercise Fitness Solutions for various Life Fitness cardio and Hammer Strength exercise equipment and installation for the Santa Ana Police Department Fitness Center in the amount of $76,203.
2. Adopt a resolution accepting the donation of two Life Fitness Treadmills, valued at $14,743.97, from the Santa Ana Police Officers Association.
RESOLUTION NO. 2023-XXX entitled A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF SANTA ANA ACCEPTING THE DONATION OF GYM EQUIPMENT
FROM THE SANTA ANA POLICE OFFICER ASSOCIATION FOR USE IN THE BRUCE R. CARLSON FITNESS CENTER LOCATED AT THE SANTA ANA POLICE
DEPARTMENT
GOVERNMENT CODE §84308 APPLIES: Yes (Action No. 1)
DISCUSSION
On September 19, 2023, the City Council approved an appropriation adjustment recognizing the Board of State and Community Corrections (BSCC) Officer Wellness and Mental Health Grant Program in the amount of $246,431.01. Per statute, these funds may be used for programs and services that are evidence-based or have successful track records of enhancing officer wellness. This includes the purchase of gym equipment.
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Purchase of Exercise Equipment and Resolution to Accept Donation of Exercise Equipment for the Santa Ana Police Department Fitness Center November 7, 2023
Much of the current Santa Ana Police Department (SAPD) Fitness Center gym equipment, purchased over the last 26 years, has reached its life expectancy and requires replacement. Furthermore, modern innovative equipment additions will greatly enhance the gym experience for officers, thus encouraging more officers to use the fitness center and reap the health and wellness benefits derived therein.
A recent survey of SAPD officers conducted in October 2023 resulted in the following:
•94.62% of respondents said they use the Fitness Center to improve their fitness level, strength, and endurance
•79.37% indicated they use the center to improve their mood and reduce their stress levels
•91.63% responded that they would use the Fitness Center more if it was better equipped.
According to the joint International Association of Chiefs of Police (IACP) / Bureau of Justice Assistance (BJA), U.S. Department of Justice (DOJ) publication Fitness Program Development Considerations, “Fitness and wellness are important aspects of every officer’s job. A properly maintained program will help keep personnel healthier, happier, and less prone to injuries. A successful program is beneficial to the individual officers, the department as a whole, and the community the department serves.” Much of the existing exercise equipment in the fitness center are from the Life Fitness and Hammer Strength brands. It is the Santa Ana Police Department's preference to replace most of the exercise equipment with the same Life Fitness and Hammer Strength brands. These brands set the industry standard for quality commercial grade equipment and are well known for their build quality and warranty; which will ensure a level of safety while these machines are in use.
Santa Ana Ordinance No. NS-3041 authorizes the City to purchase against contracts awarded by any public agency employing a competitive bid process. Sourcewell, a cooperative government purchasing agency, awarded a contract to Life Fitness, LLC (Contract No. 081120-LFF) for procurement of exercise and fitness equipment, as a result of open, competitive bidding on behalf of its members, which includes government agencies. Advanced Exercise Fitness Solutions is the only authorized dealer of Life Fitness, LLC exercise equipment in the Southern California Market, and is extending the contract to the City.
Staff researched available procurement options and product offerings in the market, and it was determined that Life Fitness, LLC fitness equipment meets the City’s specifications and can provide safe, long lasting fitness equipment utilized by the Police Department.
By leveraging the procurement power through cooperative purchasing, the City of Santa
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Purchase of Exercise Equipment and Resolution to Accept Donation of Exercise Equipment for the Santa Ana Police Department Fitness Center November 7, 2023
Ana is able to obtain nationally vetted, high quality products at competitive volume pricing, and is in accordance with the City’s existing purchasing guidelines.
Additionally, the Santa Ana Police Officers Association purchased two Life Fitness Treadmills as a donation to the City of Santa Ana for the SAPD Fitness Center.
Recognizing this gift will allow the Department to identify these treadmills as city property and permit the City to maintain and/or repair these treadmills as needed.
FISCAL IMPACT
Funds are available in the following account:
Fiscal
Year
Accounting Unit –
Account No.
Fund
Description
Accounting Unit –
Account No. Description Amount
FY 23-24 12814413-63001
Law
Enforcement
Grants
BSCC Police Grants,
Miscellaneous Operating
Expenses
$76,203
EXHIBIT(S)
1. Resolution
Submitted By: David Valentin, Police Chief
Approved By: Steven Mendoza, Acting City Manager
City Council
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3 11/7/2023
Resolution No. 2023-XXX
RESOLUTION NO. 2023-xxx
A RESOLUTION OF THE CITY COUNCIL OF THE CITY
OF SANTA ANA ACCEPTING THE DONATION OF
GYM EQUIPMENT FROM THE SANTA ANA POLICE
OFFICER ASSOCIATION FOR USE IN THE BRUCE R.
CARLSON FITNESS CENTER LOCATED AT THE
SANTA ANA POLICE DEPARTMENT
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows:
A. The Santa Ana Police Officer’s Association has a long history of supporting the men and women of the Santa Ana Police Department.
In an effort to foster this long standing relationship and mutual support, the Santa Ana Police Officers Association has graci ously offered to donate gym equipment to the City of Santa Ana for use by its members and other employees in the Bruce R. Carlson Fitnes s Center located inside the Santa Ana Police Department.
B. The gym equipment consists of two Life Fitness treadmills, valued at $14,743.97.
C. The City Council of the City of Santa Ana believes that accepting such a donation would encourage wellness and physical fitness for Santa Ana Police Department employees that use the gym and foster goodwill between the City of Santa Ana and the Santa Ana Police Officers Association.
Section 2. The City Council of the City of Santa Ana hereby accepts the donation of gym equipment from the Santa Ana Police Officers Association as outlined above.
Section 3. This Resolution shall take effect immediately upon the signing of this Resolution by the City Council and the Clerk of the Council shall attest to and certify this the vote adopting this Resolution. [Signatures on following page]
EXHIBIT 1
City Council
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Resolution No. 2023-XXX
SIGNED this day of _______________ , 2023.
______________________________
Valerie Amezcua
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By: Tamara Bogosian
Senior 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 attest to and certify the attached Resolution No. 2023-XXX 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
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5 11/7/2023
Library
www.santa-ana.org/library
Item # 37
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Building Forward Library Facilities Improvement Program Grant for the Newhope Library
AGENDA TITLE
Resolution Authorizing the Grant Application, Acceptance, and Execution of Grant Funds from the California State Library’s Building Forward Library Facilities Improvement Program in a Proposed Grant Amount of $1,086,754 RESOLUTION NO. 2023-XXX entitled A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF SANTA ANA AUTHORIZING THE GRANT APPLICATION,
ACCEPTANCE, AND EXECUTION OF THE GRANT FUNDS FROM THE STATE OF CALIFORNIA BUDGET ACT OF 2022 (AB 178) OR THE STATE OF CALIFORNIA BUDGET ACT OF 2023 (SB 101)
RECOMMENDED ACTION
Adopt a resolution authorizing the application, acceptance, and execution of grant funds from the California State Library’s Building Forward Library Facilities Improvement Program, approval to implement the awarded project, and designate Library Services Director, Brian Sternberg, as the Authorized Representative to enter into the grant agreement
GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
In April 2023, the California State Library announced it was accepting applications for its Building Forward Library Facilities Improvement Program Round Two, where $175 million in competitive grants would be available to cities, counties, or special library districts for critical maintenance and improvement projects.
The Library Services Agency (“Library”) submitted a grant application for the Newhope Library to fund HVAC, electrical, and plumbing upgrades; fire protection system improvements; and repair and replacement of interior and storefront doors. The grant scope would be incorporated into the larger Newhope Library Renovation Project, which includes retrofitting the branch with vibrant reading areas, expanded study spaces, reimagined outdoor patio, state-of-the-art technology, community gathering spots, and a
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Building Forward Library Facilities Improvement Program Grant for the Newhope Library November 7, 2023
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new Innovation Center equipped to provide STEM learning opportunities for the entire family. The overall Newhope Library Renovation Project is expected to be completed by fall 2024.
In October 2023, the California State Library notified the Library of its intent to award the full grant request of $1,086,754. The Library will need to provide supporting documentation, including a Resolution to authorize the application, acceptance, and execution of grant funds prior to formal grant award. Following approval of the supporting documents by the California State Library, the Library will return to the City Council for approval of the grant agreement and to appropriate the grant funds.
While the grant requires a dollar-for-dollar match, the City’s Local Income Per Capita (LIPC) made it eligible for a 75% reduction in the local match requirement. The City will only be required to provide a match of $271,688, which is within the project’s existing budget and will not require additional budget appropriation.
All grant funds must be fully expended by June 30, 2027.
FISCAL IMPACT
There is no fiscal impact associated with this action. The Library Services Agency will return to the City Council for approval of the grant agreement and to recognize and appropriate grant funds in the amount of $1,086,754.
EXHIBIT(S)
1. Resolution
2. Intent to Award Letter
Submitted By: Brian Sternberg, Executive Director of Library Services Approved By: Steven A. Mendoza, Acting City Manager
City Council
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2 11/7/2023
Resolution No. 2023-XXX
RESOLUTION NO. 2023-XXX
A RESOLUTON OF THE CITY COUNCIL OF THE
CITY OF SANTA ANA AUTHORIZING THE GRANT
APPLICATION, ACCEPTANCE, AND EXECUTION
OF THE GRANT FUNDS FROM THE STATE OF
CALIFORNIA BUDGET ACT OF 2022 (AB 178) OR
THE STATE OF CALIFORNIA BUDGET ACT OF
2023 (SB 101)
WHEREAS, the Legislatu re and Governor of the State o f California have provided funds for the program shown above; and
WHEREAS, the California State Library has been delegated the responsibility for the administration of this grant program, establishing necessary procedures; and WHEREAS, said procedures established by the California State Library require a resolution certifying the approval by the potential grantee’s governing board either before submission of said application(s) to the State or prior to execution of the grant agreement; and
WHEREAS, the City of Santa Ana will enter into an agreement with the State of California to carry out the project described below; and WHEREAS, the City of Santa Ana proposes to implemen t the Newhope Library Renovation Project; and
WHEREAS, the City of Santa Ana ha s the lega l authority and is authorized to enter into a funding agreement with the State of California; and WHEREAS, the City of Santa Ana intends to receive gran t funding from the California State Library for the Newhope Library Renovation Project.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows:
A. Pursuant and subject to all of the terms and provisions of the California Budget Act of 2022 or the California Budget Act of 2023 , the City of Santa Ana’s Executive Director of Library Services, or their designee, is hereby authorized and directed to prepare and file an application for funding with
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Resolution No. 2023-XXX
the California State Library, an d take such other actions necessary or appropriate to obtain grant funding.
B. The City of Santa Ana ’s Executive Director of Library Services, or their designee, is hereby authorized and directed to execute the funding agreement with the California State Library and any amendments thereto.
C. The City of Santa Ana ’s Executive Director of Library Services, or their designee, is hereby authorized and directed to submit any required documents, funding requests, and reports required to obtain grant funding.
D. The City of Santa Ana certifies that the project will comply with any laws and regulations including, but not limited to, the California Environmental Quality Act (CEQA), legal requirements for building codes, health and safety codes, the California Labor Code, disabled access laws, and, that prior to co mmencement of the project, all applicable permits will have been obtained.
Section 2. This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.
ADOPTED this ____day of November, 2023
_______________________
Valerie Amezcua
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:_________________________
Brandon Salvatierra
Deputy City Attorney
AYES: Councilmembers ________________________________________ NOES: Councilmembers _______________________________________ ABSTAIN: Councilmembers _______________________________________ NOT PRESENT: Councilmembers _______________________________________
City Council
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4 11/7/2023
Resolution No. 2023-XXX
CERTIFICATE OF ATTESTATION AND ORIRGINALITY
I, Jennifer L. 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 November ____, 2023.
Date: ________________ ____________________________________ City Clerk
City of Santa Ana
City Council
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5 11/7/2023
City Council
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6 11/7/2023
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7 11/7/2023
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8 11/7/2023
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Community Development Agency
www.santa-ana.org/community-
development Item # 38
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Santa Ana Rental Registry Informational Report
AGENDA TITLE
Rental Registry Informational Report
RECOMMENDED ACTION
Accept informational report and provide direction to staff.
GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
Effective November 18, 2022, the City of Santa Ana adopted Ordinance No. NS-3027 known as the Rent Stabilization and Just Cause Eviction Ordinance (Ordinance). Under the Ordinance, the City must create a Rental Registry and all landlords with rental units in the City of Santa Ana must complete and submit Registration Forms for each rental unit. The Rental Registry is an online portal where landlords must register their rental units, update rental unit information, update tenancy information, submit notices, and pay the City’s Rental Registry fee, if applicable. The City’s Rental Registry allows the City to securely compile key data on rent-stabilized units, track allowable rent increases, monitor compliance with the City’s Ordinance, and communicate rental unit data on a regular basis to both landlords and tenants.
The City’s Rental Registry gathers key data on rent-stabilized units through the submission of a Registration Form. Some of the information required in the Registration Form is detailed in Section 8-3160(g) of the Ordinance. However, the Ordinance also provides that the Program Administrator, at his/her/their discretion, may require additional information to be collected and recorded in the Registration Form in furtherance of the objectives of the Ordinance. It is important to note that lease agreements, Social Security Numbers, Employer Identification Numbers, or any other confidential information unrelated to compliance with the Ordinance is not collected in the Rental Registry. The City has determined that the information collected in the Registration Form, which is all directly related to Rental Units, is necessary to collect in furtherance of the objectives of the Ordinance.
Obtaining accurate contact information in the Rental Registry allows the City to
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1 11/7/2023
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Santa Ana Rental Registry Informational Report
November 7, 2023
communicate effectively to both landlords and tenants as needed. The Registration Form requests the name, contact information, and preferred language for only the Head of Household or Co-Head of Household such that staff can assist the tenant in their respective language, if it is known by the landlord. If a landlord does not know the preferred language of the tenant, they have the option to select “Unknown.” It is important to note that the City is not asking for the names, phone numbers, email addresses, and other contact information for every tenant or occupant in the rental unit, rather only the Head of Household or Co-Head of Household. Information about the tenant’s race, ethnicity, or nationality is also not requested in the City’s Rental Registry.
The City’s Rental Registry is maintained by the City’s software provider, 3Di Systems (3Di). 3Di’s platform is Service Organization Control Type 2 compliant, ensuring security, confidentiality, and privacy of all information submitted. The cloud-based SaaS platform is supported by Amazon Web Services, which offers the ability to encrypt data at rest and in transit, furthering the reliability, security, and technical capabilities of the system. Information entered in the Rental Registry is restricted to authorized users with role-based permissions and is not publicly accessible. 3Di has over 20 years of experience in creating similar platforms for government and community organizations. 3Di manages the rental registries for multiple cities throughout California, including the City of Oakland and Los Angeles, and there has never been breach of their data.
To assist landlords with registering their rental units, a dedicated e-mail address and Rent Stabilization Helpline are available with staff standing by. Staff have also created a comprehensive webpage with information about the Rental Registry including helpful resources such as a User Guide, FAQs, recorded demonstrations, and a PowerPoint presentation. Staff and computers are also available by appointment at the Santa Ana WORK Center at 801 W Civic Center Drive, Suite 200, Santa Ana, CA 92701.
EXHIBIT(S)
1. Staff Presentation from October 17, 2023 City Council Meeting
2. Frequently Asked Questions – Rental Registry
Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Steven A. Mendoza, Acting City Manager
City Council
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2 11/7/2023
Item # 5
Community Development Agency
October 17, 2023
Slide 1
Rental Registry Program Update
October 17, 2023
EXHIBIT 1
City Council
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Item # 5
Community Development Agency
October 17, 2023
Slide 2
Background
• On November 18, 2022, the Rent Stabilization and Just Cause Eviction Ordinance (“Ordinance”) was adopted
and requires a rental registry where all landlords with rental units must submit registration forms for each rental unit.
• Staff has created an online Rental Registry portal for collecting required rental information.
• Staff has been working with rental property owners since August 15th to register their units.
EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 3
Who Needs to Register?
• Owners of residential rental
unit(s) or mobilehome park
property owners.
• Exemptions must be
claimed in the Rental
Registry.
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Item # 5
Community Development Agency
October 17, 2023
Slide 4
Who Does Not Need to Register?
• Properties that are owner-
occupied and not being
used for any residential
rental purposes.
EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 5
Purpose of the Rental Registry
• To monitor compliance with the
Ordinance by collecting data on:
– Rental Properties
– Rent Amounts
– Changes in Tenancies
EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 6
Information Collected in the Rental Registry
• Address, unit number
• Property type (Dropdown - Affordable Housing, Mobilehome, Multifamily, SFR, Condo)
• Ownership type (Dropdown – Real Estate Investment Trust, Corp, LLC) • Occupant type (Dropdown - Owner, Manager, Tenant, Subsidized Tenant) • Number of bedrooms & bathrooms
• Tenancy start date
• Initial rent
• Current rent
• Tenant’s full name (Only Head of Household or Co-Head) • Tenant’s phone number
• Tenant’s email address
• Tenant’s preferred language
EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 7
Information NOT Collected in the Rental Registry
• Landlords are not required to submit:
– A lease agreement,
– Social Security Number,
– Employer Identification Number (Tax
Identification Number for businesses), or
– Any other confidential information unrelated to
compliance with the Ordinance.
EXHIBIT 1
City Council
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Item # 5
Community Development Agency
October 17, 2023
Slide 8
What do Rental Property Owners Need to Register?
Computer Access Email
Account
Property
APN
Property
PIN
Rental Unit
Information
EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 9
Exemption(s)
• Landlords claiming an exemption must still register their rental unit(s).
• It is the property owner’s obligation to determine if their rental property falls within any of the exemptions under the Ordinance:
• Sections 8-3120(e) and 8-3147(c)
EXHIBIT 1
City Council
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Item # 5
Community Development Agency
October 17, 2023
Slide 10
Rental Registry Fee
• Funds the City’s cost to implement, administer, monitor, support, and enforce the provisions of the Ordinance.
– $100 per Rental Unit
• Staff is currently in the process of building the Rental Registry and discerning which rental properties will be required to pay the Rental Registry Fee.
• Staff plans to inform rental property owners of non-
exempt rental units of the Rental Registry Fee and the
payment process beginning in January 2024.
EXHIBIT 1
City Council
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Item # 5
Community Development Agency
October 17, 2023
Slide 11
Outreach and Education
• A detailed webpage with helpful resources including a User Guide, FAQs, and two video demonstrations
• Weekly virtual workshops in English, Spanish and
Vietnamese
• Staff and computers to assist landlords at the Santa Ana WORK Center at 801 W Civic Center Drive, Suite 200,
Santa Ana, CA 92701
• A dedicated email address at [email protected] for
questions and assistance
• A Rent Stabilization Helpline at (714) 667-2209
• Social Media Posts
EXHIBIT 1
City Council
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13 11/7/2023
Item # 5
Community Development Agency
October 17, 2023
Slide 12
Outreach and Education
• Letter # 1 (August 15th) - Sent to 27,309 multi-family and single family property owners who pay property taxes and do not claim the homeowners’ property tax exemption.
– Based upon best practices in other jurisdictions
• Letter # 2 (October 9th) - Sent to 13,154 single-family property owners whose property address is the same as the mailing address on their property tax record.
– Explained that owner-occupants who do not use their home for any residential rental purposes are not subject to the Ordinance and do not need to register.
• Letter # 3 (Forthcoming) - Multi-family rental property owners EXHIBIT 1
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Item # 5
Community Development Agency
October 17, 2023
Slide 13
EXHIBIT 1
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Updated October 2023 1 | P a g e
FREQUENTLY ASKED QUESTIONS – RENTAL REGISTRY
City of Santa Ana - Rent Stabilization and Just Cause Eviction Ordinance I ow
n and live in my house, but I rent a room. Do I need to register the bedroom with the City’s Rental Registry portal?
Ye
s. A "Rental Unit" means any building, structure, or part thereof. All property owners must register all of their rental units in the Rental Registry.
Ar
e there properties that are exempt from the Rent Stabilization Provisions of the Ordinance? Ye
s. The following properties are exempt from the Rent Stabilization provisions of the Ordinance. Refer to Section 8-3147 for the specific requirements for each exemption. • A
ny residential real property that has a certificate of occupancy issued after February 1, 1995 (California Civil Code section 1954.52(a)(1)); and, any other provisions of the Costa-Hawkins Rental Housing Act addressing exemptions, as applicable.
• A
ny mobilehome space subject to a long term (more than one year) rental agreement (California Civil Code section 798.17); any newly constructed mobilehome space first offered for rent on or after January 1, 1990 (California Civil Code section 798.45); mobilehomes not being used as a person’s primary residence that are not being leased to someone else (California Civil Code section 798.21); and, any other provisions of the Mobilehome Residency Law addressing exemptions, as applicable. • H
ousing restricted by deed, regulatory restriction contained in an agreement with a government agency, or other recorded document as affordable housing for persons and families of very low, low, or moderate income.
• H
ousing that is subject to an agreement that provides housing subsidies for affordable housing for persons and families of very low, low, or moderate income. • Do
rmitories owned and operated by an institution of higher education or a kindergarten and grades 1 to 12, inclusive, school.
• H
ousing that has been issued a certificate of occupancy within the previous 15 years.
• R
esidential real property that is alienable separate from the title to any other dwelling unit, provided that both of the following apply:
A. The owner is not any of the following:
i.
A real estate investment trust, as defined in section 856 of the Internal Revenue Code,
ii. A corporation, or
iii. A limited liability company in which at least one member is a EXHIBIT 2
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Updated October 2023 2 | P a g e
corporation.
B. The following conditions have been met:
i. The tenants have been provided written notice that the residential property is exempt from this section using the following statement:
“This property is not subject to the Rent limits imposed by Santa Ana Municipal Code section 8- 3140 and the Owner is not any of the following: (1) a real estate investment trust, as defined by section 856 of the Internal Revenue Code; (2) a corporation; or (3) a limited liability company in which at least one member is a corporation.”
ii. For a Tenancy existing before the effective date of this ordinance the notice required under clause (i) may, but is not required to, be provided in the rental agreement.
iii. For a Tenancy commenced or renewed on or after the effective date of this ordinance, the notice required under clause (i) must be provided in the rental agreement.
• A property containing two separate dwelling units within a single structure in which the Owner occupied one of the units as the Owner’s principal place of residence at the beginning of the Tenancy so long as the Owner continues in occupancy, and neither unit is an accessory dwelling unit or a junior accessory dwelling unit
Any Landlord that claims an exemption from the Ordinance must file a claim of exemption with the City. The claim of exemption must be filed annually, or the Rental Unit will not be exempt from the Ordinance.
Any time a Rental Unit that has been exempted loses its exempt status due to termination of the conditions qualifying it for exemption, the Landlord of such Rental Unit is required to file a Registration Form for said Rental Unit within thirty (30) days of the change in status.
What is the purpose of the information being collected?
The City’s Rental Registry gathers key data on rent-stabilized units through the submission of a Registration Form.
Some of the information required in the Registration Form is detailed in Section 8-3160(g) of the Ordinance. However, the Ordinance also provides that the Program Administrator, at his/her/their discretion, may require additional information to be collected and recorded in the Registration Form in furtherance of the objectives of the Ordinance.
It is important to note that lease agreements, Social Security Numbers, Employer Identification Numbers or any other confidential information unrelated to compliance with the Ordinance is not collected in the Rental Registry.
The City has determined that the information collected in the Registration Form, which is all directly related to Rental Units, is necessary to collect in furtherance of the objectives of the Ordinance.
EXHIBIT 2
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Updated October 2023 3 | P a g e
Why is tenant contact information required?
Obtaining accurate contact information in the Rental Registry allows the City to communicate effectively to both landlords and tenants as needed.
The Registration Form requests the name, contact information and preferred language for only the Head of Household or Co-Head of Household such that staff can assist the tenant in their respective language, if it is known by the landlord.
If a landlord does not know the preferred language of the tenant, they have the option to select “Unknown”.
It is important to note that the City is not asking for the names, phone numbers, email addresses, and other contact information for every tenant or occupant in the rental unit, rather only the Head of Household or Co-Head of Household.
Information about the tenant’s race, ethnicity or nationality is also not requested in the City’s Rental Registry.
Is the Rental Registry secure?
The City’s Rental Registry is maintained by the City’s software provider, 3Di Systems (“3Di”). 3Di’s platform is Service Organization Control Type 2 compliant, ensuring security, confidentiality, and privacy of all information submitted.
The cloud-based SaaS platform is supported by Amazon Web Services, which offers the ability to encrypt data at rest and in transit, furthering the reliability, security, and technical capabilities of the system.
Information entered in the Rental Registry is restricted to authorized users with role- based permissions and is not publicly accessible.
3Di has over 20 years of experience in creating similar platforms for government and community organizations. 3Di manages the rental registries for multiple cities throughout California, including the cities of Oakland and Los Angeles, and there has never been a breach of their data.
Who can I contact for questions about the Rental Registry?
Please e-mail us at [email protected] or
call (714) 667- 2209 to speak with one of our
representatives.
Staff and computers ar e also available by appointment at our WORK Center at 801 W Civic Center Drive, Suite 200, Santa Ana, CA 92701.
The City of Santa Ana has also created a comprehensive webpage with information about the Rental Registry including helpful resources such as a User Guide, FAQs, recorded demonstrations, and a PowerPoint presentation.
EXHIBIT 2
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City Attorney Office
www.santa-ana.org/city-attorneys-office
Item # 39
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Consider Whether to Adopt a Resolution to Place a Ballot Measure on the Ballot for the November 5, 2024 Municipal Election Concerning Amending the City Charter to Permit Voting by Noncitizen Residents in City Municipal Elections
AGENDA TITLE
Consider Whether to Adopt a Resolution Calling and Giving Notice of a General Municipal Election to be held in the City of Santa Ana on November 5, 2024, Requesting Consolidation with the Statewide General Election, and Placing a Ballot Measure Before the Voters Asking Whether to Amend the Santa Ana City Charter to Authorize and Implement Noncitizen Voting in Municipal Elections
RECOMMENDED ACTION
Approve a Resolution Calling and Giving Notice of a General Municipal Election to be held in the City of Santa Ana on November 5, 2024 for the Submission of a Ballot Measure to the Qualified Voters Proposing an Amendment to the Santa Ana City Charter to Authorize and Implement Noncitizen Voting in Municipal Elections.
RESOLUTION NO. 2023-XXX entitled A RESOLUTION OF THE CITY COUNCIL OF
THE CITY OF SANTA ANA CALLING AND GIVING NOTICE OF A GENERAL
MUNICIPAL ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON NOVEMBER 5, 2024 FOR THE SUBMISSION OF A BALLOT MEASURE TO THE QUALIFIED
VOTERS ASKING IF THE CITY OF SANTA ANA SHOULD PERMIT NONCITIZEN VOTING IN ALL CITY MUNICIPAL ELECTIONS (includes determination that the Resolution is not subject to the California Environmental Quality Act (CEQA) pursuant to sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment and it is not a “project” as defined in section 15378 of the State CEQA Guidelines) GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
In July of 2022, while considering recommendations from a Council Ad Hoc Committee formed to review and recommend amendments to the City of Santa Ana City Charter, the
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Consider Whether to Adopt a Resolution to Place a Ballot Measure on the Ballot for the November 5, 2024 Municipal Election Concerning Amending the City Charter to Permit Voting by Noncitizen Residents in City Municipal Elections November 7, 2023
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issue of proposing a charter amendment to permit voting by noncitizens in municipal elections was raised. At that time, the City Attorney advised that although towns in the states of Maryland and Vermont had implemented similar proposals, the questions posed presented an issue of first impression in California for a charter city like Santa Ana. The City Attorney advised that the City and County of San Francisco had adopted noncitizen voting rights for parents of school-aged children in school board elections and a proposal in New York City had been struck down. At that time, the City Attorney advised the Council that it could refer the matter to Council Charter Ad Hoc Committee for further research and feasibility analysis. Days after this recommendation was made, a trial court struck down the San Francisco measure.
In August of 2023, the California Court of Appeal decided the case. In James V. Lacy, et al., v. City and County of San Francisco, et al., California Court of Appeal, First Appellate District, Case No. A165899, the Court reversed the trial court decision and upheld the legality of San Francisco’s voting program. However, the First District Court limited its decision to San Francisco only. The Court stated that: “We decide today solely the issue before us: the Constitution confers on the City the authority to expand the electorate for school board elections to include noncitizen parents or guardians of City children.” The court was careful to explicitly limit the breadth of its decision to San Francisco’s noncitizen voting program in school board elections. The Court stated that its decision “does not leave charter cities with limitless authority to determine the electorate for school board elections or, for that matter, the election of other municipal officials,” since state and federal constitutional constraints still apply.
Some assert that the Lacy decision authorizes charter cities like Santa Ana to pursue and implement similar voting programs and others caution that the decision is limited. The fact is that the law is not clearly settled. The City Council is advised to consider that the proposal is certain to draw legal scrutiny and the San Francisco Chronicle reported that the lead plaintiff in the San Francisco case has vowed to sue any other California city that approves similar legislation. Lacy and the US Justice Foundation are reported to say that they will file challenges in federal court. Federal litigation can be complicated and expensive. A challenge of this type would require the City to engage expert outside legal counsel.
On September 19, 2023, the City Council addressed a request by Councilmembers Hernandez and Vazquez to: Discuss and Consider Directing the City Manager and the City Attorney to Prepare for the City Council’s Consideration Resolution Options to Place the Issue of Noncitizen Voting in City Council and Mayoral Elections on the November 2024 Ballot and Further Discuss and Consider Directing the City Manager to Prepare a Cost and Implementation Analysis of Establishing Noncitizen Voting. A majority of the Council provided direction to prepare the documents necessary to proceed with the ballot measure as an advisory question.
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Consider Whether to Adopt a Resolution to Place a Ballot Measure on the Ballot for the November 5, 2024 Municipal Election Concerning Amending the City Charter to Permit Voting by Noncitizen Residents in City Municipal Elections November 7, 2023
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On October 17, 2023, the documents were presented to the City Council and further direction was given to staff to modify the recitals in the Resolution, expand the original proposal from voting in city council and mayoral elections to all municipal elections, including elections on referenda, initiative, and ballot questions and prepare the text necessary to present the matter to the voters as an amendment to the City Charter.
The Resolution before the City Council incorporates Council direction with the exception of a recital citing racism as the reason for citizen voting eligibility. The Council should also be aware that certain statements and facts included in the recitals that the Council directed to be added have not been independently verified.
FISCAL IMPACT
Estimated costs for a City General Municipal Election on November 5, 2024 are $279,085 - $327,742, as noted for the previous Council action calling the election for the submission of a ballot measure.
The estimated cost to add an additional measure (3000 words and 2 pages) is $8,500.
Sufficient funds to accommodate the 2024 General Municipal Election will be presented to City Council for consideration during the FY 2024/25 budget approval process. (Account No. 01107031 62300)
If the measure is approved by the voters and challenged, estimated legal costs could exceed $500,000. Additional costs to implement the change to Charter Section 1203, if approved, are unknown at this time.
EXHIBIT(S)
1. Proposed Resolution
Submitted By: Sonia Carvalho, City Attorney
Approved By: Steven A. Mendoza, Acting City Manager
City Council
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Resolution No. 2023-XXX
RESOLUTION NO. 2023-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA CALLING AND GIVING NOTICE OF A
GENERAL MUNICIPAL ELECTION TO BE HELD IN THE
CITY OF SANTA ANA ON NOVEMBER 5, 2024 FOR THE
SUBMISSION OF A BALLOT MEASURE TO THE
QUALIFIED VOTERS ASKING IF THE CITY OF SANTA ANA
SHOULD PERMIT NONCITIZEN VOTING IN ALL CITY
MUNICIPAL ELECTIONS
WHEREAS, noncitizen residents make up 24 percent of Santa Ana’s total population and about 30 percent of its voting-age population; and
WHEREAS, the City Council acknowledges the importance of the immigrant community to the city of Santa Ana and recognizes their right to have their voices heard in local decision-making that directly affects their lives; and
WHEREAS, the City Council believes that giving immigrants a voice in local elections will encourage greater interest and investment in local issues, ultimately benefiting the entire community; and
WHEREAS, the City Council previously enacted an ordinance making Santa Ana, a sanctuary city, to recognize the contributions of its diverse, immigrant population to ensure they feel safe interacting with local government officials; and
WHEREAS, the City Council has implemented initiatives such as the Immigrant Legal Defense Fund which allocates funding to legal defense of Santa Ana immigrant residents who face detention and deportation; and
WHEREAS, a growing multiracial and multigenerational coalition of Santa Ana residents and community-based organizations have come together with the shared belief that all residents, regardless of citizenship status should have an equal say in the City’s municipal elections; and
WHEREAS, the Ci ty Council pre viously enacted an ordinance amending, it’s municipal code to permit qualified immigrant residents to serve on City Boa rds, Commissions and Committees; and
WHEREAS, currently tens of thousands of noncitizen residence and mixed status families pay taxes yet feel disenfranchised, and do not believe they have representation in key decisions that impact their lives; and
WHEREAS, local governments in other states have allowed non-citizen residents to vote in local elections; and
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Resolution No. 2023-XXX
WHEREAS, arguments can be made that the California constitution gives charter cities the power to allow non-citizen residents to vote in local elections; and
WHEREAS, on September 19, 2023, Councilmembers Hernandez and Va zquez brought forth a councilmem ber request for consideration of proposing a ballot measure to the voters regarding noncitizen voting in municipal elections;
WHEREAS, on October 17, 2023, the City Council voted to direct staff to prepare the ballot measure items to place the ballot mea sure before the voters at the November 5, 2024 election;
WHEREAS, pursuant to California Elections Code section 92 55, the City Council is authorized to submit this question to the voters at the November 5, 2024 General Municipal Election; and
WHEREAS, the City Council desires to consolidate the General Municipal Election for the measure described herein with the Statewide General Election to be held on November 5, 2024.
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS:
Section 1. The foregoing recitals are true and correct and ar e hereby incorporated by reference.
Section 2 Pursuant to the California Elections Code, and any other applicable requirements of the laws of the State of California relating to charter cities, the City Council, by majority vote, hereby calls and orders to be held in the City of Santa Ana on Tuesday, November 5, 2024, a General Municipal Elections for the purpose of submitting the ballot measure question to the qualified voters of the City of Santa Ana.
Section 3. The California Elections Code directs that the City Council approve the form of the ballot question to be submitted to the voters and the City of Santa Ana desires, on its own motion, to submit to t he voters a question of whether to permit noncitizens to vote in all municipal elections at which municipal officers are elected, ballot measures are considered, and initiatives and referenda are proposed, at the General Municipal Election to be held on Tuesday, November 5, 2024.
Section 4. The ballot question and full text for the proposed ballot measure shall be as follows, with identification as determined in accordance with the California Elections Code:
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Resolution No. 2023-XXX
MEASURE #___
PROPOSED AMENDMENT TO SECTION 1203
OF THE SANTA ANA CITY CHARTER
Shall the City of Santa Ana City Charter be amended to allow City residents who are not citizens of the United States to vote in all City of Santa Ana municipal elections at which municipal officers are elected, ballot measures are considered, and initiatives and referenda are proposed, in accordance with ordinances, policies, and regulations to be adopted by the City Council in order to implement the charter amendment prior to the November 2026 general municipal election?
Yes
No
Full Text of the City Charter Amendment (text to be added, if approved, is underlined):
Sec. 1203. – Manner of Elections and Voting.
Unless otherwise provided by ordinance, all elections shall be held in accordance with the provisions of the Elections Code of the State of California, as the same now exist or may hereafter be amended, for the holding of elections in general law cities, insofar as the same are not in conflict with this charter or any ordinance adopted in accordance with this charter.
The City Council shall adopt an ordinanc e and additional policies and regulations, as needed, authorizing any person who has established residency in the City and who is not otherwise disqualified from voting under Sections 2 and 4 of Article II of the California Constitution or any implementing State statute or City ordinance or resolution, to vote in all municipal elections regardless of whether the person is a United States citizen. The City Council shall adopt such policies, regulations , and ordinances implementing this Section 1203 so that n oncitizens may participate in elections on or prior to the general municipal election to be held in November of 2026.
Section 5. The question to be submitted to the voters is set forth above and other implementing actions may need to be taken by the voters and the City Council should the voters approve the measure.
Section 6. If the ballot measure receives a majority of the v otes cast on it at the election, the question shall be approved.
Section 7. The City Clerk, in coordination with the Orange County Registrar of Voters, is authorized, instructed and directed to procure and furnish any and all official ballots, notices, printed matter and all supplies, equipment and paraphernalia that may
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Resolution No. 2023-XXX
be necessary in order to properly and lawfully conduct the election. The ballots to be used at the election shall be in form and content as required by law.
Section 8. The City Council consents to the consolidation of the election on this Measure with all other elections being held in the same territory on November 5, 2024, and to hold and conduct the consolidated election in the manner prescribed in Election Code Section 10418. In accordance with Section 10403 of the Elections Code, the Board of Supervisors of Orange County is hereby requested to consent to consolidation of the election on this Measure with the Statewide General Election and all other elections being held in the same territory on November 5, 2024, and to having the Registrar of Voters render such election services to the City of Santa Ana as may be requested by the City Clerk of said City, the County of Orange to be reimbursed in full for such services as are performed.
Section 9. The election services requested by the City of the County Registrar of Voters, or such other official as may be appropriate and which office r is hereby authorized and directed to perform, if said Board of Supervisors consents, include: the preparation, printing, and mailing of sample ballots and voter information guides; the establishment or appointment of precincts, voting centers, and election officers; opening and closing of voting centers, and making such publications as are required by law in connection therewith; the furnishing of ballots, voting booths, and other necessary supplies or materials for voting centers; the canvassing of the returns of the election and the furnishing of the results of such canvassing to the City Clerk; and the performance of such other election services as may be requested by the City Clerk.
Section 10. The precincts, ballot drop box locations and hours of operations, vote center locations and hours of operations, vote -by-mail procedures and timing, and election officers, and all other persons and procedures for the General Municipal Election shall be the same as those utilized by the County of Orange.
Section 11. All ballots shall be tallied at a central counting place and not at the precincts. Said central counting place shall be at a County center as designated by the Registrar of Voters.
Section 12. The City Clerk is hereby directed to transmit a copy of the Measure set forth in Section 4 above to the City Attorney, who shall prepare an impartial analysis of the Measure in accordance with Section 9280 of the Elections Code not to exceed 500 words in length. The impartial analysis shall show the effect of the Measure on existing law and the operation of the Measure. It shall also include a statement indicating whether the Measure was placed on the ballot by a petition signed by the requisite number of voters or by the City Council. In the event the entire text of the Measure is not printed on the ballot, or in the voter information portion of the sample ballot, there shall be printed immediately below the impartial analysis, in no less than 10-font bold type, the following:
“The above statement is an imp artial analysis of Ordinance or Measure ____. If you desire a copy of the ordinance or measure, please call the election official’s
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Resolution No. 2023-XXX
office at (714) 647-6520 and a copy will be mailed at no cost to you.” The impartial analysis shall be filed no later than the deadline for direct arguments.
Section 13. All persons qualified to vote at municipal elections in the City on the day of election herein provided shall be qualified to vote on the Measure hereby submitted at the General Municipal Election.
Section 14. In all particulars not recited in the Resolution, the election shall be held and conducted as provided by law for holding general municipal elections in the City.
Section 15. Notice of the time and place of holding the election is hereby given, and the City Clerk is authorized, instructed, and directed to give further or additional notice of the election in the time, form, and manner as required by law.
Section 16. The City Clerk shall receive the canvass as it pertains to the election and shall certify the results to the City Council, as required by law.
Section 17. Pursuant to California Elections Code Section 9295, this Resolution and the included Measure will be available for public examination for no fewer than ten (10) calendar days prior to being submitted for printing in the voter information guide.
Section 18. The City Council finds an d determines that this Resolution is not subject to the California Environmental Quality Act (CEQA) pursuant to sections 15060(c)(2) and 15060(c)(3) of the State CEQA Guidelines because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, as there is no possibility it will have a significant effect on the environment and it is not a “project,” as defined in section 15378 of the State CEQA Guidelin es. Furthermore, the Resolution falls within the “common sense” CEQA exemption set forth in CEQA Guidelines section 15061(b)(3), excluding projects where “it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment.”
Section 19. If any section, subsection, sentence, clause, phrase or provision of this Resolution or the application thereof to any person or circumstances is held invalid or un constitutional by any court of competent jurisdiction, such invalidity or unconstitutionality shall not affect the validity of any other provision or applications, and to this end the provisions of this Resolution are declared to be severable. The City Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause, phrase or provision thereof, irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases or provisions there of be declared invalid or unconstitutional.
Section 20. This Resolution shall take effect immediately upon its adoption by a majority of the City Council.
Section 21. The City Clerk is hereby directed to certify to the passage and adoption of this Resolution and to file a certified copy of this Resolution with the Orange County
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Resolution No. 2023-XXX
Board of Supervisors and the Registrar of Voters of Orange County at least eighty -eight (88) days before the date of the election.
ADOPTED this ____ day of November, 2023.
Valerie Amezcua
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho
City Attorney
By:
Laura A. Rossini
Chief Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023 -XXX 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
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HOUSING AUTHORITY 1 August 1, 2023
DRAFT Minutes of the Regular Meeting
of the Housing Authority
Santa Ana, California
August 1, 2023
CALL TO ORDER
MINUTES: Chair Amezcua called the Regular Housing Authority Meeting of August 1, 2023 to order at 11:12 P.M.
ATTENDANCE Authority Members Phil Bacerra
Johnathan Ryan Hernandez
David Penaloza
Thai Viet Phan
Benjamin Vazquez
Vice Chair Jessie Lopez
Chair Valerie Amezcua
City Manager Kristine Ridge
City Attorney Sonia R. Carvalho
Recording Secretary Jennifer L. Hall
ROLL CALL
MINUTES: Secretary Jennifer Hall conducted Roll Call.
MEMBERS PRESENT: Chair Amezcua and Authority Members Lopez, Bacerra, Hernandez, Penaloza, Phan, and Vazquez.
ADDITIONS\DELETIONS TO THE HOUSING AUTHORITY AGENDA
MINUTES: None
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HOUSING AUTHORITY 2 August 1, 2023
PUBLIC COMMENTS – Members of the public may address Housing Authority on items on the Housing Authority agenda.
MINUTES: Lucinda Solorzano, via teleconference, addressed City Council Agenda Item No. 25.
RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 1 – 3.
MOTION: Moved by Authority Member Hernandez, seconded by Vice Chair Lopez to Approve Consent Calendar Items 1 through 3.
YES: 7 – Authority Member Bacerra, – Authority Member Hernandez, – Authority Member Penaloza, – Authority Member Phan, – Authority Member Vazquez, – Vice Chair Lopez, – Chair Amezcua
NO: 0
ABSTAIN: 0
ABSENT: 0
Status: 7 – 0 – 0 – 0 – Pass
1. Excused Absences
Department(s): City Clerk’s Office
Recommended Action: Excuse the absent members.
2. Approve minutes of the Housing Authority special meeting of July 18, 2023.
Department(s): City Clerk’s Office
Recommended Action: Approve minutes.
3. Quarterly Report for the Housing Choice Voucher Program for the Period of April 1, 2023 to June 30, 2023
Department(s): Community Development Agency
Recommended Action: Receive and file the Quarterly Report for the Housing Choice Voucher Program for the period of April 1, 2023 to June 30, 2023.
HOUSING AUTHORITY MEMBER COMMENTS
MINUTES: None
CONSENT CALENDAR
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HOUSING AUTHORITY 3 August 1, 2023
ADJOURNMENT – Adjourn the Housing Authority meeting.
MINUTES: Chair Amezcua adjourned the Housing Authority Meeting at 11:14 P.M.
Respectfully submitted,
Jennifer L. Hall, CMC
Secretary
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Community Development Agency
santa-ana.org/cd
Item # 3
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Quarterly Report for Housing Choice Voucher Program
AGENDA TITLE
Quarterly Report for the Housing Choice Voucher Program for the Period of July 1, 2023 to September 30, 2023
RECOMMENDED ACTION
Receive and file the Quarterly Report for the Housing Choice Voucher Program for the period of July 1, 2023 to September 30, 2023.
GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
The July 1, 2023 to September 30, 2023 Quarterly Report for the Housing Choice Voucher (HCV) Program provides information on the day-to-day activities of the Santa Ana Housing Authority. The report is divided into three (3) sections: Applicants, Participants, and Production.
Applicants
The Santa Ana Housing Authority accepted applications from May 2, 2022 through May 31, 2022 and received a total of 20,759 applications. A random lottery procedure was applied and the Santa Ana Housing Authority accepted 7,500 of the 20,759 applications to establish a 2022 HCV Waiting
List. Charts 1 and 2 depict the characteristics of those applicants currently on the Waiting List. As of September 30, 2023, the Housing Authority has selected 587 applicants from the 2022 HCV Waiting List. Chart 1 illustrates the percentage of applicants on the 2022 HCV Waiting List who live or work in Santa Ana. These applicants are given a preference on the Waiting List together with U.S. Military Veterans.
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Quarterly Report for Housing Choice Voucher Program
November 7, 2023
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Chart 2 illustrates the number of applicants by total
household size. The majority of applicants on the
Waiting List consist of only one (1) or two (2) household members.
Over half of all applicants (4,685 of the 7,500 applicants or 62%) have one (1) or two (2) member households
and would qualify for a one-bedroom voucher. The
Santa Ana Housing Authority’s occupancy standard is
one (1) bedroom for every two (2) family members.
Participants
At the end of the reporting period, there were 3,074
households receiving rental assistance from the Housing Authority.
Chart 3 illustrates participating families, sorted by number of family members. Over three-fourths (87%) of families receiving assistance have three (3) or fewer members.
Chart 4 illustrates the family type for program
participants. Over two-thirds (70%) of participating
households have elderly and/or disabled members.
[“Other” consists of households that are non-elderly, non- disabled, with no minor children.]
Chart 5 depicts participants by percentage of Orange
County median income. As of September 30, 2023, the
County’s median income is $127,800 per year for a family of four.
Approximately 90% of families on the program earn less
than 30% of the area median income, which is $43,050
per year for a family of four (4).
2888
1797
1090 906
490
200 80 29 11 9
0 500
1000
1500
2000
2500
3000
3500
1 2 3 4 5 6 7 8 9 10+
2. Household Size
Number of Applicants
People per Houshold
Disable
Elderly
Family
Other
14%
4. Family Type
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Quarterly Report for Housing Choice Voucher Program
November 7, 2023
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Participants’ incomes come from a variety of sources,
as illustrated in Chart 6. A total of 36% of participating families have income from employment.
Participating families pay a portion of their monthly rent based upon their income and the payment standard for
their unit. The Housing Authority pays the difference
between the tenant’s portion and the contract
rent. This payment is the Housing Assistance
Payment (HAP). The average HAP for July 1, 2023 to
September 30, 2023 was $1,425.
Production
HQS Inspections: At least once every two (2) years,
the Housing Authority must inspect each assisted-unit
to ensure it meets HUD’s Housing Quality Standards
(HQS) in compliance with the federal regulations. From July 1, 2023 to September 30, 2023 a total of 407
inspections and re-inspections of our assisted-units
were performed of which 66 inspections failed. Chart 7
illustrates the number of inspections performed on a
monthly basis during the reporting period.
Recertifications / Interims:
Each year, the Housing Authority must re-certify every
assisted-family to verify the family is still eligible for assistance. In addition, when a participant’s income
changes, an interim examination must be
performed. During the reporting period, a total of 816 recertifications and interims were conducted. Chart 8
illustrates the number of recertifications and interims performed.
Other Change of Unit:
These actions are completed when a family moves to a different rental unit. Twenty-nine (29) change of unit actions were processed during the reporting period.
New Admissions:
This action is completed when a family is admitted to the HCV Program. Eighty-three (83) new admissions were processed during the reporting period. 133 156
118
0 50
100
150
200
July August September
7. HQS Inspections
Inspection Months
36%
9%
62%
16%
0%
10%
20%
30%
40%
50%
60%
70%
With Any
Wages
With any
Welfare
With any
SSI/SS
With any
other Income
6. Source of Income
194 191 173
86 72 100
0 100
200
300
July August September
Re-exams Interims
8. Re-exams and Interims
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Quarterly Report for Housing Choice Voucher Program
November 7, 2023
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End of Participation:
This action is completed when the family is no longer interested in participating in the program, the family becomes deceased, the family is no longer eligible for the program, or the family is terminated from the program due to program violations. Twenty-two (22) end of participation actions were processed during the reporting period.
Expired Vouchers:
This action is completed when an applicant is unable to locate a unit within the timeframe of their voucher and all extensions have been exhausted or no extension is requested.
There were ten (10) expired vouchers processed during the reporting period.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Steven A. Mendoza, Acting City Manager
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Community Development Agency
santa-ana.org/cd
Item # 4
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 7, 2023
TOPIC: Memorandum of Understanding with CalOptima Health
AGENDA TITLE
Authorize staff to enter into a Memorandum of Understanding with CalOptima Health, Orange County Housing Authority, Anaheim Housing Authority, and Garden Grove Housing Authority, to facilitate access to supportive services for voucher holders assisted by the Housing Authority
RECOMMENDED ACTION
Authorize the Executive Director of the Housing Authority to execute a Memorandum of Understanding with CalOptima Health to facilitate access to supportive services for voucher holders assisted by the Housing Authority
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The Santa Ana Housing Authority (“SAHA”) is one of four housing authorities operating within Orange County that administers the U.S. Department of Housing and Urban Development’s (“HUD’s”) Section 8 Housing Choice Voucher (“HCV”) Program. The HCV program assists very low-income, elderly, and disabled families so that they can afford decent, safe, and sanitary housing in the private market. Throughout Orange County, the Anaheim Housing Authority, Garden Grove Housing Authority, and SAHA administer the program within their respective city jurisdictions, while the Orange County Housing Authority administers the program in all other Orange County cities and unincorporated areas. Despite each housing authority administering its own HCV Program independently, they have long established a collaborative, working partnership and regularly engage in collaborative efforts to enhance service delivery for voucher holders throughout Orange County.
Over the last five years, these housing authorities have been awarded new funding to manage additional rental assistance programs commonly referred to as Special Purpose Vouchers (“SPVs”) such as the Emergency Housing Voucher program, Stability Voucher program, Mainstream Voucher program, Veterans Affairs Supportive Housing, Non-Elderly Disabled program, Family Unification program, and Foster Youth to Independence program. While the new funding is a significant benefit for our communities, it has given rise to an increasing need for supportive services. The rising
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MOU with CalOptima Health
November 7, 2023
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need for supportive services can be attributed to the diverse needs of families and individuals that face different health challenges and barriers to leasing up with their voucher. Supportive services, traditionally not the primary focus of housing authorities, have become essential to ensuring the success and well-being of our voucher holders (“program participants”).
In line with the commitment to offer comprehensive services to all program participants, discussions among the four housing authorities have led to the creation of a joint Memorandum of Understanding (“MOU”) with the Orange County Health Authority, a public agency doing business as CalOptima Health (“CalOptima”), to provide referrals for supportive services through the California Advancing and Innovating Medi-Cal (“CalAIM”) program. CalOptima is Orange County’s single largest health insurer and provides health care coverage for Orange County low-income residents who are eligible for Medi-Cal. CalOptima participates in the CalAIM program, which offers services directed at supporting some of the most vulnerable populations in Orange County, including people experiencing homelessness, older adults, children with complex care needs, and people involved with the justice system.
Under the MOU, each Housing Authority will request the voluntary written interest and consent of program participants. With consent from a program participant, CalOptima will assess program participants for eligibility and refer eligible participants to CalAIM providers for Community Support and Enhanced Care Management (“ECM”) services.
In addition to ECM services, the Community Support services include but are not limited to:
1. Housing transition navigation services;
2. Housing deposits;
3. Housing tenancy and sustaining services;
4. Short-term post-hospitalization housing;
5. Recuperative care;
6. Respite services;
7. Day habilitation services;
8. Asthma remediation;
9. Medically tailored meals/medically-supportive food;
10.Community transition services/nursing facility transition to a home;
11.Personal care and homemaker services;
12.Environmental accessibility adaptations (home modifications); and
13.Nursing facility transition/diversion to assisted living facilities, such as Residential Care facilities for elderly and adult residential facilities.
This joint MOU is designed to establish a referral framework and facilitate access to CalAIM’s program resources for SAHA’s HCV and SPV program participants. It may also be expanded to HCV program applicants in the future. The objective is to provide program participants with county-wide access to valuable resources and streamline
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MOU with CalOptima Health
November 7, 2023
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referrals to supportive health services. This joint MOU would allow SAHA to leverage CalOptima’s existing resources and expertise in healthcare and social services. As a result, SAHA can seamlessly refer program participants to supportive services at no cost to the agency. By participating in this joint MOU, SAHA can best serve the public by facilitating referrals to essential health services, improving the overall health of our community, and contributing to the efficient use of resources.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1. MOU with CalOptima Health
Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Steven A. Mendoza, Acting City Manager
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MEMORANDUM OF UNDERSTANDING
between
ORANGE COUNTY HOUSING AUTHORITY , a public housing authority established under California Health & Safety Code section 34200 and operationally organized under the Orange County Community Resources Department , ANAHEIM HOUSING
AUTHORITY, GARDEN GROVE HOUSING AUTHORITY , SANTA ANA HOUSING
AUTHORITY
and
ORANGE COUNTY HEALTH AUTHORITY dba CALOPTIMA HEALTH
This Memorandum of Understanding (“MOU”) is entered into by and between the Orange County Health Authority, a public agency doing business as CalOptima Health (“CalOptima”), Orange County Housing Authority, Anaheim Housing Authority, Garden Grove Housing Authority, and Santa Ana Housing Authority (each public housing authority is individually referred to as “PHA” and collectively “PHAs”). Each PHA and CalOptima may each be referred to individually as a “Party” and collectively as the “Parties”.
I. BACKGROUND
CalOptima is a public agency that provides health care coverage for Orange County residents who are eligible for Medi -Cal. In January 2022, the Department of Health Care Services ( “DHCS”) launched the California Advancing and Innovating Medi -Cal (“CalAIM”) initiative. CalOptima participates in CalAIM, which seeks to improve quality of life and health outcomes of the Medi- Cal population by leveraging Medi-Cal as a tool to address many complex challenges facing California’s most vulnerable residents, includin g those facing housing insecurity and instability.
Two specific initiatives within CalAIM are Enhanced Care Management (“ECM”) and Community Supports. CalOptima has committed to offering all 14 Community Supports and expanding its provider network accordingly. These Community Supports services are directed at supporting some of the most vulnerable populations in Orange County , including those experiencing homelessness, older adults , children with complex care needs, and those involved with the justice system.
As local public housing authorities, each PHA, among other things, administers federally funded programs to provide rental assistance to qualified tenants in privately owned rental housing. Each PHA administers the Housing Choice Voucher ( “HCV”) program , as well as Special Purpose Voucher (“SPV”) programs such as the Emergency Housing Voucher program, Stability Voucher program, Mainstream Voucher program, Veterans Affairs Supportive Housing, Non-Elderly Disabled program, Family Unification program, and Foster Youth to Independence program.
Participants and applicants (“Participants”) in the HCV program and SPV programs may use rental assistance in a variety of rental dwellings with property owners willing to part icipate in the program. Each PHA desires to help connect certain Participants to support services offered by CalOptima pursuant to a duly executed written consent form provided by its Participants.
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II. PURPOSE
This MOU establish es a referral framework from each PHA to CalOptima for HCV and SPV program Participants to leverage the ECM and Community Support services provided through CalAIM. This MOU affirms the PHAs’ and CalOptima’s roles and responsibilities regarding the referral relationships and provides the framework for each PHA’s referral program and sharing of information. This MOU provide s for, among other things, the disclosure of information to CalOptima, in accordance with the CalAIM Housing and Health Services Voluntary Consent Form to Release, Share, and Disclose Confidential Information , attached as Exhibit A to this MOU. The information will include the minimum necessary to confirm the enrollment of a PHA program Participant in CalOptima’s Medi-Cal program . This information may include, for example, full name, date of birth, and social security number.
III. TERM
This MOU becomes effective upon the last d ate the Parties execute this MOU on the signature page (“Effective Date”) and remains in effect until terminated under Section XI.
IV. POPULATION TO BE SERVED
This MOU applies to a ny household member(s) who holds or is applying to hold a HCV or SPV issued by a PHA and are voluntarily interested in, or already enrolled in, CalOptima’s Medi-Cal program and consent to provide their information to CalOptima by executing the “CalAIM Housing and Health Services Voluntary Consent Form to Release , Share, and Disclose Confidential Information .”
This may include:
• HCV or SPV applicants who have an active application in process of eligibility that has been pulled off of a waiting list for an HCV or SPV; • HCV or SPV applicants who are waiting to be pulled off of a waiting list so long as they provide their written consent;
• HCV or SPV Participants in the Project-Based Voucher program; or • Any other category of HCV or SPV applicant or participant not already listed who may be served by a PHA.
V. SCOPE OF CALOPTIMA SERVICES
A. Once CalOptima receive s information from a PHA of: (i) an individual or family (household) member with a n HCV or SPV (or who is waiting to receive their HCV or SPV); and (ii) who has provided written consent to share their information with CalOptima, by executing the CalAIM Housing and Health Services Vol untary Consent Form to Release, Share, and Disclose Confidential Information attached as Exhibit A , CalOptima shall follow this process:
1. If the individual or household member is unsure of their Medi -Cal status, CalOptima shall either:
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a. Confirm Medi-Cal enrollment; or
b. If the individual or household member is not enrolled in Medi -Cal, refer the individual or household member to the Orange County Social Services Agency (“SSA”) for potential Medi-Cal enrollment.
2. Pursuant to an already existing enrollment . CalOptima staff shall make reasonable efforts to contact all such enrollees to assess for eligib ility for ECM and Community Supports services. If eligible, and interested, CalOptima will make appropriate referrals for services. CalOptima shall make reasonable efforts to monitor ECM and Community Supports services provided to individuals or household members to ensure they are beneficial.
B. CalOptima shall provide aggregate data to each PHA regarding Medi-Cal eligibility and service delivery referrals under this MOU.
C. CalOptima will contract with CalAIM providers to provide Community Support and ECM services, as required under CalAIM. In addition to ECM services, those Community Support services include, but are not limited to (as further described and defined under CalAIM):
1. Housing transition navigation services;
2. Housing deposits;
3. Housing tenancy and sustaining services;
4. Short-term post-hospitalization housing;
5. Recuperative care;
6. Respite services;
7. Day habilitation services;
8. Asthma remediation;
9. Medically tailored meals/medically-supportive food;
10. Community transition services/nursing facility transition to a home;
11. Personal care and homemaker services;
12. Environmental accessibility adaptations (home modifications); and
13. Nursing facility transition/diversion to assisted living facilities, such as Residential Care facilities for elderly and adult residential facilities.
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D. CalOptima shall provide oversight and monitoring of its contracted CalAIM providers and manage all CalAIM providers that perform services under this MOU .
VI. SCOPE OF SERVICES TO BE PROVIDED BY EACH PHA
A. From among its population of HCV and SPV program Participants, each PHA will:
1. Request the voluntary written interest and consent of the program applicant or participant to register for Medi -Cal or their current enrollment status in Medi-Cal in order to gain access to the benefits available to the applicant or participant through CalAIM. Each PHA may make its request for voluntary written interest and consent , at any time, for an HCV or SPV holder.
2. Request written consent to disclose applicant or participant information, or other related information, to CalOptima so that the applicant or participant may access CalAIM benefits. Each PHA shall use reasonable efforts to make this request at least once in writing duri ng the eligibility process for issuance of an HCV or SPV.
3. Request written voluntary interest and consent from Participants to release information to CalOptima, including to the CalAIM providers contracted by CalOptima, as provided in Exhibit A.
B. For those HCV and SPV recipients who voluntary provide written interest and consent under Section IV .A (Population To Be Served) in order to disclose their information to CalOptima for CalAIM purposes, each PHA will:
1. Share the minimum information necessary to confirm the program applicant or participant’s enrollment in CalOptima’s Medi -Cal program . This information may be shared electronically in a secure system , via transfer of a physical form signed by the applicant or participant, or via another method agreed upon by the Parties that complies with applicable laws .
C. Pursuant to the HCV and SPV program regulations found at 24 CFR Parts 5 and 982, each PHA will:
1. Issue vouchers for Participants to search for appropriate rental housing (if a voucher has not already been issued ).
2. Administer and provide the applicant or participant with monthly rental assistance in accordance with the regulations in 24 CFR Part 982 by providing housing assistance payments on behalf of the participant to the applicable landlord.
VII. COMMUNICATION
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During the term of this MOU , each PHA and CalOptima will remain in contact as necessary to effectuate the purpose of this MOU . Each Party will communicate with its mutual Participants in accordance with applicable government agency requirements, policies and procedures. Each PHA and CalOptima will meet as needed to review services described in this MOU . Primary point of contacts will b e assigned by each PHA and CalOptima. CalOptima’s point of contact will be within the CalAIM team.
VIII. COLLABORATION
Each PHA and CalOptima will work together to ensure that individuals and household members who receive services under this MOU are given the opportunity to be referred to CalOptima for appropriate follow-up if they are interested in or are already enrolled in Medi-Cal. Each PHA and CalOptima shall use reasonable efforts to ensure that the disclosure of Participant information from a PHA to CalOptima is performed pursuant to an executed CalAIM Housing and Health Services Voluntary Consent Form to Release, Share, and Disclose Confidential Information , as provided in Exhibit A . CalOptima shall implement procedures to ensure that it only accepts Participant information from a PHA for Participants who have provided written consent to share their information with CalOptima, by executing the CalAIM Housing and Health Services Volu ntary Consent Form to Release, Share, and Disclose Confidential Information attached as Exhibit A.
Each Party agrees to meet as needed to address the following:
A. Funding opportunities;
B. Federal regulations, agency policies and compliance; C. Program operations, procedures, and logistics; and
D. Participant needs and challenges.
IX. RECORDS RETENTION
Each PHA and CalOptima will retain all records related to this MOU for at least three (3) years from the date of inactivity of services or for such longer periods as required by law .
X. CONFIDENTIALITY
A. Each PHA and CalOptima agree to maintain the confidentiality , privacy, and security of all applicant, participant, and tenant records and information pursuant to all applicable federal and state laws and regulations, including without limitation, U.S. Privacy Act of 1974 and the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), including interpretive case la w, as may now exist or be hereafter amended , to the extent applicable . For the sake of clarity, none of the PHAs are covered entities, as that term is defined and used under the HIPAA and its implementing regulations , and none of the PHAs are CalOptima’s business associate, as that term is used in HIPAA and its implementing regulations . All information that a PHA discloses under this MOU shall be considered and kept confidential by CalOptima, CalOptima’s contracted Medi -Cal providers, and Cal - Optima’s employees, agents, staff, and volunteers.
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B. Parties further agree that any breach of confidentiality or privacy concerning any applicant, participant, and/or tenant records related to this MOU shall be addressed pursuant to applicable law and each Party’s internal compliance program, as amended from time to time.
C. The Parties shall require all staff, agents, employees , volunteers, vendors, contractors, and/or subcontractors with access to a n applicant’s, participant’s, or tenant’s information to maintain the confidentiality of any and all applicant, participant, and tenant records and information with w hich they may come into contact, as required by law.
D. The Parties ’ confidentiality obligations herein shall survive termination or expiration of this MOU for any reason.
XI. TERMINATION OF MOU
A PHA may terminate its participation in, and obligations under, this MOU with or without cause by providing thirty (30) days’ written notice to the other Parties. A PHA’s termination of participation in this MOU shall not terminate this MOU in its entiret y, but it sha ll terminate the MOU with respect to the PHA that terminates its participation hereunder . If all PHAs terminate their participation in this MOU, either individually or collectively , this MOU shall be terminated in its entirety. In addition, CalOptima may terminate this MOU with or without cause by providing thirty (30) days’ written notice to all participating PHAs prior to the effective date of termination .
Except as provided otherwise hereunder, exercise by any PHA of the right to terminate participation in this MOU shall relieve the PHA of all further obligations under this MOU upon termination, except for those provisions that survive termination as stated herein . Except as provided otherwise hereun der, termination of this MOU shall relieve all Parties of all further obligations under this MOU upon termination, except for those provisions that survive termination as stated herein.
XII. GENERAL PROVISIONS
A. No change, modification, extension, or waiver of this MOU shall be effective unless in writing and signed by all Parties. If any law, rule, or regulation applicable to this MOU, or any interpretation thereof by any court, is modified or implemented during the term of the MOU in a way that materially changes the terms of the MOU (“Regulatory Change ”), CalOptima may, upon written notice to PHA s, propose an amendment of the MOU to PHAs to the minimum degree necessary to comply with the Regulatory Change . If any PHA does not accept the proposed Regulatory Change, CalOptima may immediately terminate this MOU upon written notice to PHAs. This MOU represents the entire understanding of the Parties with respect to the subject matter herein and supersedes all prior agreements a nd understandings, whether written or oral, between the Parties concerning such terms .
B. If any provision of this MOU is held invalid or unenforceable by any court of law, the remaining provisions of this MOU shall nevertheless continue to be valid and enforceable as though the invalid or unenforceable parts had not been included herein.
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C. A PHA may not assign or delegate any obligations or rights under this MOU without the prior written consent of CalOptima.
D. This MOU shall be governed by the laws of the State of California, and the Parties consent to venue and personal jurisdiction over them in Superior Court in Orange County, California, and in U.S. District Court for the Central District of California, as applicable , for purposes of construction and enforcement of this MOU. The Parties shall comply with all applicable laws in performance of their obligations under this MOU.
E. Each Party warrants that it has the full right, power, and authority to enter into and fully perform its obligations under this MOU and that the execution, delivery, and performance of this MOU by that Party does not conflict with any other agreement to which it is a Party or by which it is bound.
F. Each Party has had the opportunity to have counsel of its choice examine the provisions of this MOU, and no implication shall be drawn against any Party by virtue of the drafting of this MOU.
G. This MOU may be executed in multiple counterparts, each of which shall be deemed an original and all of which toget her shall be deemed one and the same instrument.
H. If the Parties are unable to informally resolve any dispute arising out of or relating to this MOU, a Party, with the concurrence of all other Parties, may submit the dispute for resolution exclusively through confidential, binding arbitration, instead of through trial by court or jury, in Orange County, California, in accordance with the commercial dispute rules then in effect of the Judicial Arbitration and Mediation Services (“JAMS”). The arbitration shall be conducted on an expedited basis by a single arbitrator. In making decisions about discovery and case management, it is the Parties’ express agreement and intent that the arbitrator at all times pro mote efficiency without denying any Party the ability to present relevant evidence. In reaching and issuing decisions, the arbitrator shall have no jurisdiction to make errors of law and/or legal reasoning. In the event arbitration is mutually agreed to, the Parties shall share the costs of arbitration equally, and each Party shall bear its own attorneys’ fees and costs.
I. CalOptima agrees to indemnify, defend, and hold harmless each PHA and its elected and appointed officials, officers, employees, and agents and those special districts and agencies for which County of Orange’s Board of Supervisors acts as the governing Board from any third-party claims, demands, including defense costs, or liability of any kind or nature, including, but not limited to, personal injury or property damage, arising from or related to Cal Optima’s failure to perform its obligations under this MOU, gross negligence or intentional misconduct .
J. Each PHA agrees to indemnify, defend, and hold C alOptima, its elected and appointed officials, officers, employees, agents, directors, members, and/or EXHIBIT 1
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affiliates harmless from any third-party claims, demands, including defense costs, or liability of any kind or na ture, including, but not limited to, personal injury or property damage, arising from or related to that PHA’s failure to perform its obligations under this MOU, gross negligence or intentional misconduct .
K. If judgment is entered against one Party by a cour t of competent jurisdiction because of the concurrent active negligence of the other Party or its officials, officers, directors, employees, or agents , the Parties agree that liability will be apportioned as determined by the court.
L. Each Party represents and warrants that the person executing this MOU on behalf of its organization is an authorized agent who has actual authority to bind its organization to each and every term, condition, and obligation of this MOU and that all requirements have been fulfilled to provide such actual authority.
M. Nothing herein contained shall be construed as creating the relationship of employer and employee, or principal and agent, between a PHA and any applicant or participant participating in this program, CalOptima, or any of CalOptima’s agents or employees.
N. This MOU may be executed in two or more counterparts, each of which shall be deemed an original and all of which together shall constitute the same agreement.
Facsimile, documents executed, scanned, and tran smitted electronically, and electronic signatures shall be deemed original signatures for purposes of this MOU, with such facsimile, scanned, and electronic signatures having the same legal effect as original signatures.
XIII. SECURITY
A. The Parties agree to maintain the confidentiality of all information and records shared as a result of this MOU pursuant to all applicable laws relating to privacy and confidentiality that currently exist or exist at any time during the term of this MOU. The Parties represent , warrant, and covenant that they have implemented and will maintain during the term of this MOU administrative, physical, and technical safeguards to reasonably protect private and confidential Participant information, to protect against anticipated threats to the security or integrity of data, and to protect against unauthorized physical or electronic access to or use of data.
Such safeguards and controls shall include at a minimum:
1. Storage of confidential paper files that ensures rec ords are secured, handled, transported, and destroyed in a manner that prevents unauthorized access.
2. Control of access to physical and electronic records to ensure data is accessed only by individuals with a need to know for the delivery of MOU services.
3. Control to prevent unauthorized access and to prevent employees of the Party from providing data to unauthorized individuals.
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4. Firewall protection.
5. Use of encryption methods of electronic data while in transit from the Parties ’ networks to external ne tworks, when applicable.
6. Measures to securely store all data, including, but not be limited to, encryption at rest and multiple levels of authentication and measures , to ensure data shall not be altered or corrupted by third parties . The Parties further re present and warrant that they have implemented and will maintain during the term of this MOU administrative, technical, and physical safeguards and controls consistent with state and federal security requirements.
B. At termination of this MOU and the records retention period required herein , whichever is later, if feasible, the Parties shall return or destroy all information received from the other Part ies. If such return or destruction is not feasible, the Parties shall extend the protections of this MOU to the information and limit further uses and disclosures to those purposes that make the return or destruction of the information infeasible.
XIV. SECURITY BREACH NOTIFICATION
A. All Parties shall have policies and procedures in place for the effective management of Security Breaches, as defined below. In the event of any actual, attempted, suspected, threatened, or reasonably foreseeable circumstance CalOptima or a PHA experiences or learns of that either compromises or could reasonably be expected to comprise C alOptima or PHA data through unauthorized use, disclosure, or acquisition of C alOptima or PHA data ( “Security Breach ”), the Party that has identified the potential Security Breach shall notify the other Party of its discovery within twenty four (24) hours . After such notification, the Party that has identified the potential Security Breach of the other Parties’ data shall, at its own expense, promptly:
1. Investigate to determine the nature and extent of the Security Breach ;
2. Contain the incident by taking necessary action, including, but not limited to, attempting to recover records, revoking access, and/or correcting weaknesses in security; and
3. Report to the other Party the nature of the Security Breach, the data used or disclosed, the person who made the unauthorized use or received the unauthorized disclosure, what has been done or will be done to mitigate any harmful effect of th e unauthorized use or disclosure, and the corrective action that has been taken or will be taken to prevent future similar unauthorized use or disclosure.
B. The Party, whose data has been breached in violation of applicable law , at its sole discretion and on a case -by-case basis, will determine what actions are necessary in response to the breach and who will perform these actions. Actions may include EXHIBIT 1
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but are not limited to: notifications; investigation and remediation costs, including notification of all whose personal information was disclosed; outside investigation; forensics; counsel; crisis management; and credit monitoring. In the event the Party, whose data has been breached, determines that additional action(s) are required, the other Party shall be ar the reasonable costs to remedy the breach . In the event the Party, whose data has been breached, conducts additional actions(s) arising out of or in connection with a Security Breach, the other Party shall reimburse the Party, whose data has been breach ed, for costs associated to legally required actions.
XV. NOTICES
A. All notices required by this MOU shall be submitted to the addresses in this section. Any notice not related to termination of this MOU may be submitted electronically to the address set forth below.
Orange County Housing Authority
1501 E St. Andrew Place
Santa Ana, CA 92705
Anaheim Housing Authority
201 S Anaheim Boulevard
Suite 201, 2nd Floor
P.O. Box 3222
Anaheim, CA 92803-9987
Garden Grove Housing Authority
12966 Euclid St, Suite 150
Garden Grove 92840
Santa Ana Housing Authority
20 Civic Center Plaza
Santa Ana, CA 92701
CalOptima:
Attn: Contracting Department - Director of Contracting
505 City Parkway West
Orange, CA 92868
Email:
B. All mailed notices shall be deemed effective when in writing and deposited in the United States mail, first class, postage prepaid and addressed as above.
[signature pages follow]
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In Witness Whereof, the Parties have signed this by their duly authorized representatives, effective as of the Effective Date.
CALOPTIMA HEALTH
Signature
Yunkyung Kim
Chief Operating Officer
Date
APPROVED AS TO FORM
[insert entity]
By: ______________________________
[insert title]
Date: _____________________
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ORANGE COUNTY HOUSING AUTHORITY
ORANGE COUNTY COMMUNITY RESOURCES
Signature
Julia Bidwell
Print Name
Executive Director
Title
Date
Approved as to Form:
Office of the County Counsel
Orange County, California
John Cleveland, County Counsel Date
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ANAHEIM HOUSING AUTHORITY
Signature
Grace Stepter
____________
Print Name
Executive Director
Title
Date
Approved as to Form:
Ryan Hodge, Deputy City Attorney Date
ATTEST:
By:
City Clerk
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GARDEN GROVE HOUSING AUTHORITY
Signature
Lisa Kim
Print Name
Executive Director
Title
Date
Attest:
Secretary Date
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SANTA ANA HOUSING AUTHORITY
Signature
Michael L. Garcia
______
Print Name
Executive Director
______
Title
Date
Approved as to Form:
Jose Montoya, Assistant City Attorney Date
ATTEST:
By:
Jennifer Hall, Recording Secretary
10/19/2023
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Exhibit A
CalAIM Housing and Health Services
Voluntary Consent Form to Release, Share, and Disclose Confidential Information
Orange County Health Authority dba CalOptima Health is a public agency that provides health care coverage for Orange County residents who a re eligible for Medi -Cal. CalOptima Health is working alongside the [insert Public Housing Authority name] (Housing Authority) to ensure that any interested housing choice or special purpose voucher applicants/participants are not only enrolled for Medi-Cal, if eligible, but also, receiving any and all benefits that they are eligible for and interested in receiving, including ava ilable housing navigation opportunities.
By signing below, I voluntarily agree to allow the Housing Authority to disclose to CalOptima Health the minimum information necessary about me to confirm enrollment in Medi -Cal and provide the services described herein, including confidential information and personally identifying information ,1 for the following purposes:
1. To determine my current enrollment status in Medi -Cal or my interest in registering for Medi-Cal.
2. To aid me in accessing the benefits available through CalAIM, 2 including case management, and assist in providing temporary and or/permanent housing opportunities.
3. To assist in making referrals for various health care benefits, including, but not limited to, CalAIM Enhanced Care Management and Community Supports. 3
4. To monitor the services, I receive to ensure they are beneficial.
By signing below, I further acknowledge and agree that CalOptima Health may contract with third party Medi -Cal providers to provide services to me . For purposes of this form, CalOptima’s contracted Medi-Cal providers include providers that perform the following categories of services:
CalAIM Enhanced Care Management and Community Supports . I understan d, agree, and authorize Housing Authority and CalOptima to disclose information about me for the purposes described above. Please note that the list of CalOptima’s contracted Medi -Cal providers can change frequently and without notice, and therefore the website should be consulted for the most recent list: https://www.caloptima.org/en/ForMembers/Medi -Cal/FindAProvider. This Voluntary
1 For example, this information may include full name, date of birth, social security number and contact information to assist in coordinating Medi-Cal related benefits or CalOptima services.
2 CalAIM is the California Advancing and Innovating Medi-Cal initiative, which the California Department of Health Care Services launched to improve quality of life and health outcom es for the Medi-Cal population by using Medi -Cal as a tool to address challenges facing Medi -Cal members. CalOptima, as a Medi -Cal health plan, participates in CalAIM and assists its Medi-Cal members in obtaining benefits under CalAIM.
3 These services may include: housing transition navigation services, housing deposits, housing tenancy and sustaining services, short-term post-hospitalization housing, recuperative care, respite services, day habilitation services, asthma remediation, medically tailored me als/medically-supportive food, community transition services/nursing facility transition to a home, personal care and homemaker services, environmental accessibility adaptations, and nursing facility transition/diversion to assisted living facilities such as residential care facilities for elderly and adult residential facilities. CalOptima will assist you in determining for which CalAIM services you are eligible.
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Consent Form is effective on the date provided below. Unless otherwise revoked earlier in writing, this authorization expires five (5) years after the date you sign.
I understand that I may terminate this Voluntary Consent Form at any time by submitting a written notice to the Housing Authority. Termination of this Voluntary Consent Form will not apply to information that was shared under this Voluntary Consent Form prior to its termination.
I confirm that I have read the preceding information, agree to its contents, and have re ceived a copy of this form. I also understand that signing this form is voluntary and that I am not required to sign this form. Treatment, payment, or eligibility for benefits provided by the Housing Authority, CalOptima, and CalOptima’s contracted Medi-Cal providers will not be affected if I do not sign this form. Any questions that I may have had have been answered fully and to my satisfaction. I am the individual indicated below, the individual’s legal representative, or am otherwise authorized by the individual to sign the below and accept these terms on their behalf. If I am not the individual, I understand and agree that any references to “I”, “you”, or “my” are deemed to include the individual.
Head of Household or Legal Representative (Print Full Legal Name) Signature Date
Home Address City State Zip Code
Email Address Date of Birth Telephone number
Co-Head/Other Adult or Legal Representative (Print Full Legal Name)
Signature Date
Email Address Date of Birth Telephone number
Other Adult or Legal Representative (Print Full Legal Name)
Signature Date
Email Address Date of Birth Telephone number
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Other Adult or Legal Representative (Print Full Legal Name)
Signature Date
Email Address Date of Birth Telephone number
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