Loan Subordinations 0 0 0 0 0 0 0 0
The number of applications received is typically lower than the number of applications sent out in any given period due to the stringent program guidelines for eligibility regulated by the federal government, which makes it difficult for most applicants to qualify.
The City of Santa Ana’s Residential Rehabilitation Grant Program is designed to improve and preserve affordable housing through the use of federal Community Development Block Grant (CDBG) funds. The Program is administered by Habitat for Humanity of Orange County on behalf of the City. The Program provides grants of up to $25,000 for eligible home repairs for low-income homeowners at or below 80% of the Area Median Income (AMI) as defined by the U.S. Department of Housing and Urban Development (HUD). Eligible activities include the repair, replacement, and/or installation of major systems including plumbing, heating, electrical, windows, roof, paint, and handicap accessibility. The Fiscal Year 2023-24 funding for this program was renewed by City Council on May 2, 2023. As of December 31, 2023, the city has received 15 applications and 10 of those applications have been approved for a rehabilitation project and one (1) project has been completed. The City no longer has any funding available to accept additional applications.
Emergency Solutions Grant Program
The City of Santa Ana’s Emergency Solutions Grant program provides funding to engage homeless individuals and families living on the street, to improve the number and quality of emergency shelters for homeless individuals and families, provide essential services to shelter residents, rapidly rehouse homeless individuals and families, and prevent families/individuals from becoming homeless. As of July 1, 2023, the City has entered into agreements with the Santa Ana Police Department and four nonprofits to deliver these services. During this second quarter, organizations have worked diligently to enroll and deliver services to our residents. Quantitative data for this quarter is reflected below:
Organization Name Project Name Clients Served
(Oct – Dec 2023)
Santa Ana Police Department HEART Program 28
Illumination Foundation Rapid Rehousing 0
Illumination Foundation Homeless Prevention Program 3 individuals / 1 household WISEPlace Steps to Independence 2
Down Payment Assistance Loan Program
For the Down Payment Assistance Loan Program (DPAP), staff evaluates applicant eligibility and oversees underwriting to ensure compliance with program guidelines and requirements established by HUD. During this quarter, staff conducted the following outreach and education on the program:
City Council 10 – 2 2/20/2024
Housing Division Quarterly Report
February 20, 2024
• Staff conducted one (1) virtual workshop via Zoom together with NeighborWorks of Orange County with a total of nine (9) attendees. These workshops are conducted every second Tuesday of the month.
• On October 3, staff participated in the PNC Bank Homebuyer Workshop event at the Boys and Girls Club of Santa Ana. Staff had the opportunity to present information on the program, set up a resource table at the event, and answer questions regarding the program.
• On October 7, staff participated in the Santa Ana Mid-Autum Festival event at Centennial Park, providing information to attendees.
• On October 12, staff attended the Affordable Housing Clearinghouse Community Reinvestment Forum event at Santa Ana Community College – Johnson Student Center to learn more about Expanding Affordable Homeownership Opportunities in Orange County.
• On October 14, staff participated in the Madison Park – 18th Annual Walk-AThon, Resource Fair, and Cultural Festival Community Event. Approximately 150 attendees stopped by our booth requesting information on our downpayment assistance program.
• On October 21, staff participated on a panel at the NeighborWorks Home Buyer Fair at the Anaheim Downtown Community Center and provided a resource table. Attendees had the opportunity to meet with different lenders and learn about different first time home buying programs available throughout the county. • On November 20, staff provided information on the Down Payment Assistance Program at the Santa Anita Neighborhood Association event at Cesar Chavez Campesino Park.
As a result of these efforts, four (4) down payment assistance loan applications were approved and four (4) closed escrow.
In December, the City of Santa Ana’s Down Payment Assistance program was awarded a “Turning Red Tape into Red Carpet Award” from the Orange County Business Council (OCBC). The City’s OCBC award was in the category of Building and Land Reuse and Community Revitalization.
Loan Portfolio Management and Monitoring
The Housing Division is responsible for managing the residential loan portfolio, which includes all of the loans entered into by the City and Housing Authority acting as the Housing Successor Agency. As of the end of the second quarter, the principal balance was $149,808,101.80. This portfolio is comprised of 346 loans, of which 324 are deferred or residual receipt payment loans. As shown in Table 2, the loan portfolio generated $677,654.47 in payments of principal and interest during the second quarter.
The amount of residual receipts payments changes every quarter.
City Council 10 – 3 2/20/2024
Housing Division Quarterly Report
February 20, 2024
Table 2: Portfolio Revenue
HOME CDBG Redevelopment CalHome
Loan Payoffs $68,870.47 $80,000 $31,797.35 $10,866.25
Residual Receipts
Payments $420,950.00 $0 $38,146.75 0
Amortized Loan
Payments $789.38 $4,852.13 $21,382.14 0
Total for Q2 $490,609.85 $84,852.13 $91,326.24 $10,866.25 Monitoring
As part of the requirements for these loans, staff must monitor the owner-occupancy of single-family homes that have received loans, and the building code compliance of units in rental projects with long-term affordability covenants. During this quarter, 48 owneroccupancy recertification letters were mailed and 36 were returned and processed. This number includes letters sent from previous months. Staff also conducted a total of 12 inspections during this quarter.
Density Bonus Agreements
The California Density Bonus law allows developers proposing five or more residential units to request incentives or concessions in exchange for providing affordable units on site. To help make constructing on-site affordable units feasible, the law allows developers to seek up to three incentives/concessions and an unlimited number of waivers, which are variances from development standards that would help the project be built without significant burden and without detriment to public health. As of the date of this report, the City of Santa Ana has entered into the following Density Bonus Agreements:
Date of
Agreement Housing Development Address Affordable Units
October 2018 Metro East Senior Park 2222 E. First St.
415 rental units restricted
for very low income and
low income or senior
tenants
August 2018 First Point I & II Apartments 2110, 2114, and 2020 E. First St.
547 rental units restricted
for very low income and
low income tenants
February 2019 Legacy Square 609 North Spurgeon St.
92 rental units restricted
for very low income and
low income tenants
November 2019 The Rafferty 114 & 117 E. Fifth St.
11 rental units restricted
for very low income
tenants
December 2021 FX Residences
801, 807, 809,
and 809 ½
East Santa Ana Blvd
16 permanent supportive
housing units
June 2022 WISEPlace 1411 N. Broadway 47 permanent supportive housing units
August 2022 Brandywine Acquisition
Group 1814 & 1818 E. First St.
4 townhomes restricted for
sale to moderate-income
buyers
City Council 10 – 4 2/20/2024
Housing Division Quarterly Report
February 20, 2024
October 2023 Unison Real Estate Group 1212 E. 4th St. 1 rental unit for Very Low Income
Development Impact Fee Deferral Agreements
Development impact fees are a one-time charge to new developments imposed under the Mitigation Fee Act. These fees are charged to new developments to mitigate impacts resulting from the development activity and cannot be used to fund existing deficiencies. This means that for improvements that benefit existing as well as new development, impact fees can only pay for the portion of the improvement that benefits the new uses. Impact fees must be adopted based on findings of a reasonable relationship between the development paying the fee, the size of the fee, and the use of fee revenues. Development impact fees do not require voter approval and are commonly used by cities to address the impact of new development on schools, parks, transportation, etc.
Prior to issuance of any building permits, the City currently requires the payment of various development impact fees. However, affordable housing developers may submit a request to defer specific development impact fees for their property pursuant to California Government Code section 66007. The City and owner then execute a Development Impact Fee Deferral Agreement to defer certain development impact fees applicable to the property and place a lien on the property to secure payment of these fees, which are due before the issuance of the certificate of occupancy or the final building check. As of the date of this report, the City has entered into the following outstanding Development Impact Fee Deferral Agreements that are pending payment:
Date of
Agreement Developer Housing Development Address
Estimated Total Fees
Due
December 2021 Shelter Providers of
Orange County
802, 809, 809 ½ East
Santa Ana Blvd. $510,000
July 2022 Washington Santa Ana
Housing Partners
1126 &1146 E.
Washington Ave. $652,717
Rent Stabilization Program
Effective November 18, 2022, the City Council adopted an amended Rent Stabilization and Just Cause Eviction Ordinance (Ordinance) that included a number of changes.
The amended Ordinance expands the administration and enforcement of renter protections for Santa Ana residents by establishing a rental housing board and a rental registry program. The amended Ordinance also includes additional petitions for tenants and landlords, voluntary mediation services, and other enhancements.
The City has prepared user-friendly information on the Ordinance for both tenants and landlords on the City’s webpage, including the full Ordinance and answers to Frequently Asked Questions in English, Spanish, and Vietnamese. Tenants and landlords are encouraged to sign up to receive the latest updates.
City Council 10 – 5 2/20/2024
Housing Division Quarterly Report
February 20, 2024
Program Updates
This project has met many critical milestones over the course of Quarter 2 (Q2). The City of Santa Ana Rent Stabilization Division hired a Division Manager to oversee the program. This is the first position filled within the Division. The City will continue to work with RSG, Inc. on the long-term implementation of the Ordinance while working on hiring staff and developing a team to continue to provide service to our community.
The City of Santa Ana Rent Stabilization and Just Cause Eviction Ordinance requires landlords to register their rental units with the City. The deadline for rental registration was December 31, 2023. Staff provided in person and over the phone support to landlords with the rental registry process. Under the “Ordinance” Section 8-3147, property owners may file a property exemption. Staff reviewed and processed 859 property exemptions before December 31, 2023, ensuring a smooth and efficient process. During this quarter period, 18 petitions were received from tenants and landlords. Staff reviewed all of the 18 petitions.
Staff conducted a series of virtual workshops to assist landlords with completing the registration process in the Rental Registry. In Q2, staff conducted the last workshop of the series by providing one (1) informational workshop for property owners.
In addition to the progress made towards the long-term implementation of the Rent Stabilization Program, staff has continued to serve the community in the following ways throughout Q2:
• Reviewed and revised the rental registry portal by improving features for ease of use.
• Reviewed and made continuous improvements to the layout, content, and forms on the Renter Protections webpage for easier access and understanding. • Fielded calls and emails from the public and provided information, referrals, and education to renters and property owners on the City’s Ordinance. • Provided walk-in assistance to answer questions from property owners and assist with the Rental Registry at the Santa Ana WORK Center at 801 W. Civic Center Drive, Suite 200, Santa Ana, CA 92701.
• Currently accepting applications for appointment of the Rental Housing Board. • Two new board members were appointed to serve on the Rental Housing Board.
Residents Served
During this quarter, staff and RSG fielded calls from the public and provided information and education to renters and property owners on the Ordinance. A breakdown of the number of inquiries is as follows:
Month # of Inquiries
October 2023 870
November 2023 549
December 2023 690
Total 2109
City Council 10 – 6 2/20/2024
Housing Division Quarterly Report
February 20, 2024
Staff also conducted one (1) workshop for property owners to assist with navigating the Rental Registry:
The City regularly distributes important updates and information to Santa Ana residents.
During this quarter, staff informed the public of programmatic updates via social media, newsletters, and email distribution lists, reaching a total of 38,238 Santa Ana residents.
Available Funds and Land Assets for Affordable Housing Development Projects The City of Santa Ana and the Housing Authority acting as the Housing Successor Agency manages multiple sources of local, state, and federal funds to develop affordable housing. Exhibit 1 provides a summary of the funds available as of December 31, 2023.
Affordable Housing Opportunity and Creation Ordinance
On-Site Development
Since 2011, a total of 33 units have been developed on-site as a result of the Affordable Housing Opportunity and Creation Ordinance, including 23 ownership units for-sale and 10 rental units:
Units Built On-Site
Ownership Rental Total
23 10 33
In-Lieu Fees Generated
All in-lieu fees, penalties, and other monies collected pursuant to the Ordinance, including interest, are deposited into the Inclusionary Housing Fund. Since inception, the Inclusionary Housing Fund has generated $29,277,446 to be used for the development of housing affordable to low- and moderate-income households, with a reasonable amount spent on administrative or related expenses associated with the administration of the Ordinance.
Inclusionary Housing In-lieu Fees Received per Fiscal Year FYs
2009-2018
FY
18/19
FY
19/20
FY
20/21
FY
21/22
FY
22/23
FY
23/24
$10,563,306 $7,236,945 $0 $3,709,875 $6,933,320 $0 *$834,000 *On October 17, 2023, the owner of The Met paid $834,000 in in-lieu fees based upon their Development Agreement.
Month # of Registrants
October 5, 2023 21
Total 21
City Council 10 – 7 2/20/2024
Housing Division Quarterly Report
February 20, 2024
In-lieu fees generated have been used to develop new affordable homeownership and rental housing opportunities as well as provide emergency shelter. Below is a summary of how in-lieu fees have been used by the City:
Project or Program Inclusionary Housing
Funds SPENT # of Units Address
Santa Ana Arts
Collective $4,775,000 57 1666 N. Main Street
La Placita Cinco $1,300,000 50 2239 West 5th Street
The Link Interim
Emergency Shelter $7,893,866 N/A 2320 S. Redhill Avenue Archways Santa Ana
(formerly called
Westview House)
$1,514,113 84 2530 and 2534
Westminster Avenue
Habitat for Humanity
“Lacy & Vance” $565,271 2
826 N. Lacy Street &
830 N. Lacy Street
WISEPlace Steps to
Independence Public
Service Program
$90,000 N/A N/A
Down Payment
Assistance Program $800,000 9 N/A
TOTAL $16,938,250 202
Project Inclusionary Housing
Funds COMMITTED # of Units Address
Habitat for Humanity
“Washington Street” $2,200,000 6
1921 W. Washington
Ave.
Down Payment
Assistance Program $1,697,021 N/A N/A
TOTAL $3,897,021 6
Affordable Housing Development Projects
There are six (6) affordable housing projects under construction and two (2) affordable housing projects in pre-development. Below is a brief summary and status-update for each project. Exhibit 2 provides a development timeline for each project. The most recent RFP for Affordable Homeownership Opportunities was issued on October 19, 2023 and the first review deadline was on December 15, 2023. One proposal was received and it is currently under review.
Projects under Construction
Estrella Springs (1108 N. Harbor) (Formerly called North Harbor Village) Developer Jamboree Housing Corporation
Description Acquisition and rehabilitation of a former motel yielding 89 units of permanent supportive housing.
City Council 10 – 8 2/20/2024
Housing Division Quarterly Report
February 20, 2024
City / Authority
Funds
CDBG ($1,687,047); Eight-nine (89) Project-Based Vouchers (PBVs) consisting of 34 HUD-VASH PBVs and 55 regular PBVs.
Update
During this quarter, construction activities include insulation, drywall, paint cabinets completion in building C. Building A drywall and insulation and interior work is in progress. Plan changes have been implemented for Framing, Grading, Fire Sprinklers, planter walls and corresponding drainage and landscaping and added shade structure. The clarified Solar underground work commenced along with added Future EV ready connections and landscape irrigation work. Transformer has been set and energized. Electrical trim is underway in units. Flatwork is nearing completion. Cabinets are in progress as well as stucco work in building A. The current schedule is subject to change pending approvals from the city on our plan revisions. Completion is anticipated for March 2024.
Archways Santa Ana (2530 Westminster Avenue) (Formerly called Westview House) Developer Community Development Partners with Mercy House as the service provider Description
New construction of an affordable multifamily apartment development consisting of 84 units of both large family and PSH units and one (1) manager’s unit. Twenty-six of the units will be funded by Mainstream Program PBVs and Mental Health Services Act (MHSA) funds through the No Place Like Home (NPLH) program.
City / Authority
Funds
Inclusionary Housing ($1,514,113), HOME Investment Partnerships Program ($2,003,705), Rental Rehabilitation Program ($386,523), and twenty-six (26) Mainstream Program PBVs
Update
Installation of cabinets and finish carpentry is occurring through late January.
The final work order from SCE was received on 12/20. Since then, Walton has met with SCE for a pre-trenching meeting regarding providing power to the building. SCE's protocol continues to result in delays and may not allow them to energize the buildings until mid-March at the latest. We are working with SCE and are pushing to have this occur closer toward the end of February. We still expect to welcome residents in April of this year. The team is also holding meetings with SoCalGas, Spectrum, and AT&T for additional utility coordination. We held our first lease-up meeting with FPI on 1/8, and they are gearing up to make the project website live within the next two weeks. Construction is expected to be complete by early March 2024.
Crossroads at Washington (1126, 1136, and 1146 E. Washington Avenue) Developer The Related Companies of California with A Community of Friends as codeveloper and lead service provider Description
New construction of a 100% affordable multifamily apartment complex consisting of 85 units of rental housing and one (1) manager’s unit. All units will be affordable to households earning less than 30% AMI of which 43 units will be set-aside for permanent supportive housing.
City / Authority
Funds
HOME Investment Partnerships Program (HOME) ($3,007,489), Neighborhood Stabilization Program ($1,637,420), sixty-five (65) year ground lease agreement for 1126, 1136, and 1146 E. Washington Avenue (Appraised Value as of September 22, 2019: $4,108,136) and fifteen (15) PBVs City Council 10 – 9 2/20/2024
Housing Division Quarterly Report
February 20, 2024
Update
The project is 80% complete. The contractor is working on installing flooring, trims, and hardware for building 1136 and installing cabinets, painting kitchens and baths, and preparing to remove scaffolding in building 1146. The electronic lottery for the general affordable units has been conducted and the property management team is contacting applicants to schedule interviews.
The developer continues to work with the Corporation for Supportive Housing and Orange County staff to begin the referral process for the permanent supportive housing units.
Habitat for Humanity (826 N. Lacy and 830 N. Lacy Street) Developer Habitat for Humanity of Orange County (Habitat) Description New construction of two single-family detached homes for homeownership serving households up to 120% AMI.
City / Authority
Funds
Inclusionary Housing ($565,271) and a 99-year ground lease agreement for 416 Vance Street and 826 N. Lacy Street (Appraised Value as of Oct 25, 2018: $578,000)
Update
During Q2, both homes underwent final inspections. The two-story Victorian (826 N. Lacy) home passed all final inspections and received completion signoff. The family closed on their mortgage loan at the end of November and moved in December 2023.
The one-story Craftsman (416 Vance St. now 830 Lacy St.) home has received sign-off on most inspections and is pending sign-off from the Planning and Building Agency. These inspections have been scheduled for January 2024. The family for this home is anticipated to have loan approval and closing by the end of February or early March 2024 at which time they will move in.
The street light post for this project will be installed in late February 2024. Edison’s demand for concrete light posts has impacted the supply and caused delays.
Habitat continued to engage volunteers through Q2. From the beginning of the project to date, there have been 1,304 unique volunteers with a total of 24,000 hours.
WISEPlace Permanent Supportive Housing (1411 N. Broadway) Developer Jamboree Housing Corporation with WISEPlace as the co-developer and lead service provider
Description Adaptive reuse and new construction of the WISEPlace building to provide 47 permanent supportive housing units, and one (1) manager’s unit.
City / Authority
Funds HOME-American Rescue Plan ($5,256,327); Twenty-five (25) PBVs Update
The developer closed on their construction loan financing and began construction in March 2023. The slab was poured on October 13, 2023. The construction crew is currently working on rough mechanical, electrical, and plumbing and installing a new fire hydrant on Broadway. The project is over City Council 10 – 10 2/20/2024
Housing Division Quarterly Report
February 20, 2024
90% bought out and working on submittals while framing is completed. The expected construction completion date is November 2024.
FX Residences (801, 809, 809 ½ East Santa Ana Boulevard) Developer HomeAid Orange County, Inc. with Mercy House as the service provider Description New construction of an affordable multifamily apartment complex consisting of 16 units of permanent supportive housing, and one (1) manager’s unit.
Authority
Funds
Housing Successor Agency ($1,656,947), three (3) PBVs, 99-year ground lease agreement for 801 E. Santa Ana Blvd. (Appraised Value as of Oct 25, 2018: $788,000)
Update
Block wall completed the week of 10/6. The second-floor framing began the week of 10/10 and was completed the week of 11/3. Rough electrical and sprinkler began 11/13 and is slated to be complete in the first weeks of January. Roofing began on 11/20 to be completed in the 2nd week of January. The developer worked with OCFA and the City’s Public Work Agency on relocation of the underground water pump, completed first week of January 2024. Windows were installed in December. The developer had the site waterproofed by the end of December to avoid rain delays during the potential rainy season. Completion of the project is estimated by in May 2024.
Projects in Pre-Development
Habitat for Humanity (1921 W. Washington Avenue)
Developer Habitat for Humanity of Orange County
Description New construction of three (3) duplexes / six (6) homes for homeownership serving households up to 80% AMI.
City Funds Inclusionary Housing Funds ($2,200,000)
Update
Habitat worked through the City’s comments following their second resubmittal. Habitat submitted responses in December 2023. With a delay in demolition, volunteers came together for a site cleanup and removed excess growth that could have become a safety risk. A demolition permit was pulled, and the demo is scheduled for January 2024.
Richard Lehn Intergenerational Housing (918 N. Bewley Street) (Formerly Bewley Street Intergenerational Housing Project)
Developer Illumination Foundation
Description Rehabilitation of 2 two-story residential buildings into eleven (11) rental units for homeless transitional-age youth and senior citizens.
City Funds Homeless Housing, Assistance and Prevention (HHAP) ($2,021,319); Eight (8) PBVs
Update
CalOptima awarded $3 million for the purchase and rehab of the project. The second Sunshine Ordinance meeting was held in October. The developer has provided all the follow-up information requested by the City’s Planning and Building Agency and is currently waiting on a response. The developer is also working with the City’s consultant on their NEPA environmental review. Head Start started the remodel of the pre-school.
City Council 10 – 11 2/20/2024
Housing Division Quarterly Report
February 20, 2024
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1. Available Funds for Affordable Housing Development Projects
2. Project Timelines
Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Tom Hatch, Interim City Manager
City Council 10 – 12 2/20/2024
Available Funds for Affordable Housing Development Projects As of December 31st, 2023
Housing Successor Agency (Housing Authority)
$3,964,706 Cash on Hand
($165,695) Frances Xavier Residence Project Pre-Commitment Loan 1 ($250,000) Administrative Costs Allowance 2
($3,228,742) Administrative Costs Allowance for Future Fiscal Years 3 ($307,386) Crossroads at Washington Option Agreement Amendment 4 ($12,883) Crossroads at Washington Environmental Assessment Oversight 5 $0 Available Funds
Inclusionary Housing Funds
$9,278,075 Cash on Hand
($1,697,021) Down Payment Assistance Program 6
($56,527) Lacy Street Project Grant 7
($151,411) Westview House Loan 8
($37,500) Westview House Project Cost
($2,200,000) 1921 W. Washington Project Pre-Commitment 13 ($2,112,076) Administrative Costs Allowance (CDA/PBA)
$3,023,540 Available Funds
HOME Program
$8,861,752 Funds to Drawdown
($300,749) Crossroads at Washington Loan 10
($200,371) Westview House Loan 8
$8,360,632 Available Funds to Drawdown
HOME-American Rescue Plan Program (PSH Projects Only)
$1,464,630 Funds to Drawdown
($1,464,630) WISEPlace PSH Loan 12
$0 Available Funds to Drawdown
CDBG Program (Acquisition/Rehabilitation Projects Only) $4,690 Funds to Drawdown
$4,690 Available Funds to Drawdown
Rental Rehabilitation Grant Program
$49,063 Cash on Hand 11
($38,652) Westview House Loan 8
$10,411 Available Funds
$11,399,273 Total Available Funds
1 Approved by Housing Authority on January 15, 2019. Additional $587,000 approved by Housing Authority on December 7, 2021. 2 The Housing Successor Agency relies on available cash to fund the monitoring and compliance functions related to the former Redevelopment Agency's housing loans. 3 Funds to be set aside for compliance and monitoring requirements due to uncertainty of future repayment revenues. 4 Approved by Housing Authority on December 15, 2020. Additional $150,000 maximum approved by Housing Authority on August 17, 2021 (2nd Amendment to Option Agreement). 5 Approved by Housing Authority on July 20, 2021.
6 $400,000 originally approved by City Council on March 6, 2018. Nine loans paid through end of September 2021. Additional $1,200,000 approved by Council on November 2, 2021. 7 Approved by City Council/Housing Authority on March 5, 2019. Additional $333,777 approved by City Council on April 6, 2020. 8 Approved by City Council on May 17, 2022.
10 Approved by City Council on June 21, 2022.
11 Old program income available after close out of program with HUD. 12 Approved by City Council on March 7, 2023.
13 Approved by City Council on November 15, 2022.
Exhibit 1
City Council 10 – 13 2/20/2024
EXHIBIT 2
Current Affordable Housing Development Project Timelines Projects under Construction
Estrella Springs – 1108 N. Harbor (Formerly called North Harbor Village) Mar 19 Start of design development
Mar 19 Applied to FHLBSF for AHP Financing ($890,000)
Mar 19 Award of VASH Vouchers & City Loan by City Council (89 Vouchers and $1,687,047)
Mar 19 Start environmental approval process with City of Santa Ana (CEQA/NEPA) Mar 19 Applied for Home Depot Grant ($500,000)
Jun 19 CEQA / NEPA Approval – City of Santa Ana
Jun 19 AHP Award Date ($890,000)
Aug 20 Applied to HCD for MHP 1st Round Funding ($13,316,412) Dec 19 Notified project did not receive 1st Round MHP funding Feb 20 Applied to HCD for VHHP Funding ($10,000,000)
Mar 20 Applied to HCD for MHP 2nd round funding
Mar 20 Applied to OCHFT Financing ($2,292,920)
May 20 Notified project did not receive 2st Round MHP funding May 20 Received OCHFT funding award ($2,292,920)
Jun 20 Received VHHP funding award ($10,000,000)
Jun 20 Submitted Plans for Ministerial Design Approval
Jun 20 Applied for CDLAC tax-exempt bond allocation ($24,000,000) Jul 20 Applied for TCAC 4% competitive state and federal tax credits ($9,896,911) Sept 20 CDLAC Allocation
Nov 20 Ministerial Design Approval (upon completion of community meeting on 11/4/2020)
Oct 20 TCAC Allocation
Oct 20 Start construction documents for rehab
Nov 20 Submit first plan check
Dec 20 Awarded Home Depot Grant
Jan 21 Receipt of first plan check comments
Jan 21 Submit second plan check
Feb 21 Receipt of second plan check comments
Feb 21 Submit third plan check
Mar 21 Received permit ready
Apr 21 Construction loan closing
Apr 21 Pull Permits and start construction
May 21 Site Demolition
Dec 21 Work on mock up units begins
Jun 22 Structural retrofitting and repairs
July 22 Roofing and Framing
Aug 22 Stock drywall & Inspections
Aug 22 Gutter, Awning and Painting & installation of stairs Oct 22 OCHFT Loan finalized
Apr 23 Interior refurbishments & finishes
City Council 10 – 14 2/20/2024
EXHIBIT 2
Aug 23 Elevator
Sept 23 Plan resubmittal/Plan Coordination
Oct 23 Roof/Drywall
Nov 23 Complete Flooring
Jan 24 Stucco
Jan 24 Interiors/Fixtures & Appliances/
Jan 24 Lease up
Jan 24 Scaffold finishes
Mar 24 Final Cleaning
Mar 24 Grading/Paving for parking lot and site work
Mar 24 Construction Completion
Jun 24 Full Occupancy
Archways Santa Ana – 2530 Westminster Ave (Formerly called Westview House) Oct 19 City of Santa Ana RFP submittal
May 20 OC 2020 Supportive Housing NOFA Submittal
Dec 20 OC 2020 Supportive Housing NOFA award
Jan 21 City of Santa Ana PBV Award
Jan 21 Construction/permanent debt commitments
Jan 21 Receive Entitlements
Jan 21 No Place Like Home application
Mar 21 OCHFT application
May 21 OCHFT Award
Jun 21 No Place Like Home commitment
Sep 21 CDLAC/TCAC 4% application
Dec 21 CDLAC/TCAC 4% award
May 22 Close on construction financing
Jun 22 Construction permits issued
Jun 22 Construction start
Nov 22 Groundbreaking Ceremony
Dec 22 Grading activities completed and concrete poured Apr 23 Floor Sheathing & Pre-Rough complete in Buildings A & B Jun 23 Rough framing and roofing are complete
Jun 23 Window installation in both buildings
Jul 23 Working on utility rough-ins
Jul 23 Roof Truss in Building B
Jul 23 Drywall Production
Jan 24 Lease Up
Mar 24 Construction complete
Jul 24 All units Leased
Dec 24 Perm Debt Conversion
City Council 10 – 15 2/20/2024
EXHIBIT 2
Crossroads at Washington – 1126,1136 and 1146 E. Washington Avenue Aug 19 Submitted PSH application to County
Oct 19 Submitted for Planning entitlements
Oct 19 Community meeting
Nov 19 Approval of Joint Powers Agreement, Option to Ground Lease, Voucher Resolution and Cooperation Agreement, and Regional Housing Needs Assessment (RHNA) Agreement and Density Bonus
Dec 19 NEPA EA City Approval – City of Santa Ana submits NEPA EA to HUD Feb 20 PSH Funds and Voucher approval from County Board of Supervisors Feb 20 Planning entitlements approved
Mar 20 TCAC 9% Application – 1st Round 2020
Jul 20 TCAC FCAA/9% Application – 2nd Round 2020
Oct 20 TCAC FCAA/9% Award – 2nd Round 2020
Mar 21 Submitted OCHFT PSH NOFA Application
May 21 OCHFT PSH NOFA Award
Dec 21 Submit DTSC Equitable Community Revitalization Grant (ECRG) PreQualifying Application Feb 22 Submit for 1st plan check
Mar 22 DTSC approves draft Removal Action Workplan; draft Removal Implementation Plan under review
Apr 22 DTSC ECRG Full Application
Jul 22 DTSC ECRG Award
Jul 22 City issues permit ready letter
Jul 22 Construction finance closing/Start construction
Nov 22 Building foundation complete
Dec 22 Framing began
Aug 23 Interior work, installation of cabinets & doors for Building 1136 Sept 23 Installing the insulation and hanging drywall on Building 1146 Nov 23 Lease up Wait list open
Jan 24 Lease up Interviews
Mar 24 Construction complete
Jul 24 Full occupancy
Habitat for Humanity – 826 N. Lacy Street & 830 Lacy Street May 20 DDA signed
June 20 Prepare grading plans
Oct 20 Prepare architectural plans
Oct 20 Submit Neighborhood Review Application
Feb 21 Final Approval from Historic French Park Committee Apr 21 Submit Site Review Application
Dec 21 Submit grading/ Non-Priority WQMP
Jan 22 Submit architectural plans
May 22 Planning Commission Approval
Jul 22 Grading permit issued
Aug 22 Groundbreaking
Aug 22 Building Permits issued
City Council 10 – 16 2/20/2024
EXHIBIT 2
Aug 22 Commence Grading
Sep 22 Begin Foundation Construction
Oct 22 Framing Ceremony/Framing Construction Begins
Jan 23 Roof diaphragm sheathing and exterior sheathing completed Jan 23 Roof sheathing/frame and shear walls Inspection
Jan 23 Buildings dried in
Jan 23 House wrap and waterproofing
Jan 23 Drywall stack complete
Jan 23 Exterior Door installation complete
Jan 23 Homebuyer outreach and application open
Feb 23 Window installation complete
Feb 23 Rough in plumbing
Feb 23 Rough in electrical
Feb 23 Rough in mechanical
Feb 23 Rough in fire sprinkler- OCFA
Mar 23 MEP Inspection
Mar 23 OCFA Inspection
Mar 23 Structural/framing complete
Mar 23 Structural/framing Inspection
Mar 23 Seal exterior penetrations
Mar 23 Wood siding started
Mar 23 Start exterior wood trim carpentry-ongoing
Mar 23 Insulation completion and inspection
Mar 23 Drywall hanging
Mar 23 Preliminary homebuyer application review
May 23 Habitat for Humanity Leaders Build on-site
May 23 Re-launchHomebuyer outreach
May 23 Interior paint completed
Jun 23 Porch-flatwork, interior door installation and cabinetry installation Jul 23 Painting completion
Jul 23 Homebuyer application review and selection
Jul 23 Gas pressure test inspection
Aug 23 Roofs finished
Aug 23 Water meter release (Backflow device inspection) Aug 23 Electrical meter release
Sep 23 Families income qualified as moderate-income families and meet the City program ratios
Sep 23 Street improvements (curbs, asphalt, and ADA ramp) Sep 23 Solar inspection
Sep 23 Orange County Fire Authority Final inspection
Sep 23 SCE trench inspection
Sep 23 Flatwork completed
Sep 23 Family Dedication Day Ceremony
Oct 23 Construction Completion
Nov 23 Police Final Inspection and sign off
Nov 23 826-Planning final inspection and sign off
City Council 10 – 17 2/20/2024
EXHIBIT 2
Nov 23 826-Public Works final inspection and sign off
Nov 23 826-Building final inspectionand sign off
Nov 23 826-Compliance final inspection and sign off
Dec 23 826- Homeowners move in
Jan24 830-Planning final inspection and sign off
Jan 24 830-Building final inspection and sign off
Jan 24 830-Compliance final inspection and sign off
Feb 24 Street Light Pole installed
Feb/Mar 24 Homeowners move in
WISEPlace Permanent Supportive Housing – 1411 N. Broadway May 19 Start of conceptual design development
Sept 19 Applied to City of Santa Ana for Financing
Feb 20 Notified not awarded City of Santa Ana Financing Mar 20 Applied to Orange County Housing Finance Trust (OCHFT) Financing Apr 20 Met with City of Santa Ana Planning Staff on entitlements May 20 Notified not awarded OCHFT Financing
Jun 21 Met with City of Santa Ana staff to review revised conceptual plans Jan 22 Submitted Historic Resource Commission and entitlements application to City of Santa Ana
Feb 22 Applied to City of Santa Ana for HOME-ARP Funding and PBVs Mar 22 City of Santa Ana Historic Resource Commission Approval Mar 22 Applied to OCHFT Financing
Mar 22 Applied to AHP Financing
Apr 22 Awarded City of Santa Ana for HOME-ARP Funding and PBVs May 22 Awarded OCHFT Funding
May 22 City of Santa Ana Planning Commission Approval of entitlements May 22 City of Santa Ana Community Development Commission Approval of Funding and Density Bonus Agreement (DBA)
Jun 22 Notified not awarded AHP Funding
Jun 22 Applied to County of Orange for ARPA Funding
Jun 22 City of Santa Ana City Council Approval of DBA
Jun 22 Awarded County of Orange ARPA Funding
Jun 22 Applied for TCAC 9% competitive federal tax credits Sept 22 TCAC Allocation
Sept 22 Start Construction Documents, Plan Check and Permitting Jan 23 Closing Kick Off
Mar 23 Receive grading permit and building permit ready letter Mar 23 Construction loan closing
Mar 23 Pull Permits and start construction
Apr 23 Site Demolition
Jun 23 Groundbreaking Ceremony
Jul 23 Storm drain system complete
Aug 23 Concrete footings & Columns Complete
City Council 10 – 18 2/20/2024
EXHIBIT 2
Sept 23 Structural Framing on Existing Building Complete Oct 23 Concrete pour ground floor slab on grad complete Nov 23 Podium Complete
Jan 24 Framing Second to Fourth Floors Complete
Mar 24 Roof Framing CompleteJun 24 Dry In Complete
Nov 24 Construction Complete
May 25 100% Full occupancy (6 months)
FX Residences – 801, 809, 809 ½ E. Santa Ana Boulevard
Jan 19 Council approval for land lease and project funding Jan 19 Submittal of application for NPLH funding
Feb 19 Confirm with City staff that project site can yield additional units under existing zoning
Mar 19 Revise conceptual drawings for additional 5 units (17 total units, up from the original 12 units)
Mar 19 SNHP funding application submitted to County
Apr 19 City staff to review revised conceptual design
Apr 19 Begin development agreement
May19 Board of Supervisors meeting for SNHP funding
Jul 19 Execute Development Agreement
Jul 19 Formal awards letters for NPLH funding to be issued Aug19 Initial planning submittal
Sept19 Sunshine Ordinance Meeting
Mar 21 Planning Commission Meeting (ministerial approval of density bonus) Oct 21 Submit for first plan check
Dec 21 City Council Meeting (ministerial approval of density bonus) Dec 21 City Council approval of additional $587,000 for construction costs Feb 22 Building permit submittal
Mar 22 Received 1st set of comments back from Plan Check, consultants working on responses.
Jul 22 FX Funding Closing Meetings begin, 2nd Building Plan Submittal Aug 22 Building and Grading comments being addressed
Oct 22 Construction Funding Closing process is underway Dec 22 Dry closed funding for CalHFA/SNHP and City of Santa of Santa Ana April 23 Met with city planner to clarify all comments on 3rd submittal April 23 Submit 4th building review & OCFA building review May 23 Pull Building Permits & PGP Permits
June 23 Groundbreaking Ceremony
July 23 Start of Construction
Aug 23 Grading, trenching and forming underway
Sept 23 Foundation poured.
Oct 23 Block Wall along North property line completed.
Oct 23 First floor framing begun
Nov 23 1st and 2nd floor framing complete
Dec 23 Roofing
Jan 24 MEP Inspection
City Council 10 – 19 2/20/2024
EXHIBIT 2
Jan 24 Drywall Texture
Jan 24 Solar Start
Jan 24 Scaffolding down
Feb 24 Water main and storm drain work to begin.
Feb 24 Cabinetry Install
Feb 24 Electric Finish and Grade Finish
Mar 24 Landscape start a
Mar 24 Solar Finish
Mar 24 Landscape finish
Mar 24 Flooring finish
Apr 24 Electric meter and appliance install
Apr 24 Final Paint Start
Apr 24 Final Paint Finish
May 24 Certificate of Occupancy
Projects in Pre-Development
Habitat for Humanity – 1921 Washington Avenue
Dec 21 Habitat for Humanity OC closed escrow on property Aug 22 Subsidy Approval from Community Development Commission Nov 22 Subsidy Approval from City Council
Dec 22 Submit Demo Permit Application
Jan 23 Demo Permit Issued
Feb 23 Submit Site Plan Review Application
Mar 23
Apr 23
First Sunshine Ordinance Meeting
Geological Soils Testing
May 23 Second Sunshine Ordinance Meeting
Jun 23 Second Sunshine Ordinance Meeting report submitted Jun 23 Responses to comments received submitted
July 23 Comments from second submittal received
Meeting with Planning to discuss comments and density bonus waiver requests
Aug 23 Meetings with Public Works to discuss comments and density bonus waiver requests
Sep 23 Meetings with Public Works to discuss comments and density bonus waiver requests
Oct 23 Submit responses to comments from July 2023
Nov 23 Demolition Permit
Nov 23 Site Clean up
Jan 24 Planning Department ApprovalSubmit Grading / Non-Priority WQMP Jan 24 Demolition of existing structuresSubmit Architectural Plans at Risk Feb 24 Planning Commission ApprovalGroundbreaking Ceremony Mar 24 Submit Grading/Non –Priority WQMPBuilding Permit issued Mar 24 Groundbreaking CeremonyBegin Foundation Construction Mar/Apr 24 Building Permit IssuedFraming Ceremony
Mar 24 Begin Foundaton ConstructionComplete Rough Inspections City Council 10 – 20 2/20/2024
EXHIBIT 2
Apr 24 Framing Ceremony
Mar 25 Framing Rough Inspections
Mar 25 Construction Completion
Richard Lehn Intergenerational Housing – 918 N Bewley St.
Nov 22 City of Santa Ana RFP submittal
Nov 22 Design development
Apr 23 Submitted Plans to Planning Division
Jun 23 Community Development Commission approval of Pre-Commitment Letter
Jul 23 City Council approval of Pre-Commitment Letter
Aug 23 CalOptima HHIP funding application($3,000,000)
Sept 23 Start environmental approval process (NEPA)
Sept 23 Sunshine Ordinance Community Meeting 1
Oct 23 Sunshine Ordinance Community Meeting 2
Oct 23 Planning Division approval to proceed with plan check Oct 23 Received CalOptima HHIP funding ($3,000,000)
Dec 23 NEPA EA approval
Jan 24 Building Division approval
Jan 24 City Council final approval
Jan 24 Pull construction permit
Feb 24 Start construction
Feb 24 Demolition
Apr 24 Rough framing complete
Jun 24 MEP complete
Jul 24 Construction complete
Aug 24 Commence Lease Up
Oct 24 All units leased
City Council 10 – 21 2/20/2024
Community Development Agency
www.santa-ana.org/community-development
Item # 11
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Homeless Services Division Quarterly Report
AGENDA TITLE
Homeless Services Quarterly Report for the Period of October 1, 2023 through December 31, 2023
RECOMMENDED ACTION
Receive and file the Quarterly Report for Homeless Services Projects and Activities for the period of October 1, 2023 through December 31, 2023.
GOVERNMENT CODE §84308 APPLIES: No
No
DISCUSSION
This report provides information for homeless-related activities coordinated through the City’s Homeless Services Division. This quarterly report provides activities regarding SMART Outreach, the Jail Release Program, assistance and service updates for the City’s Shelter (Navigation Center), assistance provided through the Emergency Shelter Grant Program, and Quality of Life Team (QOLT) summaries.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT
1. Homeless Services Division Quarterly Report: October 1, 2023 through December 31, 2023
Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Tom Hatch, Interim City Manager
City Council 11 – 1 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
Homeless Services Division Quarterly Report
The Homeless Services Division along with our partners, have a comprehensive approach to addressing homelessness. We focus on outreach, provide access to services and shelter, partner with the Housing Division and continuously create space for innovative programs to reduce and prevent homelessness.
Current Financial Condition
Homeless Housing Assistance and Prevention (HHAP)
The primary source of funding for homeless service programs is the Homeless Housing Assistance and Prevention (HHAP) block grant, originating from the California Interagency Council on Homelessness (CAL ICH). Funds support regional coordination and expand/develop local capacity to address the immediate homeless challenges in our community. The City is utilizing HHAP funding for the following eligible expenditure activities:
- Outreach and Coordination
- Delivery of Permanent Housing
- Strategic Planning
- Services coordination
- Construction and Operation of the Navigation Center
- Administrative costs
1%
25%
7%
60%
1%6%
HHAP Grant
Services coordination
Outreach
Permanent Housing
Navigation Center Operations
Strategic Planning
Administrative
EXHIBIT 1
City Council 11 – 2 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
Permanent Local Housing Allocation (PLHA)
The City of Santa Ana receives State PLHA funding from the California Department of Housing and Community Development (CA HCD). PLHA provides for housing-related projects and programs that assist in addressing unmet housing needs of our community. Expenditures under The City's 5-year plan has allocated the following:
- Construction, Operation, and Purchase of the Navigation Center - Administrative Costs
SMART Outreach
The SMART program provides outreach and engagement teams, seven (7) days a week to address non-emergency outreach focused on providing services, addressing mental health, connecting clients to housing and helping people out of homelessness.
Outreach Contacts 1,508
Case Management 1,519
Street Exits 181
Calls Dispatched 2,316
Housing Exits 10
5%
95%
PLHA Grant
Administrative
Construction, Operation, and
Purchase
EXHIBIT 1
City Council 11 – 3 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
Jail Release Program – SMART
Recognizing the gap in our system to assist individuals being released from the City’s jail to the streets, the new Jail Release Program was created. Upon request from the City’s Jail, City Net’s case managers meet with homeless neighbors at the jail upon exit to develop a plan that will include services aimed to end the individual’s homelessness.
Total referrals for the Jail Release Program: 163
Total number of clients that refused services during the intake processing: 121 SMART
Outreach
Served Clients
(Oct 29 - Dec 2023)
Accepted Service 42
Mental Health 1
Substance Abuse Services 3
Shelter Follow-Up/ Call Back 12
Housing Services Referral 2
Taken to Shelter 4
Reconnection/Diversion Services 1
Other 18
Navigation Center Program Updates
The City works closely with Illumination Foundation on operation and referral procedures as well as resource suggestions.
Activities/Services - Q2
Illumination Foundation
Medical Group
Recreational Activities
Mariners Church Alcoholics Anonymous
Monthly Baptism Services OC Social Services
Stress Reduction Parenting Classes
Santa Ana WORK Center
on-site services
Day Habilitation Programs to maximize independence
City staff assisted in connecting one (1) individual to Disneyland for employment. This resulted in a new relationship with Disneyland to implement an employment opportunity program for shelter guests.
Navigation Center guest participated in Bless Fest, an off-site program for Thanksgiving.
Each Navigation Center guest had the opportunity to receive free medical, dental, EXHIBIT 1
City Council 11 – 4 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
dermatological, vision, haircuts, manicures, make-up, clothing, legal and childcare services. Each guest also received a new backpack stocked with personal hygiene items, toiletries and scripture reminders.
Together with Illumination Foundation, City staff donated gift cards and toys for each adult and child at the Navigation Center for the Christmas holiday. Santa Claus, helped to distribute each gift, warming the hearts of many.
Individuals Housed
During this quarter, a total of 20 individuals found permanent housing, and six (6) of these individuals were guests at the Navigation Center and found permanent housing through either Permanent Supportive Housing, Housing Choice Voucher, Illumination Foundation’s Micro Community or Renting a room without a subsidy.
During this quarter fourteen (14) City residents experiencing homelessness (not guests at the Navigation Center), found permanent housing through the Housing Authority’s programs of Emergency Housing Voucher (EHV), Veterans Affairs Supportive Housing (VASH), Foster Youth to Independence (FYI) and Project-Based Voucher (PBV.)
EXHIBIT 1
City Council 11 – 5 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
Emergency Solutions Grant Program
The City awards Emergency Solutions Grant program funds annually to non-profit homeless service providers. In this fiscal year, funds are utilized for SAPD street outreach and engagement, a Domestic Violence emergency shelter, to rapidly rehouse homeless individuals and families, and to prevent families/individuals from becoming homeless.
During this quarter, organizations have worked diligently to enroll and deliver services to our residents. Quantitative data is shown below.
Organization Name Project Name Served Clients
(Oct – Dec 2023)
Santa Ana Police Department HEART Program
Outreach
28 Illumination Foundation Rapid Re-Housing 0
Illumination Foundation Homeless Prevention 3 individuals / 1 household
Interval House Domestic Violence
Shelter
20 WISE Place Steps to
Independence
2 Staff has continued to serve the community in the following ways throughout Q2:
• Reviewed and made continuous improvements to the layout, content, and forms on the Homeless Services webpage for easier access and understanding. • Fielded Homeless Hotline calls and emails from the public and provided information, referrals and education to business owners, residents and individuals experiencing homelessness.
• As a requirement of State funding, Homeless Services staff held focus groups including individuals experiencing homelessness to provide feedback on bridging the gap in racial and gender equity for homeless programs. • Contracted with two non-profit organizations to address gang prevention and intervention.
Quality of Life (QOLT) Selected Summaries
• Customer Service Requests were opened and submitted with Caltrans to address homeless hot spots on their properties. Caltrans properties continue to receive complaints from the surrounding businesses and residents.
EXHIBIT 1
City Council 11 – 6 2/20/2024
February 6, 2024
OCTOBER – DECEMBER 2023
City of Santa Ana – Quarterly Report
Second Quarter of FY 2023-2024
• Orange County Public Works Service Requests – Orange County Flood Control (OCFC) Channel property immediately behind the property at 2100 S. Fairview has had significant trespassing issues with the development of encampments.
This area is within close proximity to the County’s Yale Navigation Center and immediately south of the Kenneth Mitchell Child Development Center/ Kenneth E.
Mitchell School at Fairview and Harvard. The grassy area (2000 S. Fairview) has attracted daytime and nighttime activity from those individuals who leave items in the bushes and enter the OCFC Channel.
• QOLT continues to provide support to Union Pacific on clean-up efforts as the City considers additional measures.
QOLT and City Net routinely contact individuals on the Caltrans, Union Pacific railroad and OCFC Channel property to offer homeless outreach services. These services include mental health, domestic violence, substance abuse related services as well as shelter.
Many unhoused individuals are found to be service resistant.
EXHIBIT 1
City Council 11 – 7 2/20/2024
Library
www.santa-ana.org/departments/library/
Item # 12
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Building Forward Library Facilities Improvement Program Grant for the Newhope Library
AGENDA TITLE
Appropriations Adjustment Recognizing Grant Revenue in the Amount of $1,086,754 for the California State Library Building Forward Library Facilities Improvement Program for the Newhope Library Renovation Project and Use of Previously Appropriated Funds in the Amount of $271,688 for the Local Match Requirement
RECOMMENDED ACTION
1. Approve an appropriation adjustment to recognize $1,086,754 in grant revenue from the California State Library and appropriate $1,086,754 into the appropriate expenditure accounts to implement the program. (Requires five affirmative votes)
2. Approve the use of previously appropriated Cannabis Public Benefit funds for the local match requirement in the amount of $271,688.
GOVERNMENT CODE §84308 APPLIES No
DISCUSSION
On November 7, 2023, the City Council approved Resolution No. 2023-074, authorizing the submission of the Building Forward Library Infrastructure Grant application for the Newhope Library Renovation Project, acceptance and execution of grant funds if awarded, and designating the Library Services Director as the authorized representative to execute the funding agreement and all related requests.
On January 2, 2024, the Library was notified that it was awarded a $1,086,754 grant for infrastructure improvements at the Newhope Library that include HVAC, electrical, and plumbing upgrades; fire protection system improvements; repair and replacement of interior and storefront doors; and grant administration costs. The grant scope will be incorporated into the larger Newhope Library Renovation Project, which includes retrofitting the branch with vibrant reading areas, expanded study spaces, reimagined City Council 12 – 1 2/20/2024
Building Forward Library Facilities Improvement Program Grant for the Newhope Library February 20, 2024
outdoor patio, state-of-the-art technology, community gathering spots, and a new Innovation Center equipped to provide STEM learning opportunities for the entire family.
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 current approved project budget and funded with Cannabis Public Benefit Fund funding.
Per the request of the California State Library, the Library Services Director, as the designated authorized representative, executed the Grant Agreement via the online signature platform, DocuSign. The agreement is included with the Staff Report for reference.
All grant funds must be fully expended by June 30, 2027.
FISCAL IMPACT
An appropriation adjustment to recognize $1,086,754 in the State Grant – Direct Revenue account (15211002-52025) and Reserve Appropriation Account (15211002- 59011), and appropriate funds to the respective expenditure accounts is shown below.
The necessary appropriations for the local match requirement, which were previously approved by City Council with the FY 2023-24 carryovers, are also included below. Any remaining balances not expended at the end of the fiscal year will be presented to the City Council for approval of carryovers to FY 2024-25.
Fiscal
Year
Accounting Unit
– Account
Number
Fund
Description
Accounting Unit,
Account Description Amount
FY 23-24 15211154-61000 Public Library
Grant Fund
Building Forward
Grant – Salaries Regular
$8,097.00
FY 23-24 15211154-61100 Public Library
Grant Fund
Building Forward Grant –
Retirement Employer Normal
$337.00
FY 23-24 15211154-61120 Public Library
Grant Fund
Building Forward Grant –
Medicare Insurance
$109.00
FY 23-24 15211154-61130 Public Library
Grant Fund
Building Forward Grant –
Health Insurance
$1,399.00
FY 23-24 15211154-61170 Public Library
Grant Fund
Building Forward Grant –
Retiree Health Benefits
$112.00
FY 23-24 15211154-65100 Public Library
Grant Fund
Building Forward Grant –
Insurance Charges
$526.00
FY 23-24 15211154-65105 Public Library
Grant Fund
Building Forward Grant –
Benefits Overhead
$75.00
FY 23-24 15211154-66200 Public Library
Grant Fund
Building Forward
Library Grant – Buildings &
Building Improvements
$532,722.0
0 City Council 12 – 2 2/20/2024
Building Forward Library Facilities Improvement Program Grant for the Newhope Library February 20, 2024
FY 23-24 15211154-69011 Public Library
Grant Fund
Building Forward
Library Grant – Reserve
Appropriations
$543,377.0
0 FY 23-24 01211020-66200 Cannabis
Public Benefit
Fund
Library Youth Services –
Buildings & Building
Improvements
$271,688
TOTAL $1,358,442
EXHIBIT(S)
1. Grant Agreement (for reference only)
Submitted By: Brian Sternberg, Executive Director of Library Services Approved By: Tom Hatch, Interim City Manager
City Council 12 – 3 2/20/2024
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 4 2/20/2024
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 5 2/20/2024
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 6 2/20/2024
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 7 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
STATE FUNDED GRANTS
AWARD AGREEMENT AND
CERTIFICATE OF COMPLIANCE
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 8 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
TABLE OF CONTENTS
PROJECT SUMMARY.................................................................................................................... 1 PROCEDURES and REQUIREMENTS............................................................................................. 2 A. Term of the Agreement ............................................................................................... 2 B. Scope of Work.............................................................................................................. 2 C. Budget Detail................................................................................................................ 3 D. Reports .......................................................................................................................... 3 E. Claim Form and Payment........................................................................................... 4 F. Grantee’s Covenants .................................................................................................. 6 EXHIBIT A: TERMS and CONDITIONS.......................................................................................... 7 EXHIBIT B: ADDITIONAL TERMS AND CONDITIONS ................................................................. 23 EXHIBIT C: CERTIFICATION OF COMPLIANCE FORM .............................................................. 30 Certification........................................................................................................................... 34 Authorized Representative Signature................................................................................. 35 EXHIBIT D: STATE REIMBURSABLE TRAVEL EXPENSES................................................................ 36 DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 9 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
PROJECT SUMMARY
Award Agreement between the California State Library and the City of Santa Ana for the Santa Ana Public Library – Newhope Library Learning Center Project AWARD AGREEMENT NUMBER BF-23-011
This Award Agreement (“Agreement”) is entered into on the date of execution of the agreement by and between the California State Library (“State Library”) and the City of Santa Ana (“Grantee”).
This Award Agreement pertains to Grantee’s State-funded project at the Sana Ana Public Library – Newhope Library Learning Center.
The Library Development Services Bureau (“LDS”) of the State Library administers state and federal funds in the form of awards.
The Grantee was selected by the State Library to receive state grant funds in the amount of $1,086,754 through the process adopted by the State Library in administering such grants.
The State Library and the Grantee, for the consideration and under the conditions hereinafter set forth in the Grant Agreement, agree as follows:
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 10 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
PROCEDURES and REQUIREMENTS
A. . Term of the Agreement
The Grant term begins on the date of execution of the Agreement by both parties, until June 30, 2027. If completion of the project occurs prior to the end of the grant period this will be the end date of the term of this agreement. Grant eligible program expenditures may begin no earlier than the start date. The project period ends on June 30, 2027, and all grant project costs must be incurred by this date.
B. Scope of Work
1. Pursuant to the California Budget Act for the 2023-2024 Fiscal Year (Senate Bill 101), the State Library hereby allocates to the City of Santa Ana a sum not to exceed $1,086,754 (“Grant Funds”), upon and subject to the terms and conditions of this Grant Agreement for the Santa Ana Public Library – Newhope Library Learning Center (“Agreement”).
2. Grantee agrees to perform all activities specifically identified in the Grantee’s submitted application and award packet.
3. The following activities and deliverables to be performed by the Grantee include, but are not limited to the following:
Maintain and keep records of expenditures related to the grant that are consistent with Generally Acceptable Accounting Practices (GAAP). Make financial records available to the State Library upon request. Work with the State Library staff to assure that funds are disbursed in compliance with the purpose of the grant.
Prepare and submit required narrative and financial reports. Procure equipment, and other supplies as needed for the project. Issue contracts for services, personnel, and consultants as needed for the project.
If applicable, make payments for services, including for hours worked and travel reimbursements, to consultants and contractors.
Oversee the implementation of project activities.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 11 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
C. Budget Detail
The State Library shall provide the Grantee funding for the expenses incurred in performing the activities specified in the Grantee’s award packet documentation. The Grantee shall request the distribution of grant funding consistent with the approved project budget incorporated herein, and according to the payment schedule specified in this Agreement. Under no circumstances shall payments exceed the total grant amount identified in this Agreement.
D. Narrative and Financial Reports
1. The Grantee shall be responsible for submission of interim and final narrative and financial reports on the progress and activities of the project, to the State Library, using the sample report documents provided by the State Library. Visual documentation (e.g. still or video photography) will be required as part of each Narrative Report.
2. All the reports must be current, include all required sections and documents, and must be approved by the Grant Monitor before any payment request can be processed. Failure to comply with the specified reporting requirements may be considered a breach of this Agreement and result in the termination of the Agreement or rejection of the payment request and/or forfeiture by the Grantee of claims for costs incurred that might otherwise have been eligible for grant funding. Any problems or delays must be reported immediately to the Grant Monitor. The financial reports shall reflect the expenditures made by the Grantee under the Agreement and may be incorporated into the same reporting structure as the narrative reports.
3. The reports shall be submitted by the following dates:
Reporting Period Report Due Date
Project start date -
3/31/2024
Financial Reports, Expenditure Detail, and
Narrative Reports Due 5/1/2024
4/1/2024 - 6/30/2024 Financial Reports Due 8/1/2024
7/1/2024 - 9/30/2024 Financial Reports, Expenditure Detail, and Narrative Reports Due 11/1/2024
10/1/2024 - 12/31/2024 Financial Reports Due 2/1/2025
1/1/2025 - 3/31/2025 Financial Reports, Expenditure Detail, and Narrative Reports Due 5/1/2025
4/1/2025 - 6/30/2025 Financial Reports Due 8/1/2025
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 12 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
7/1/2025 - 9/30/2025 Financial Reports, Expenditure Detail, and Narrative Reports Due 11/1/2025
10/1/2025 - 12/31/2025 Financial Reports Due 2/1/2026
1/1/2026 - 3/31/2026 Financial Reports, Expenditure Detail, and Narrative Reports Due 5/1/2026
4/1/2026 - 6/30/2026 Financial Reports Due 8/1/2026
7/1/2026 - 9/30/2026 Financial Reports, Expenditure Detail, and Narrative Reports Due 11/1/2026
10/1/2026 - 12/31/2026 Financial Reports Due 2/1/2027
1/1/2027 - 3/31/2027 Financial Reports, Expenditure Detail, and Narrative Reports Due 5/1/2027
4/1/2027 - 6/30/2027 Financial Reports Due 8/1/2027
7/1/2027 - 9/30/2027 Final Financial, Narrative, and Expenditure Reports Due 11/1/2027
4. Failure to submit timely reports with the appropriate documentation by the due date may result in rejection of the payment request and/or forfeiture by the Grantee of claims for costs incurred that might otherwise have been eligible for grant funding.
5. The Grantee agrees to maintain records and supporting documentation pertaining to the performance of this grant, subject to possible audit for a minimum of five (5) years after final payment date or grant term end date, whichever is later. Please refer to Exhibit A, Terms and Conditions for more information.
E. Claim Form and Payment
1. The State Library shall provide the Grantee payment as outlined in the payment schedule only if all requirements for claiming the funds as outlined in this document have been met, and only for those activities and costs specified in the approved award packet documentation.
2. The Grantee shall complete, sign, and submit the Certification of Compliance form (Exhibit C) and the Financial Claim form (included in your award packet), to the State Library within 30 days of receiving this award packet. These forms will be issued, signed, and submitted using the online signature and agreement platform, DocuSign, unless DocuSign is unallowable or inconsistent with practices and policies of the local jurisdiction. If the use of DocuSign is not acceptable to the Grantee organization, please contact the grant monitor regarding alternate options.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 13 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
3. Any of the sums appearing under the categories in the approved budget may be adjusted with prior authorization from the State Library Grant Monitor. This would be to increase the allotment with the understanding that there will be corresponding decreases in the other allotments so that the total amount paid by the State Library to the Grantee under this Agreement shall not exceed the awarded amount, which shall be expended/encumbered during the grant period.
4. If the payment amount made by the State Library exceeds the actual expenses incurred during the term of this Agreement, as reflected in the financial reports to be filed by the Grantee, the Grantee shall immediately refund the excess payment amount to the State Library.
5. The Award payments will only be made to the Grantee. It is the Grantee’s responsibility to pay all contractors and subcontractors for purchased goods and services.
6. The Final Payment of 10% will be withheld and retained by the State Library (if applicable) until all conditions agreed upon in this Agreement, including submission and grant monitor approval of the interim and final narrative and financial reports, have been satisfied.
7. Prompt Payment Clause
The State Library will make payments to the Grantee in accordance with the Prompt Payment Clause under Government Code, section 927, et. seq. The Grantee may typically expect payment within 45 days from the date a grant payment request is properly submitted and approved by the Grant Monitor.
8. Budget Contingency Clause
a. It is mutually agreed that if the Budget Act of the current fiscal year or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall no longer be in full force and effect. In this event, the State Library shall have no liability to pay any funds whatsoever to the Grantee or to furnish any other considerations under this Agreement and the Grantee shall not be obligated to perform any provisions of this Agreement.
b. If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this Program, the State Library shall have the option to either cancel this Agreement with no liability occurring to itself or offer an Agreement amendment to the Grantee to reflect the reduced amount.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 14 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
F. Grantee’s Covenants
In consideration of Grantor’s disbursement of the Grant Funds, for a period of ten years following the completion of the grant period, Grantee hereby covenants and agrees as follows:
1. The Grant Funds shall be used for Santa Ana Public Library – Newhope Library Learning Center project.
2. The property shall be held, used, operated, managed and maintained only in a manner that is consistent with this Agreement.
3. Grantee shall pay before delinquency all taxes, assessments (general and special), fees, and charges of whatever description levied on or assessed against the property by competent authority (collectively “Taxes”) and shall furnish Grantor with satisfactory evidence of payment upon request. Grantee shall keep the property free from any liens including, without limitation, those arising out of any obligations incurred by Grantee for any labor or materials furnished or alleged to have been furnished to or for Grantee at or for use on the property.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 15 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
EXHIBIT A: TERMS and CONDITIONS
1. Accessibility: The State is responsible for ensuring that public websites are accessible to both the general public and state employees, including persons with disabilities. Grantee shall assist the State in meeting its responsibility. Therefore, all project materials generated by state funded programs must meet the California Accessibility Standards. Additionally, all project materials designed, developed, and maintained shall be in compliance with the California Government Code, sections 7405 and 11135, and the Web Content Accessibility Guidelines 2.0, or a subsequent version, as published by the Web Accessibility Initiative of the World Wide Web Consortium at a minimum Level AA success criteria.
However, if for some reason project materials is not generated to be in compliance to meet these standards, please still submit it to the State Library. When submitting the material make sure to note that the material is not accessible by including “NOT ACCESSIBLE” in the file name.
The State Library reserves the right to post project materials to its website that are in compliance with these standards.
2. Acknowledgment: The State of California and the State Library shall be acknowledged in all promotional materials, signage, and publications related to the Santa Ana Public Library – Newhope Library Learning Center project. a. Grant award recipients must ensure that the State of California receives full credit as the source of funds and that the State Library, likewise, is acknowledged as the administrator.
b. Publications and information releases about the project must credit the State of California. An appropriate statement for a publication or project press release is:
“This [publication/project] was supported in whole or in part by funding provided by the State of California, administered by the California State Library.”
Grantees must include the above statement in any publications, vehicle wraps, and promotional materials, including websites. If space is limited the DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 16 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
State Library logo and the following shortened acknowledgement statement is acceptable:
“Funding provided by the State of California.”
This credit line on products of a project, such as materials, is important to foster support from the public, and state funding sources. c. Permanent, temporary, or promotional signage, including a dedication plaque or donor wall, should include abbreviated credit language as follows:
“Funding provided by the State of California.”; or,
“Project in partnership with the State of California.”
d. This acknowledgement does not need to be any longer than the above examples. Temporary project/promotional signage should include the State Library logo. Acknowledgement is not expected on regular facility signage.
State Library staff are available to review any mockups for permanent donor recognition/dedication signage you may have. California State Library Logo:
Use of the State Library logo, which can be downloaded on the California State Library website, is required on any publication, vehicle wrap, or promotional material along with the above statement(s). e. Project Photography: Photographs and videos are a great way to document your project. If obtaining still or video photography featuring members of the public, Grantees should obtain a photo release form. Grantees may use their organization’s image release form or contact the State Library grant monitor for a sample image release form.
3. Agency: In the performance of this Agreement the Grantee and its agents and employees shall act in an independent capacity and not as officers, employees or agents of the State Library. The Grantee is solely responsible for all activities supported by the grant. Nothing in this Agreement creates a partnership, agency, joint venture, employment, or any other type of relationship between the parties. The Grantee shall not represent itself as an agent of the State Library for any purpose and has no authority to bind the State Library in any manner whatsoever.
4. Amendment: No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties, and approved as required.
No oral understanding or agreement not incorporated into this Agreement is binding on any of the parties. This Agreement may be amended, modified, or augmented by mutual consent of the parties, subject to the requirements and restrictions of this paragraph.
5. Applicable Law: The laws of the State of California shall govern all proceedings concerning the validity and operation of this Agreement and the performance DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 17 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
of the obligations imposed upon the parties hereunder. The parties hereby waive any right to any other venue. The place where the Agreement is entered into and place where the obligation is incurred is Sacramento County, California.
6. Assignment, Successors, and Assigns: The Grantee may not assign this Agreement or delegate its performance to any third-party person or entity, either in whole or in part, without the State Library’s prior written consent. The provisions of this Agreement shall be binding upon and inure to the benefit of the State Library, the Grantee, and their respective successors and assigns.
7. Audit and Records Access: The Grantee agrees that the State Library, the Department of General Services, the State Auditor, or their designated representatives shall have the right to review, audit, inspect and copy any records and supporting documentation pertaining to the performance of this Agreement. The Grantee agrees to maintain such records for possible audit for a minimum of five (5) years after the final payment, or grant term end date, whichever is later, unless a longer period of records retention is stipulated, or until completion of any action and resolution of all issues which may arise as a result of any litigation, dispute, or audit, whichever is later. The Grantee agrees to allow the auditor(s) access to such records during normal business hours and to allow interviews of any employees who might reasonably have information related to such records. Further, the Grantee agrees to include a similar right of the State to audit records and interview staff in any subcontract related to performance of this Agreement.
Examples of audit documentation may include, but not limited to, competitive bids, grant amendments, if any, relating to the budget or work plan, copies of any agreements with contractors or subcontractors if utilized, expenditure ledger, payroll register entries, time sheets, personnel expenditure summary form, travel expense log, paid warrants, contracts and change orders, samples of items and materials developed with grant funds, invoices and/or cancelled checks.
8. Authorized Representative: Grantee and the State Library mutually represent that their authorized representatives have the requisite legal authority to sign on their organization’s behalf.
9. Communication and Contact Information: All communications from either party, including an interim check-in at any time during the grant term, shall be directed to the respective grant monitor or representative of the State Library or Grantee.
For this purpose, the following contact information is provided below:
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 18 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
Brian Sternberg
Library Services Director
City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
[email protected]
714-647-5296
California State Library
Libby Carlson
900 N Street
Sacramento, CA 95814
[email protected]
916-603-6705
10. Confidentiality: Grantee will maintain as confidential any material it receives or produces that is marked Confidential or is inherently confidential or is protected by privilege. Grantee agrees to alert the State Library to this status in advance, and State Library agrees to maintain this status in conformity with the Public Records Act.
11. Contractor and Subcontractors: Nothing contained in this Grant Agreement or otherwise shall create any contractual relation between the State and any contractor or subcontractors, and no contract or subcontract shall relieve the Grantee of his or her responsibilities and obligations hereunder. The Grantee agrees to be as fully responsible to the State for the acts and omissions of its contractors, subcontractors, volunteers, student interns, and of persons either directly or indirectly employed by any of them as it is for the acts and omissions of persons directly employed by the Grantee. The Grantee’s obligation to pay its contractors and subcontractors is an independent obligation from the State’s obligation to make payments to the Grantee. As a result, the State shall have no obligation to pay or to enforce the payment of any monies to any contractor or subcontractor.
12. Copyright: Grantee owns and retains titles to any copyrights or copyrightable material from any original works that it creates within the scope of this Agreement in accordance with the federal Copyright Act. (17 U.S.C. 101, et seq.) Grantee is responsible for obtaining any necessary licenses, permissions, releases, or authorizations to use text, images, or other materials owned, copyrighted, or trademarked by third parties and for extending such licenses, permissions, releases, or authorizations to the State Library pursuant to this section. Also, the State Library may upload, post or transmit copyrighted material produced or purchased with grant funds on a State Library website for public access and viewing.
13. Discharge of Grant Obligations: The Grantee's obligations under this Agreement shall be deemed discharged only upon acceptance and approval of the final report by State Library. If the Grantee is a non-profit entity, the Grantee’s Board of Directors shall accept and certify as accurate the final report prior to its submission to State Library.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 19 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
14. Dispute Resolution: In the event of a dispute, Grantee will discuss the problem informally with the Grant Monitor. If unresolved, the Grantee shall file a written “Notice of Dispute” with the State Library Grant Monitor within ten (10) days of discovery of the problem. Within ten (10) days of receipt of the Notice of Dispute, the Grant Monitor shall meet with the Grantee for purposes of resolving the dispute. Any dispute arising under the terms of this Agreement which is not disposed of within a reasonable period of time, the Grantee may bring it to the attention of the State Librarian or the designated representative. The decision of the State Librarian or designated representative shall be final. Unless otherwise instructed by the Grant Monitor, the Grantee shall continue with its responsibilities under this Agreement during any dispute.
15. Drug-free Workplace: The Grantee certifies under penalty of perjury under the laws of California, that the Grantee will comply with the requirements of the Drug-Free Workplace Act of 1990 (Gov. Code, § 8350 et. seq.) and will provide a drug-free workplace by taking the following actions:
a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations.
b. Establish a Drug-Free Awareness Program to inform employees about all of the following:
1) The dangers of drug abuse in the workplace.
2) The Grantee’s policy of maintaining a drug-free workplace. 3) Any available counseling, rehabilitation, and employee assistance programs.
4) Penalties that may be imposed upon employees for drug abuse violations.
c. Require that every employee who works on the project funded through this Grant Agreement will:
1) Receive a copy of the Grantee’s drug-free workplace policy statement.
2) Agrees to abide by the terms of the Grantee’s statement as a condition of employment on the Agreement.
Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and grantee may be ineligible for award of any future state agreements if the State Library determines that the grantee has made a false certification or violated the certification by failing to carry out the requirements as noted above.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 20 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
16. Effectiveness of Agreement: This Agreement is of no force or effect until signed by both parties.
17. Entire Agreement: This Agreement supersedes all prior agreements, oral or written, made with respect to the subject hereof and, together with all attachments hereto, contains the entire agreement of the parties.
18. Exclusive Agreement: This is the entire Agreement between the State Library and Grantee.
19. Executive Order N-6-22-Russia Sanctions: The Grantee shall comply with Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate grant agreements with, and to refrain from entering any new grant agreements with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should the State determine Grantee is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this agreement. The State shall provide Grantee advance written notice of such termination, allowing Grantee at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State.
20. Extension: The State Librarian or designee may extend the final deadline for good cause. The Grantee’s request for an extension of the grant period must be made in writing and received by the State Library at least 30 days prior to the final deadline.
21. Failure to Perform: The grant being utilized by the Grantee is to benefit the Santa Ana Public Library – Newhope Library Learning Center project. If the Grant Monitor determines the Grantee has not complied with this Agreement, the Grantee may forfeit the right to reimbursement of any grant funds not already paid by the State Library, including, but not limited to, the ten percent (10%) withheld.
22. Federal and State Taxes: The State Library shall not:
a. Withhold Federal Insurance Contributions Act (FICA) payments from Grantee’s payments or make FICA payments on the Grantee’s behalf; or
b. Make Federal or State unemployment insurance contributions on Grantee’s behalf; or
c. Withhold Federal or State income taxes from Grantee’s payments.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 21 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
Grantee shall pay all taxes required on payments made under this Agreement including applicable income taxes and FICA.
23. Force Majeure: Neither the State Library nor the Grantee, its contractors, vendors, or subcontractors, if any, shall be responsible hereunder for any delay, default, or nonperformance of this Agreement, to the extent that such delay, default, or nonperformance is caused by an act of God, weather, accident, labor strike, fire, explosion, riot, war, rebellion, sabotage, flood, or other contingencies unforeseen by the State Library or the Grantee, its contractors, vendors, or subcontractors, and beyond the reasonable control of such party.
24. Forfeit of Grant Funds and Repayment of Funds Improperly Expended: If grant funds are not expended, or have not been expended, in accordance with this Agreement, the State Librarian or designee, at his or her sole discretion, may take appropriate action under this Agreement, at law or in equity, including requiring the Grantee to forfeit the unexpended portion of the grant funds, including, but not limited to, the ten percent (10%) withhold, and/or to repay to the State Library any funds improperly expended.
25. Fringe Benefit Ineligibility: Grantee agrees that neither the Grantee nor its employees and contract personnel are eligible to participate in any employee pension, health benefit, vacation pay, sick pay or other fringe benefit plan of the State of California or the State Library.
26. Generally Accepted Accounting Principles: The Grantee is required to use Generally Accepted Accounting Principles in documenting all grant expenditures.
27. Grant Monitor: The Grant Monitor’s responsibilities include monitoring grant progress and reviewing and approving Grant Payment Requests and other documents delivered to the State Library pursuant to this Agreement. The Grant Monitor may monitor Grantee performance to ensure Grantee expends grant funds appropriately and in a manner consistent with the terms and conditions contained herein. The Grant Monitor does not have the authority to approve any deviation from or revision to the Terms and Conditions (Exhibit A and B) or the Procedures and Requirements unless such authority is expressly stated in the Procedures and Requirements.
28. Grantee: The government or legal entity to which a grant is awarded and which is accountable to the State Library for the use of the funds provided. a. The grantee will make reports to the State Librarian in such form and containing such information as may be required to ensure the proper used of funds consistent with the grantee’s application, and award agreement and accompanying documentation submitted. The grantee DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 22 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
will keep such records and afford such access as the State Library may find necessary to assure the correctness and verification of such reports.
29. Grantee Accountability: The Grantee is ultimately responsible and accountable for the manner in which the grant funds are utilized and accounted for and the way the grant is administered, even if the Grantee has contracted with another organization, public or private, to administer or operate its grant project. In the event an audit should determine that grant funds are owed to the State Library, the Grantee is responsible for repayment of the funds to the State Library.
30. Grantee Funds: It is mutually agreed that the Grantee is responsible for furnishing funds beyond the grant award that may be necessary to complete the project.
31. Independent Action: Grantee reserves the right to fulfill its obligations under this Agreement in an independent manner, at any location and at any time within the agreed-upon timeline. Grantee’s employees or contract personnel shall perform all services required by this Agreement, but their time need not be devoted solely to fulfilling obligations under this Agreement. Grantee shall furnish all equipment and materials used to meet its obligations and complete the Project. The State Library shall not provide any personnel or other resources beyond the grant award and is not required to provide training in connection with this Agreement.
32. Indemnification: Grantee agrees to indemnify, defend, and save harmless the State of California, the State Library and its officers, employees, and agents, from any and all claims, losses, and liabilities accruing or resulting to any and all contractors, subcontractors, suppliers, laborers and any other person, firm or corporation furnishing or supplying work services, materials, or supplies in connection with the performance of this Agreement, and from any and all claims and losses accruing or resulting to any person, firm or corporation who may be injured or damaged by Grantee in the performance of this Agreement.
33. License to Use: The State Library reserves a fully paid-up, royalty-free, nonexclusive, sub-licensable and irrevocable license to reproduce, publish, prepare derivative works, distribute or otherwise use, and to authorize third parties to use, any material received or maintained by Grantee in connection with this Agreement. This includes intellectual property, with or without third-party rights. All such usages will be for public library and State governmental purposes:
a. The copyright in any work developed under this grant, sub-grant, or contract under this grant or sub-grant; and
b. Any rights of copyright to which a Grantee, sub-grantee, or a contractor purchases ownership with grant support.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 23 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
34. Limitation of Expenditure: Expenditure for all projects must conform to the Grantee’s approved budget and with applicable State laws and regulations. The total amount paid by the State Library to the Grantee under this Grant Agreement shall not exceed $1,086,754 and shall be expended/encumbered in the designated award period.
During the award period, the Grantee may find that the approved budget may need to be modified. Budget changes, requests for additional funds, or requests for reductions in award funding must be discussed with the assigned State Library Grant Monitor and a Grant Award Modification may be required to be submitted according to the instructions. Approval is by the State Librarian or their designee. Adjustments should be reported on the next financial report. Any adjustments in approved budgets must be documented and documentation retained in project accounts.
35. Lobbying: Grantee confirms that the grant funds will not be used for the purposes of lobbying or otherwise attempting to influence legislation, as those purposes are defined by the U.S. Internal Revenue Code of 1986.
36. Non-Discrimination Clause: During this grant period, the Grantee and the Grantee’s contractors, and subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, sex, age, sexual orientation, or military and veteran status. Grantee shall insure that the evaluation and treatment of contractors, employees and applicants for employment are free from such discrimination and harassment.
Additionally, Grantee, contractors, and subcontractors, if applicable, shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code §12900 et seq.), the regulations promulgated thereunder (Cal. Code Regs., tit. 2, §11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code §§ 11135-11139.5), and the regulations or standards adopted by the State Library to implement such article.
Grantee shall permit access by representatives of the Department of Civil Rights and the State Library upon reasonable notice at any time during the normal business hours, but in no case less than 24 hours’ notice, to such of its books, records, accounts, and all other sources of information and its facilities as said Department or the State Library shall require ascertaining compliance with this clause. Grantee, and its contractors, and subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (See Cal. Code Regs., tit. 2, §11105.) DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 24 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
Grantee shall include the non-discrimination and compliance provisions of this clause in all contracts and subcontracts to perform work under the Agreement.
37. Notices: All notices and other communications in connection with this Agreement shall be in writing, and shall be considered delivered as follows:
a. Electronic Mail (E-mail): When sent by e-mail to the last e-mail address of the recipient known to the party giving notice. Notice is effective upon transmission.
b. DocuSign (e-signature platform): When sent via DocuSign a notification will be sent to the last e-mail address of the recipient known to the party giving notice. Notice is effective upon transmission.
c. Grants Management System: When sent via / uploaded to the State Library Grants Management System, a notification will be sent to the last e-mail address of the recipient known to the party giving notice. Notice is effective upon transmission.
d. Personally: When delivered personally to the Grantee’s physical address as stated in this Agreement.
e. U.S. Mail: Five days after being deposited in the U.S. Mail, postage prepaid, and addressed to Grantee’s address as stated in this Agreement.
38. Order of Precedence: The performance of this Agreement shall be conducted in accordance with the Terms and Conditions, Procedures and Requirements, Certificate of Compliance, Project Summary, Implementation Plan, and Budget, of this Agreement, or other combination of exhibits specified on the Grant Agreement Coversheet attached hereto (collectively referred to as “Terms”).
Grantee’s State Library-approved Application (Grantee’s Application) is hereby incorporated herein by this reference. In the event of conflict or inconsistency between the articles, exhibits, attachments, specifications, or provisions that constitute this Agreement, the following order of precedence shall apply:
a. Grant Agreement Coversheet and any Amendments thereto b. Terms and Conditions
c. Procedures and Requirements
d. Certificate of Compliance
e. Project Summary
f. Grantee’s approved outputs from the submitted application (including Budget and Implementation plan submitted as part of the required award documents)
g. All other attachments hereto, including any that are incorporated by reference.
39. Payment:
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 25 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
a. The approved Budget, if applicable, is attached hereto and incorporated herein by this reference and states the maximum amount of allowable costs for each of the tasks identified in the Implementation Plan submitted as part of the required award documents. The State Library shall provide funding to the Grantee for only the work and tasks specified in the list of approved outputs at only those costs specified in the Budget submitted as part of the required award documents and incurred in the term of the Agreement.
b. The Grantee shall carry out the work described in the Implementation Plan or in the Grantee’s Application in accordance with the approved Budget and shall obtain the Grant Monitor’s written approval of any changes or modifications to the Implementation Plan, approved project outputs, or the approved Budget prior to performing the changed work or incurring the changed cost. If the Grantee fails to obtain such prior written approval, the State Librarian or designee, at his or her sole discretion, may refuse to provide funds to pay for such work or costs.
c. The Grantee shall request funds in accordance with the funding schedule included in this Agreement.
d. Ten percent (10%) will be withheld from the Payment Request (if applicable) and paid at the end of the grant term, when all reports and conditions stipulated in this Agreement have been satisfactorily completed. Failure by the grantee to satisfactorily complete all reports and conditions stipulated in this Agreement may result in forfeiture of any such funds withheld.
e. Lodgings, Meals and Incidentals: Grantee’s eligible costs are limited to the amounts authorized in the California State Administrative Manual (see Exhibit C or contact the Grant Monitor for more information). f. Payment will be made only to the Grantee.
g. Reimbursable expenses shall not be incurred unless and until the Grantee receives a Notice to Proceed as described in the Procedures and Requirements.
40. Personal Jurisdiction: The Grantee consents to personal jurisdiction in the State of California for all proceedings concerning the validity and operation of this Agreement and the performance of the obligations imposed upon the parties.
Native American Tribal grantees expressly waive tribal sovereign immunity as a defense to any and all proceedings concerning the validity and operation of this Agreement and the performance of the obligations imposed upon the parties.
41. Personnel Costs: Any personnel expenditures to be paid for with grant funds must be computed based on actual time spent on grant-related activities and on the actual salary or equivalent hourly wage the employee is paid for their regular job DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 26 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
duties, including a proportionate share of any benefits to which the employee is entitled.
42. Pledge: This Agreement shall not be interpreted to create any pledge or any commitment by the State Library to make any other or further grants or contributions to Grantee, or any other person or entity in connection with the Project. It is mutually agreed that Grantee is responsible for furnishing funds beyond the grant award that may be necessary to complete outcomes or deliverables.
43. Privacy Protection: Both parties agree to protect the confidentiality of any nonpublic, personal information that may be contained in materials received or produced in connection with this Agreement, as required by Civil Code, section 1798, et. seq.
44. Prohibited Use: The expenditure under this program shall not be used to supplant Grantee efforts in other grant programs provided by the State Library.
45. Public Records Act: Material maintained or used by the State Library is considered “public record” under the Public Records Act (PRA) at Government Code, sections 7920, et. seq. This includes the Interim and Final reports, and any other written communications between the parties. Grantee agrees to ensure that all content contained in its written reports are appropriate for publication.
Said material, along with all other reports, documentation and data collected during the term of the Agreement, will be subject to disclosure unless it qualifies for exemption under the PRA in whole or in part. Grantee agrees to alert the State Library as to a basis for exemption, if any exists.
46. Publicity Obligations: Grantee will notify the State Library of any promotional materials or publications resulting from the grant no later than five (5) days in advance of distribution, whether they are print, film, electronic, or in any other format or medium. Copies of all promotional materials will be provided to the State Library. Grantee will acknowledge the State Library’s support as noted above. Grantee agrees that the State Library may include information about this grant and its outcomes in its own annual reports, with specific reference to Grantee, and may distribute such information to third parties.
47. Records: Communications, grant related documents, data, original receipts, and invoices must be maintained by Grantee and shall be made available to the State Library upon request. Grantee agrees to maintain adequate grant program records and adequate financial records consistent with generally accepted accounting practices, and to retain all records for at least five (5) years after the end-of-term. The State Library may monitor or conduct an onsite evaluation of Grantee’s operation to ensure compliance with this Agreement, with reasonable advance notice.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 27 2/20/2024
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BF-23-011
48. Reduction of Waste: In the performance of this Agreement, Grantee shall take all reasonable steps to ensure that materials purchased or utilized in the course of the project are not wasted. Steps should include, but not be limited to: the use of used, reusable, or recyclable products; discretion in the amount of materials used; alternatives to disposal of materials consumed; and the practice of other waste reduction measures where feasible and appropriate.
49. Reimbursement Limitations: Under no circumstances shall the Grantee seek reimbursement pursuant to this Agreement for a cost or activity that has been or will be paid for through another funding source. The Grantee shall not seek reimbursement for any costs used to meet cost sharing or matching requirements of any other State Library funded program.
50. Reports and Claims: It is the responsibility of the grantee make the required reports and claims to the State Library.
a. The Grantee shall be responsible for submitting to the State Library Narrative Reports detailing progress and activities. The reports are due on the dates specified in the reporting schedule detailed in the Procedures and Requirements section.
b. The Grantee shall be responsible for submitting to the State Library Financial Reports reflecting Grantee expenditure activity. The reports are due on the dates specified in the reporting schedule detailed in the Procedures and Requirements section.
c. To obtain payment hereunder, the Grantee shall submit authorized claims provided by the State Library for that purpose, on each of the following mentioned dates for payment, and the State Library agrees to reimburse the State Library as soon thereafter as State fiscal procedures will permit. d. The final 10% of the grant award (if applicable) is payable only upon approval of all final reports and receipt of claim form. Failure to provide timely reports is a serious breach of an award recipient’s administrative duty under the award.
e. Payment will be provided to cover the expenditures incurred by the Grantee for the project in the following manner:
1) $543,377 upon the receipt and approval, by the State Library, of the submission of all required documents as stated in the award letter; execution of the agreement, certification, and claim form by the Grantee organization.
2) The second payment in the amount of $434,702 after the submission and approval of the January 31, 2025 report and receipt, by the State Library, of a completed claim form unless:
i. The grantee needs the funding prior to the January date in order for the project to progress. To obtain funding prior to January 31, 2025, the grantee must provide documentation to DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 28 2/20/2024
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the grant monitor demonstrating effectively either (a) that the first award payment has been spent, or (b) why the second installment is needed in advance of the scheduled payment. ii. The grantee’s January 31, 2025, financial report demonstrates that they have not spent any of their initial payment. The second payment will be held until the Grantee demonstrates effectively that their project is moving forward and additional funding is needed.
3) A final payment in the amount of $108,675 will be made upon submission and approval of the final interim grant report and financial claim form.
51. Self-Dealing and Arm’s Length Transactions: All expenditures for which reimbursement pursuant to this Agreement is sought shall be the result of arm’slength transactions and not the result of, or motivated by, self-dealing on the part of the Grantee or any employee or agent of the Grantee. For purposes of this provision, “arm’s-length transactions” are those in which both parties are on equal footing and fair market forces are at play, such as when multiple vendors are invited to compete for an entity’s business and the entity chooses the lowest of the resulting bids. “Self-dealing” is involved where an individual or entity is obligated to act as a trustee or fiduciary, as when handling public funds, and chooses to act in a manner that will benefit the individual or entity, directly or indirectly, to the detriment of, and in conflict with, the public purpose for which all grant monies are to be expended.
52. Severability: If any part of this Agreement is found to be unlawful or unenforceable, such provisions will be voided and severed from this Agreement, but the remainder of the provisions in the Agreement will remain in full force and effect.
53. Site Visits: The Grantee shall allow the State Library to access and conduct site visits, with reasonable notice, at which grant funds are expended and related work being performed at any time during the performance of the work and for up to ninety (90) days after completion of the work, or until all issues related to the grant project have been resolved. A site visit may include, but not be limited to, monitoring the use of grant funds, providing technical assistance when needed, and visiting the State funded project.
54. Termination: The Agreement shall be subject to termination by the State Librarian or designee upon notice to the Grantee at least thirty (30) days prior to the effective date of termination. In the event this Agreement is terminated, the Grantee shall deliver to the State Librarian copies of all reports, accounting, data, and materials prepared up to the date of termination. The State Librarian shall determine and pay the Grantee for necessary and appropriate DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 29 2/20/2024
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expenditures and obligations up to the date of termination which have not been covered by prior installments previously paid to the Grantee. Upon such termination, the unused portion of the grant award must be returned to the State Library within 45 days. If funding has been advanced to the Grantee, any unobligated balances, as determined by the State Librarian, shall be returned to the State Library within 45 days of the notice of termination.
55. Timeline: Time is of the essence to this Agreement. It is mutually agreed between the parties that the Budget and the implementation plan included therein are part of the Agreement.
56. Unused Funds: At the end-of-term Grantee agrees to return any unexpended or unaccounted for funds to the State Library, or to submit a written request for an extension of the grant period. Funds will be considered unexpended or unaccounted if they were: (1) not used for their intended purpose, or (2) used inconsistent with the terms of this Agreement.
Funds will also be considered unaccounted for, and must be returned, if the proposal outcomes or deliverables are materially incomplete by the end-of-term or earlier termination, as determined by the State Library in its sole discretion.
57. Waiver of Rights: The State Library shall not be deemed to have waived any rights under this Agreement unless such waiver is given in writing and signed by State Library. No delay or omission on the part of State Library in exercising any rights shall operate as a waiver of such right or any other right. A waiver by State Library of a provision of this Agreement shall not prejudice or constitute a waiver of State Library’s right otherwise to demand strict compliance with that provision or any other provision of this Agreement. No prior waiver by State Library, nor any course of dealing between the State Library and Grantee, shall constitute a waiver of any of State Library’s rights or of any of Grantee’s obligations as to any future transactions. Whenever the consent of State Library is required under this Agreement, the granting of such consent by State Library in any instance shall not constitute continuing consent to subsequent instances where such consent is required and in all cases such consent may be granted or withheld in the sole discretion of the State Library.
58. Work Products: Grantee shall provide the State Library with copies of all final products identified in the Work Plan and Application. Grantee shall also provide the State Library with copies of all public education and advertising material produced pursuant to this Agreement.
59. Worker’s Compensation: The State of California will not provide Workers’ Compensation insurance for Grantee or Grantee’s employees or contract DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 30 2/20/2024
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personnel. If Grantee hires employees to perform services required by this Agreement, Grantee shall provide Workers’ Compensation insurance for them.
The Grantee is aware of Labor Code Section 3700, which requires every employer to be insured against liability for Workers’ Compensation or to undertake self-insurance in accordance with the Labor Code, and the Grantee agrees to comply with such provisions before commencing the performance of the work of this Agreement.
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EXHIBIT B: ADDITIONAL TERMS AND CONDITIONS
1. California Building Codes: Activities funded under this Agreement, regardless of funding source, must be in compliance with all applicable California Building Codes (Cal Code Regs., Title 24).
2. California Environmental Quality Act: Activities funded under this Agreement, regardless of funding source, must be in compliance with the California Environmental Quality Act (CEQA) (Public Resources Code section 21000 et seq.).
Information on CEQA may be found in the California State Clearinghouse Handbook.
3. Changes in a project: Any proposed change in the project requested by the Grantee, which would change the information provided during the application process, requires approval from the State Librarian prior to execution. The State Librarian shall have the sole authority to determine if a proposed change by the Grantee is approved or not approved. The State Librarian's decision is final and binding.
4. Compliance with Laws; Consents and Approvals: Grantee will comply with all applicable laws, ordinances, rules and regulations of federal, state, and local governments and agencies having jurisdiction over either the Grantee, the Property, or the project, and with all applicable directions, rules and regulations of the Fire Marshal, health officer, building inspector and other officers of any such government or agency. All permits, consents, permissions and licenses required by any federal, state or local government or agency to which Recipient, the Property, or the Infrastructure Project is subject, which may be necessary in relation to this Agreement, development, construction or ownership of the Infrastructure Project, at or prior to the commencement of construction, have been, or will be, obtained, and none of such consents, permissions and licenses are subject to appeal or to conditions which have not been met.
5. Contractors and Subcontractor: For the performance of all construction work on the Project, Grantee agrees to use a licensed general contractor or contractors (“Contractor”), in good standing, in order to complete the work described in the grant application. The Grantee hereby certifies that the Contractor is in good DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 32 2/20/2024
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standing with the California State Contractors' License Board. The Grantee shall only contract with contractors who are licensed and shall ensure that the Contractor and any successor thereto shall only contract with subcontractors, that are also so licensed.
6. Contractor Insurance/Bond: Grantees shall be responsible for ensuring that any contractors/subcontractors hired for grant-funded work have all relevant bonds and insurance in place in compliance with prevailing wage and other applicable state and federal laws, the Department of Industrial Relations, and the Department of Consumer Affairs Contractors State License Board requirements.
Insurance:
a. Casualty Insurance
i. The Contractor shall procure and maintain insurance on all of its operations with companies acceptable to the State as follows:
1) The Contractor shall keep all insurance in full force and effect from the beginning of the work through contract acceptance.
2) The Contractor shall maintain completed operations coverage with a carrier acceptable to the State through the expiration of the patent deficiency in construction statute of repose set forth in Code of Civil Procedure Section 337.1.
b. Workers’ Compensation and Employer’s Liability Insurance i. In accordance with Labor Code Section 1860, the Contractor shall secure the payment of worker's compensation in accordance with Labor Code Section 3700.
ii. In accordance with Labor Code Section 1861, the Contractor shall submit to the Grantee the following certification before performing the work:
1) I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract. iii. Contract execution constitutes certification submittal. iv. The Contractor shall provide Employer's Liability Insurance in amounts not less than:
1) $1,000,000 for each accident for bodily injury by accident 2) $1,000,000 policy limit for bodily injury by disease 3) $1,000,000 for each employee for bodily injury by disease v. If there is an exposure of injury to the Contractor's employees under the U.S.
Longshoremen's and Harbor Workers' Compensation Act, the Jones Act, or DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 33 2/20/2024
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under laws, regulations, or statutes applicable to maritime employees, coverage shall be included for such injuries or claims. c. General Liability Insurance
i. The Contractor shall carry General Liability and Umbrella or Excess Liability Insurance covering all operations by or on behalf of the Contractor providing insurance for bodily injury liability and property damage liability for the following limits and including coverage for:
A. Premises, operations, and mobile equipment
B. Products and completed operations
C. Broad form property damage (including completed operations) D. Explosion, collapse, and underground hazards
E. Personal injury
F. Contractual liability
ii. The Contractor shall not require certified Small Business subcontractors to carry Liability Insurance that exceeds the limits in Section (d)(i), "Liability Limits/Additional Insureds," of these specifications. The maximum required Liability Insurance limits in Section (d)(i), "Liability Limits/Additional Insureds," of these specifications shall apply to certified Small Business subcontractors for work performed on the project, regardless of tier. The provisions of Section (d)(i), "Liability Limits/Additional Insureds," shall be included in all subcontracts for all tiers.
Public works construction projects, as defined in Labor Code Section 1720 et seq, must meet prevailing wage requirements. California law requires that workers are not paid less than the general prevailing rate of per diem wages on public works projects.
d. LIABILITY LIMITS/ADDITIONAL INSUREDS
i. The limits of liability shall be at least the amounts shown in the following table:
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 34 2/20/2024
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Construction
Contract
Amount 4
For Each
Occurrence1
Aggregate for
Products/
Completed
Operation
General
Aggregate2
Umbrella or
Excess Liability3
≤$1,000,000 $1,000,000 $2,000,000 $2,000,000 $5,000,000 >$1,000,000
≤$15,000,000 $1,000,000 $2,000,000 $2,000;000 $10,000,000 >$15,000,000
≤$25,000,000 $2,000,000 $2,000,000 $4,000,000 $15,000,000 >$25,000,000 $2,000,000 $2,000,000 $4,000,000 $25,000,000
1. Combined single limit for bodily injury and property damage.
2. This limit shall apply separately to the Contractor's work under this contract.
3. The umbrella or excess policy shall contain a clause stating that it takes effect (drops down) in the event the primary limits are impaired or exhausted.
4. "Construction Contract Amount" is the total amount of the construction contract all or a portion of which is funded with Building Forward Grant funds.
7. Delay: Grantee shall promptly notify the State Library in writing of any event causing delay or interruption of the project beyond the scheduled implementation plan timeline. The notice shall specify the work delayed and the cause and period of each delay.
8. Documentation: Grantees shall provide to the State Library photographic documentation of the project site prior to the start of the project, during the project, and upon completion of the project.
9. Grantee’s Responsibility: Grantee and its representatives shall:
a. Faithfully and expeditiously perform or cause to be performed all project work as described in the application, timeline/activities, and budget submitted by the Grantee.
b. Accept and agree to comply with all terms, provisions, conditions, and written commitments of this Agreement, including all incorporated documents, and to fulfill all assurances, declarations, representations, and statements made by Grantee in the application, documents, amendments, and communications filed in relation to the grant funds.
c. Comply with all applicable California laws and regulations. d. Implement the project in accordance with applicable provisions of the law. e. Fulfill their obligations under the Agreement and be responsible for the performance and completion of the project.
f. Follow all applicable local, state and/or federal laws pertaining to the expenditure of funds.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 35 2/20/2024
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g. Retain any bid, contracts, and any other pertinent documentation. Likewise, all local, state, and federal permits required for construction projects must be acquired by the grantee and retained for a period of five (5) years after the end of the grant period.
10. Inspection of the Project: The State Library shall have the right to inspect the project during the grant term. Grantee shall deliver to the State Library any inspection reports prepared, to the extent available to the Grantee. Inspection of the project shall be for the sole purpose of protecting the State of California’s interest and is not to be construed as a representation by the State Library that there has been compliance with plans or that the project will be free of faulty materials or workmanship. The Grantee can make or cause to be made such other independent inspections as the Grantee may desire for its own protection.
11. Interest: Any interest earned on grant funds held by the Grantee shall be contributed to the Santa Ana Public Library – Newhope Library Learning Center project. Interest funds cannot be used as local matching funds.
12. Maintenance and Operation: The Grantee is responsible for ensuring that grant projects funded by the State of California are maintained and operated in the same condition as when the project was completed; normal wear and tear is accepted.
Maintenance and operations standards should be adopted upon completion of the project.
13. Matching Funds: Per the Budget Act of 2021 (Chapter 69, Statutes of 2021, Item 6120-161-0001 1d) Grantees shall be required to match state funds on a dollar-fordollar basis. The State Library may reduce the amount of required matching funds if the requesting local library jurisdiction can demonstrate that it is eligible and financially unable to provide the required matching funds. Upon receipt and assessment of a reduction request, the State Library may lower the match requirement, as follows:
a. For each library with local operating include per capita (LIPC) of more than $40, no reduction in local match is allowed.
b. For reach library with an LIPC between $40 and $15.01, the local match may be reduced by half.
c. For each library with an LIPC of $15 of less, the local match may be eliminated.
14. Permits, Licenses, Approvals, and Legal Obligations: Grantee shall be responsible for obtaining any and all permits, licenses, and approvals required for performing any work under this Grant Agreement, including those necessary to perform design, construction, or operation and maintenance of the Project(s). Grantee shall be responsible for observing and complying with any applicable federal, state, and local laws, rules or regulations affecting any such work, specifically those including, but not limited to, environmental, procurement, and safety laws, rules, regulations, DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 36 2/20/2024
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and ordinances. Grantee shall be prepared to provide copies of permits and approvals to the State Library should the State Library request copies.
15. Relationship of Parties: If applicable, Grantee is solely responsible for design, construction, and operation and maintenance of projects within the project application and implementation plan. Review or approval of plans, specifications, bid documents, or other construction documents by State is solely for the purpose of proper administration of funds by State and shall not be deemed to relieve or restrict responsibilities of Grantee under this Grant Agreement.
16. Use of Funds: Grantee agrees that the grant funds shall be expended only in accordance with the applicable statutes and Grant Guidelines governing the Program, and only for the purposes and activities set forth in this Agreement and the Grantee’s approved outputs, budget, and implementation plan completed as part of the award packet documentation. The grant funds shall be used exclusively for the payment of, or reimbursement for, approved costs as shown in the project budget completed as part of the award packet documentation or the amended budget as approved in writing by the State Library. Such payment of costs to be made only after the costs have been incurred by the Grantee. “Approved Costs” shall mean all hard and soft eligible costs under the project (and modifications thereto), which were approved, or will be approved by the State Library, which are needed for the completion of the project, in accordance with application.
17. Use of Site: The facility, or the part thereof, acquired, constructed, or remodeled, upgraded, or rehabilitated with funds received as part of the Building Forward grant program will be dedicated to public library service and used as a public library according to the Education Code, sections 18010 through 20092 and California Code of Regulations, Title 5, Division 2 and provide at least the following: an organized collection of printed or other library materials, or a combination thereof; paid staff; and regularly scheduled hours for being open to the public for a period of not less than 10 years following completion of the grant period.
18. Leases: Leases involving the facility, or the part thereof, acquired, constructed, or remodeled, upgraded, or rehabilitated with funds received as part of the Building Forward grant program will need to maintain a lease in place for a period of not less than 10 years following completion of the grant period. Leases (including any ground leases) will require approval from the State Library prior to award and any changes to the lease(s) during the term of the grant period must distributed to the grantee’s grant monitor for approval.
19. Withdrawal of a Project: If it is determined by the grant recipient that a project cannot be completed within the scope of the approved application, the project may be withdrawn by the Grantee prior to the completion of fifty percent of the project. Upon withdrawal of a project, all unspent funding must be returned to the DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 37 2/20/2024
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State Library along with a completed detailed expenditure form showing how any unreturned funds were spent.
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EXHIBIT C: CERTIFICATION OF COMPLIANCE FORM
1. AUTHORIZED REPRESENTATIVE: I certify that the authorized representative named below is the legally designated representative of the Grantee for this Grant Agreement and project and is authorized to receive and expend funds in order to administer this grant-funded project.
I certify that all information provided to the California State Library for review in association with this award is correct and complete to the best of my knowledge, and as the authorized representative of the Grantee, I commit to the conditions of this award, and I have the legal authority to do so.
I certify that any or all other participants or contractors in the grant-funded project have agreed to the terms of the Award Agreement and have entered into an agreement(s) concerning the final disposition of equipment, facilities, and materials purchased for this project from the funds awarded for the activities and services described in the attached award packet, as approved and/or as amended by the California State Librarian.
I certify that I have reviewed and understand the list of unallowable costs and that my project does not contain any of the unallowable costs listed.
The authorized representative, on behalf of the Grantee, certifies that the Grantee will comply with all applicable requirements of State and Federal laws, regulations, and policies governing this project, to include the requirements listed below in this Certification of Compliance Form.
2. The authorized representative, on behalf of the Grantee, hereby certifies to the California State Library, for an award of funds in the amount $1,086,754. This award will fund library facility improvements as set forth in the list of approved outcomes, Implementation Plan and Budget as approved and/or as amended by the California State Librarian.
3. The authorized representative, on behalf of the Grantee, hereby certifies that the City of Santa Ana will provide a cash match in the amount of $271,688. The matching funds (if applicable) will be expended during the grant period at the same rate as the state-provided grant funds.
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4. The authorized representative, on behalf of the Grantee, hereby certifies that the project property, or a part thereof, will be dedicated to public library services and used as a public library according to the Education Code, sections 18010 through 20092 and California Code of Regulations, Title 5, Division 2 and provide at least the following: an organized collection of printed or other library materials, or a combination thereof; paid staff; and regularly scheduled hours for being open to the public for a period of not less than 10 years following completion of the grant period.
5. STATEMENT OF COMPLIANCE: Grantee has, unless exempted, complied with the non-discrimination program requirements under the Fair Employment and Housing Act (Gov. Code §12900 et seq.), the regulations promulgated thereunder (Cal.
Code Regs., tit. 2, §11000 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Gov. Code §§ 11135-11139.5), and the regulations or standards adopted by the State Library to implement such article.
6. DRUG-FREE WORKPLACE REQUIREMENTS: Grantee will comply with the requirements of the Drug-Free Workplace Act of 1990 and will provide a drug-free workplace by taking the following actions:
a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations. b. Establish a Drug-Free Awareness Program to inform employees about:
1) the dangers of drug abuse in the workplace;
2) the person's or organization's policy of maintaining a drug-free workplace; 3) any available counseling, rehabilitation and employee assistance programs; and,
4) penalties that may be imposed upon employees for drug abuse violations. c. Every employee who works on the proposed Agreement will:
1) receive a copy of the company's drug-free workplace policy statement; and, 2) agree to abide by the terms of the company's statement as a condition of employment on the Agreement.
Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Grantee may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the Grantee has made false certification or violated the certification by failing to carry out the requirements as noted above. (Gov. Code § 8350 et. seq.)
7. CONFLICT OF INTEREST: Grantee needs to be aware of the following provisions regarding current or former state employees. If Grantee has any questions on the DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 40 2/20/2024
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status of any person rendering services or involved with the Agreement, the California State Library must be contacted immediately for clarification.
Current State Employees (Pub. Contract Code § 10410):
a. No officer or employee shall engage in any employment, activity or enterprise from which the officer or employee receives compensation or has a financial interest, and which is sponsored or funded by any state agency, unless the employment, activity or enterprise is required as a condition of regular state employment.
b. No officer or employee shall contract on his or her own behalf as an independent contractor with any state agency to provide goods or services.
Former State Employees (Pub. Contract Code § 10411):
a. For the two-year period from the date he or she left state employment, no former state officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the contract while employed in any capacity by any state agency.
b. For the twelve-month period from the date he or she left state employment, no former state officer or employee may enter into a contract with any state agency if he or she was employed by that state agency in a policy-making position in the same general subject area as the proposed contract within the 12-month period prior to his or her leaving state service.
If Grantee violates any provisions of above paragraphs, such action by Grantee shall render this Agreement void. (Pub. Contract Code § 10420).
Members of boards and commissions are exempt from this section if they do not receive payment other than payment of each meeting of the board or commission, payment for preparatory time and payment for per diem. (Pub. Contract Code § 10430 (e)).
8. LABOR CODE/WORKERS' COMPENSATION: Grantee needs to be aware of the provisions which require every employer to be insured against liability for Worker's Compensation or to undertake self-insurance in accordance with the provisions, and Grantee affirms to comply with such provisions before commencing the performance of the work of this Agreement. (Labor Code § 3700).
9. AMERICANS WITH DISABILITIES ACT: Grantee assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. (42 U.S.C. 12101 et. seq.)
10. RESOLUTION: A county, city, district, or other local public body must provide the California State Library with a copy of a resolution, order, motion, or ordinance of DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 41 2/20/2024
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the local governing body which by law has authority to enter into an agreement, authorizing execution of the agreement.
11. PAYEE DATA RECORD FORM STD. 204: This form must be completed by all Grantees that are not another state agency or other governmental entity.
12. CONTACT INFORMATION: Grantee will provide the State Library with requested project contacts and immediately inform their grant monitor of changes or updates to project contacts.
13. DRUG FREE WORKPLACE:
a. Continue to provide a drug-free workplace by complying with the requirements in 2 C.F.R. part 3186 (Requirements for Drug-Free Workplace (Financial Assistance)). In particular, the recipient must comply with drug- free workplace requirements in subpart B of 2 C.F.R. part 3186, which adopts the Governmentwide implementation (2 C.F.R. part 182) of sections 5152-5158 of the Drug-Free Workplace Act of 1988 (P. L. 100-690, Title V, Subtitle D; 41 U.S.C. §§ 701-707). b. This includes but is not limited to: making a good faith effort, on a continuing basis, to maintain a drug-free workplace; publishing a drug-free workplace statement; establishing a drug-free awareness program for the employees; taking actions concerning employees who are convicted of violating drug statutes in the workplace.
14. ACCESSIBILITY: The organization receiving this award, as listed in the certification section below, and all project staff, will ensure all project materials will meet California accessibility standards.
15. NON-DISCRIMINATION: The organization receiving this award, as listed in the certification section below, and all project staff, agree to comply with all California non-discrimination laws.
16. ACKNOWLEDGEMENT: The organization receiving this award, as listed in the certification section below, and all project staff, agree to comply with State Library acknowledgement requirements.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 42 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
Certification
ORGANIZATION
Name: Address (official and complete):
PROJECT COORDINATOR
Name:
Email: Phone:
GRANTEE AUTHORIZED REPRESENTATIVE
Name: Title:
Email: Phone:
Signature: Date:
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 [email protected]
Library Services Director
Maria Castro
714-647-5296
714-647-5269
26 Civic Center Plaza, Santa Ana, CA 92701
Brian Sternberg
Santa Ana Public Library
[email protected]
1/3/2024
City Council 12 – 43 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
Authorized Representative Signature
ORGANIZATION
Name: Address (official and complete):
AUTHROIZED REPRESENTATIVE
Signature: Date:
Printed Name of Person Signing: Title:
STATE OF CALIFORNIA
Agency Name: California State Library Address: 900 N Street, Sacramento, CA 95814 Signature: Date:
Printed Name of Person Signing: Title: California State Librarian DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 1/3/2024
Brian Sternberg
26 Civic Center Plaza, Santa Ana, CA 92701
Library Services Director
Santa Ana Public Library
Greg Lucas
1/3/2024
City Council 12 – 44 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
EXHIBIT D: STATE REIMBURSABLE TRAVEL EXPENSES
Rates are subject to change per State of California, Department of Human Resources Please Check State of California, Department of Human Resources Website for updated expenses:
http://www.calhr.ca.gov/employees/pages/travel-reimbursements.aspx Mileage:
Rate subject to change
$0.585 per mile – approved business/travel expense
Meals:
Receipts are required
$7.00 – Breakfast
$11.00 – Lunch
$23.00 – Dinner
$5.00 - Incidentals
Meals Note: Lunch can only be claimed if travel is more than 24 hours. Incidental charge may be claimed once for every 24-hour period and should cover incidental expenses, such as but not limited to, tip, baggage handling, etc.
Hotel:
Receipts are required
and MUST have a zero
balance.
$ 90.00 plus tax for all counties/cities not listed below $ 95.00 plus tax for Napa, Riverside, and Sacramento
Counties
$ 110.00 plus tax for Marin County
$ 120.00 plus tax for Los Angeles, Orange, and Ventura
Counties, and Edwards AFB. Excluding the city of Santa
Monica
$ 125.00 plus tax for Monterey and San Diego Counties
$ 140.00 plus tax for Alameda, San Mateo and Santa
Clara Counties
$ 150.00 plus tax for the City of Santa Monica
$ 250.00 plus tax for San Francisco County
Out of State: Prior authorization must be obtained, as well as three print-out hotel quotes. Actual receipt must be included with authorization and additional quotes.
Hotel Note: If the above approved reimbursable hotel rates cannot be secured, please contact your grant monitor to obtain an excess lodging form. This form must be approved prior to actual travel.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 45 2/20/2024
City of Santa Ana
Santa Ana Public Library – Newhope Library Learning
Center
BF-23-011
AIRLINE TICKETS:
Itinerary and receipts are
required
Actual reasonable fees pertaining to airline travel will be reimbursed. Business, First Class, or Early Bird Check-in fee is not an approved reimbursable expense.
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 46 2/20/2024
November 1, 2022
RE: Contractor and Grantee Compliance with Economic Sanctions Imposed in Response to Russia’s Actions in Ukraine
Dear Grantee,
You are receiving this notification because you currently have an active grant through the California State Library.
On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (EO) regarding sanctions in response to Russian aggression in Ukraine. The EO is located at https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia-Ukraine-ExecutiveOrder.pdf.
The EO directs all agencies and departments that are subject to the Governor’s authority to take certain immediate steps, including notifying all contractors and grantees of their obligations to comply with existing economic sanctions imposed by the U.S. government in response to Russia's actions in Ukraine, as well as any sanctions imposed under state law.
This correspondence serves as a notice under the EO that as a contractor or grantee, compliance with the economic sanctions imposed in response to Russia’s actions in Ukraine is required, including with respect to, but not limited to, the federal executive orders identified in the EO and the sanctions identified on the U.S. Department of the Treasury website (https://home.treasury.gov/policy-issues/financial-sanctions/sanctionsprograms-and-country-information/ukraine-russia-related-sanctions). Failure to comply may result in the termination of contracts or grants, as applicable.
Please note that for any agreements or grants valued at $5 million or more, a separate notification will be sent outlining additional requirements specified under the EO.
Annly Roman
Grants and Bureau Operations
Manager
California State Library
900 N Street
Sacramento, CA 95814
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 City Council 12 – 47 2/20/2024
INFRASTRUCTURE – BUILDING FORWARD
FINANCIAL CLAIM
1 st PAYMENT
CERTIFICATION
I hereby certify under penalty of perjury: that I am the duly authorized representative of the claimant herein; that this claim is in all respects true, correct and in accordance with law and the terms of the agreement; and that payment has not previously been received for the amount claimed herein.
By
(Signature of the Authorized Representative)
(Print Name) (Title)
*Legal payee name must match the payee’s federal tax return. Warrant will be made payable to payee name. Payee discrepancies in name and/or address may cause delay in payment. If you need to change payee name and/or address, please contact Fiscal Services at [email protected].
State of California, State Library Fiscal Office
ENY: 2023 ITEM NO: 6120-1613-0001, Chapter 12, Statutes of 2023 PURCHASING AUTHORITY NUMBER: CSL-6120 REPORTING STRUCTURE: 61202000 COA: 5432000 PROGRAM #: 5312
FAIN: N/A
By Date
(State Library Representative)
Grant Award #: BF-23-011 Date:
Invoice #: BF-23-011-01 PO #: 6948
Payee Name: City of Santa Ana
(Legal name of authorized agency to receive, disburse and account for funds*) Complete Address:
Street Address, City, State, Zip Code (Warrant will be mailed to this address) Amount Claimed: $543,377.00 Type of Payment:
(Payable Upon Execution of Agreement) ☒ PROGRESS
Grantee Name: City of Santa Ana ☐ FINAL
(Name on Award Letter and Agreement) ☐ IN FULL
Project Title: Newhope Library Renovation Project ☐ AUGMENT For Period From: upon execution to end of grant period
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 Library Services Director
1/3/2024
Brian Sternberg
26 Civic Center Plaza, Santa Ana, CA 92701
1/4/2024
City Council 12 – 48 2/20/2024
State of California
Financial Information System for California (FI$Cal)
GOVERNMENT AGENCY TAXPAYER ID FORM
2000 Evergreen Street, Suite 215
Sacramento, CA 95815
www.fiscal.ca.gov
1-855-347-2250
The principal purpose of the information provided is to establish the unique identification of the government entity.
Instructions: You may submit one form for the principal government agency and all subsidiaries sharing the same TIN. Subsidiaries with a different TIN must submit a separate form. Fields bordered in red are required. Hover over fields to view help information. Please print the form to sign prior to submittal. You may email the form to: [email protected], or fax it to (916) 576-5200, or mail it to the address above.
Principal
Government
Agency Name
Remit-To
Address (Street
or PO Box)
City
Government Type:
State Zip Code+4
County Federal
Employer
City
Special District Federal Identification
Other (Specify) Number
(FEIN)
List other subsidiary Departments, Divisions or Units under your principal agency's jurisdiction who share the same FEIN and receives payment from the State of California.
Dept/Division/Unit Complete
Name Address
Dept/Division/Unit Complete
Name Address
Dept/Division/Unit Complete
Name Address
Dept/Division/Unit Complete
Name Address
Contact Person Title
Phone number E-mail address
Signature Date
DocuSign Envelope ID: 559950F4-C2A7-4C48-AD17-D6B4EF4D5FB6 Santa Ana
92701-4010
X
20 Civic Center Plaza
Santa Ana
Santa Ana Public Library 26 Civic Center Plaza, Santa Ana, CA 92701 956000-785
1/3/2024
CA
City Council 12 – 49 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 13
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: SR-55/Ritchey Street Water Improvements
AGENDA TITLE
Approve Appropriation Adjustment in the Amount of $1,150,000 and Additional Contingency Funds in the Amount of $1,100,000 for an Existing Construction Contract with James W. Fowler Co., and Additional Contract Administration, Inspection, and Testing in the Amount of $50,000 with an Estimated Project Delivery Cost of $8,400,000 for the SR-55/Ritchey Street Water Improvements Projects (Project Nos.19-6438, 19- 6439, 19-6440) (Non-General Fund)
RECOMMENDED ACTION
1. Approve an appropriation adjustment to recognize $1,150,000 in reimbursement obligation funds from Orange County Transportation Authority (OCTA), as stipulated in the three Utility Reimbursement Agreements for the State Route 55 Improvement Project, into the Acquisition & Construction, Water Utility Capital Projects, Expense Reimbursement-OCTA revenue account and appropriate the same amount into the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account. (Requires five affirmative votes)
2. Approve an amendment to the Project Cost Analysis in the amount of $1,150,000 for $1,100,000 in additional contingency funds and $50,000 in additional contract administration, inspection, and testing for a new estimated total construction delivery cost of $8,400,000.
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The Orange County Transportation Authority (OCTA) is the lead agency for the State Route 55 (SR-55) freeway widening project from Interstate 405 (I-405) to Interstate 5 (I5). As a result of the freeway widening, various utility relocations will be needed along the corridor, including existing City water infrastructure consisting of a water main on Ritchey Street, two water mains crossing the SR-55 freeway, and a pressure regulating station adjacent to the SR-55 freeway near Warner Avenue (Exhibit 1).
City Council 13 – 1 2/20/2024
SR-55/Ritchey Street Water Improvements
February 20, 2024
On December 21, 2021, the City Council authorized the award of a construction contract to James W. Fowler Co. for various utility relocations as a result of the SR-55 freeway widening. The project is currently under construction and additional improvements have been identified that surpass the existing contingency of $997,975.
To capitalize on the favorable pricing of the existing contract with James W. Fowler Co., staff recommends increasing the project contingency by $1,100,000 and the contract administration, inspection, and testing funds by $50,000 to complete the utility relocation project.
The recommended action will increase the project contingency and contract administration, inspection, and testing by $1,150,000, thereby increasing the total estimated construction delivery cost to $8,400,000, as indicated in the Cost Analysis (Exhibit 2) and as summarized in the table below:
Project Item Current
Total
Additional
Funding New Total
Construction Contract Bid Amount $5,922,025 $5,922,025
Construction Administration, Inspection,
Testing $180,000 $50,000 $230,000
Contingencies $997,975 $1,100,000 $2,097,975
Water Engineering $150,000 $150,000
TOTAL ESTIMATED CONSTRUCTION
DELIVERY COST $7,250,000 $1,150,000 $8,400,000
FISCAL IMPACT
Approval of the requested Appropriation Adjustments will recognize $1,150,000 in reimbursement obligation funds from OCTA, as outlined in the Cooperative Agreement No. C-0-2201 and three Utility Reimbursement Agreements for the State Route 55 Improvement Project, into the Acquisition & Construction, Water Utility Capital Projects, Expense Reimbursement-OCTA revenue account (No. 06617647-57004) and appropriate the same amount into the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account (No. 06617647-66301).
All funds expended for the water relocation project costs will be reimbursed by the Orange County Transportation Authority (OCTA). As discussed at various project/funding coordination meetings between City and OCTA staff, the three Utility Reimbursement Agreements will be revised at the end of the project to account for all expenses incurred by the City, after all final costs have been identified. Funds will be budgeted and available for expenditure in Account No. 06617647-66301 in the following water relocation projects: $543,220 for Project No. 19-6439, and $606,780 for Project No. 19-6440.
City Council 13 – 2 2/20/2024
SR-55/Ritchey Street Water Improvements
February 20, 2024
The following table summarizes the funds budgeted and available in current FY 2023-24 for expenditure to deliver construction of this project. Any remaining balances not expended at the end of the fiscal year will be presented to the City Council for approval of carryovers to FY 2024-25.
Fiscal
Year
Accounting Unit –
Account No.
Fund
Description
Accounting Unit –
Account No.
Description
Amount
Existing Project Budget
2023-24 06617647-66301
(19-6438)
Acquisition &
Construction
Water Utility Capital
Projects, Water
Capital Project
$2,520,000
2023-24 06617647-66301
(19-6439)
Acquisition &
Construction
Water Utility Capital
Projects, Water
Capital Project
$2,530,000
2023-24 06617647-66301
(19-6440)
Acquisition &
Construction
Water Utility Capital
Projects, Water
Capital Project
$2,200,000
Additional Funding
2023-24 06617647-66301 Acquisition &
Construction
Water Utility Capital
Projects, Water
Capital Project
$1,150,000
TOTAL: $8,400,000
EXHIBIT(S)
1. Location Map
2. Revised Cost Analysis
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 13 – 3 2/20/2024
PWA
SANTA ANA
PUBLIC WORKS AGENCY
Project Nos. 19-6438, 19-6439, 19-6440:
Ritchey Street Water Main, SA-7 Pressure
Regulating Station, & SR-55 Water Main Crossing
Project
Location
City Council 13 – 4 2/20/2024
EXHIBIT 2
REVISED COST ANALYSIS
CONSTRUCTION PROJECT NO. 19-6438, 19-6439, 19-6440: SR-55/Ritchey Water Main Improvements
Construction Contract $ 5,922,025
Contract Administration, Inspection and Testing $ 230,000 Water Engineering $ 150,000
Contingencies $ 2,097,975
TOTAL ESTIMATED CONSTRUCTION COSTS $ 8,400,000
City Council 13 – 5 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 14
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: SARTC Beautification Projects
AGENDA TITLE
Approve an Appropriation Adjustment for the Santa Ana Regional Transportation Center Transit Beautification Projects
RECOMMENDED ACTION
Approve an appropriation adjustment to recognize $1,975,000 in Clean California Local Grant Program funding from the California Department of Transportation for the Santa Ana Regional Transportation Center Painting and Wrought Iron Fencing project and the Santa Ana Regional Transportation Center Outdoor Water Fountain Renovation project. (Requires five affirmative votes)
GOVERNMENT CODE §84308 APPLIES No
DISCUSSION
In September 1985, the Santa Ana Regional Transportation Center (SARTC) was opened and quickly became a major transportation hub in Orange County. Located at 1000 E Santa Ana Blvd., Santa Ana, CA 92701, SARTC serves as a hub for various transportation services, including Amtrak intercity rail service, Metrolink commuter rail service, and several local and regional bus services (i.e. Orange County Transportation Authority (OCTA), Greyhound, and other bus services). The Spanish and Mediterranean Revival architectural style of SARTC features ceramic red barrel roof tiles, stucco-style walls, and extensive use of painted tiles for decoration. Many features are original to the facility.
The Public Works Agency (PWA)’s, Parks, Fleet, and Facilities Services Division submitted two successful grant applications for funding to the California Department of Transportation (Caltrans) Clean California Local Grant Program to revitalize the SARTC. On December 5, 2023, the City Council adopted Resolution 2023-090 and 2023-091, which authorized the Executive Director of the Public Works Agency to execute agreements with Caltrans for the following two projects:
• SARTC Painting and Wrought Iron Fencing Project
City Council 14 – 1 2/20/2024
SARTC Beautification Projects
February 20, 2023
The existing exterior paint of the SARTC has faded and chipped, leaving the facility looking neglected and outdated. The existing dilapidated wrought iron fence is also worn out and has significant rust that requires removal and/or replacement. The proposed project to repaint the exterior of the SARTC and repair the wrought iron fencing aims to provide an appealing and pleasing commuting environment for the community and overall region. This entails the removal of existing wrought iron fencing and installation of new perimeter fencing.
• SARTC Outdoor Water Fountain Renovation Project
As the main decorative art installation of the SARTC’s entrance, the outdoor water fountain intends to enhance the commuter experience by providing an aesthetically pleasing and tranquil environment. The water fountain has been inoperable for over 5 years, is chipping in many locations, has algae build-up, and does not have running water or power. After careful inspection and consideration, staff concluded that the water fountain, including everything that fed into or out of the fountain, needs replacement. The design includes removing the existing outdoor water fountain and replacing it with a new fountain, including plumbing, pump, and electrical components.
Both projects are anticipated to be completed by December 31, 2024. To ensure the timely delivery of these projects, staff recommends approving the appropriation adjustments recognizing the grant funding.
FISCAL IMPACT
Approval of the requested Appropriation Adjustments will recognize California Department of Transportation, Clean California Local Grant Program grant funds totaling $1,975,000 into the PWA-SARTC Operations, State Grant-Direct revenue account (No. 06717002-52025), and appropriate $1,475,000 into the PWA-SARTC Operations, Buildings & Building Improvements expenditure account (No. 06717650- 66200) and $500,000 into the PWA-SARTC Operations, Improvements Other Than Buildings expenditure account (No. 06717650-66220).
The following table summarizes the funds budgeted in FY 2023-24 and available for expenditure to deliver these projects.
Fiscal
Year
Accounting
Unit -
Account No.
Fund
Description
Accounting Unit,
Account No.
Description
Amount
Appropriation Adjustment
2023-24 06717650-
66200
Regional
Transp Center
PWA-SARTC
Operations, Buildings &
Building Improvements
$1,475,000
City Council 14 – 2 2/20/2024
SARTC Beautification Projects
February 20, 2023
Fiscal
Year
Accounting
Unit -
Account No.
Fund
Description
Accounting Unit,
Account No.
Description
Amount
2023-24 06717650-
66220
Regional
Transp Center
PWA-SARTC
Operations,
Improvements Other
Than Buildings
$500,000
TOTAL $1,975,000
EXHIBIT(S)
1. Caltrans Agreement – SARTC Painting and Wrought Iron Fencing
2. Caltrans Agreement – SARTC Outdoor Water Fountain Renovation Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 14 – 3 2/20/2024
City Council 14 – 4 2/20/2024
City Council 14 – 5 2/20/2024
City Council 14 – 6 2/20/2024
City Council 14 – 7 2/20/2024
City Council 14 – 8 2/20/2024
City Council 14 – 9 2/20/2024
City Council 14 – 10 2/20/2024
City Council 14 – 11 2/20/2024
City Council 14 – 12 2/20/2024
City Council 14 – 13 2/20/2024
City Council 14 – 14 2/20/2024
City Council 14 – 15 2/20/2024
City Council 14 – 16 2/20/2024
City Council 14 – 17 2/20/2024
City Council 14 – 18 2/20/2024
City Council 14 – 19 2/20/2024
City Council 14 – 20 2/20/2024
City Council 14 – 21 2/20/2024
12/21/2023
Walter Yu (Dec 22, 2023 12:16 PST) 12/22/2023
City Council 14 – 22 2/20/2024
12-Transit-16 RGA FINAL
Final Audit Report 2023-12-22
Created: 2023-12-22
By: Dallia Foster ([email protected])
Status: Signed
Transaction ID: CBJCHBCAABAAywE-t3pURROrSBdv_fz4XyGNvi0Qlgkv "12-Transit-16 RGA FINAL" History
Document created by Dallia Foster ([email protected])
2023-12-22 - 4:57:30 PM GMT
Document emailed to Walter Yu ([email protected]) for signature 2023-12-22 - 4:58:14 PM GMT
Document e-signed by Walter Yu ([email protected])
Signature Date: 2023-12-22 - 8:16:00 PM GMT - Time Source: server Agreement completed.
2023-12-22 - 8:16:00 PM GMT
City Council 14 – 23 2/20/2024
City Council 14 – 24 2/20/2024
City Council 14 – 25 2/20/2024
City Council 14 – 26 2/20/2024
City Council 14 – 27 2/20/2024
City Council 14 – 28 2/20/2024
City Council 14 – 29 2/20/2024
City Council 14 – 30 2/20/2024
City Council 14 – 31 2/20/2024
City Council 14 – 32 2/20/2024
City Council 14 – 33 2/20/2024
City Council 14 – 34 2/20/2024
City Council 14 – 35 2/20/2024
City Council 14 – 36 2/20/2024
City Council 14 – 37 2/20/2024
City Council 14 – 38 2/20/2024
City Council 14 – 39 2/20/2024
City Council 14 – 40 2/20/2024
City Council 14 – 41 2/20/2024
12/21/2023
Walter Yu (Dec 22, 2023 12:18 PST) 12/22/2023
City Council 14 – 42 2/20/2024
12-Transit-07 - RGA FINAL
Final Audit Report 2023-12-22
Created: 2023-12-22
By: Dallia Foster ([email protected])
Status: Signed
Transaction ID: CBJCHBCAABAA22ceNWokmb07ecXdndnb9C1F0oP96bbG "12-Transit-07 - RGA FINAL" History
Document created by Dallia Foster ([email protected])
2023-12-22 - 4:05:48 PM GMT
Document emailed to Walter Yu ([email protected]) for signature 2023-12-22 - 4:06:45 PM GMT
Document e-signed by Walter Yu ([email protected])
Signature Date: 2023-12-22 - 8:18:02 PM GMT - Time Source: server Agreement completed.
2023-12-22 - 8:18:02 PM GMT
City Council 14 – 43 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 15
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Purchase of Eight Chevrolet EV Blazer SUVs for Various City Agencies
AGENDA TITLE
Approve an Appropriation Adjustment and Award a Purchase Order to Santa Ana Guaranty Chevrolet Motors, Inc. for Eight EV Blazer SUVs, in an Amount Not-to-Exceed $563,304 (Bid No. 23-184A) (Non-General and General Fund)
RECOMMENDED ACTION
1. Approve an appropriation adjustment recognizing $214,364 in prior-year fund balance in the Air Quality Improvement (AB 2766) Fund, Prior Year Carry Forward revenue account and appropriate the same amount into the Fleet Services-Air Quality Improvement expenditure account. (Requires five affirmative votes)
2. Authorize a one-time purchase and payment of purchase order to Santa Ana Guaranty Chevrolet Motors, Inc. for eight Chevrolet EV Blazer SUVs, in an amount not-to-exceed $518,304, with a $45,000 contingency.
GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
The Public Works Agency’s Parks, Fleet, and Facilities Services Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The Fleet Services team routinely strategizes to implement green measures that advance the California Clean Air Act mobile source emission reduction goals.
Adopted in 1990, California Assembly Bill 2766 (AB 2766) allows motor vehicle subvention fund recipients to replace conventionally fueled vehicles with lower emission and zero emission vehicles. To further reduce the City’s carbon footprint, greenhouse gas emissions, and overall operational maintenance cost, the Fleet Services Division is requesting to purchase three Chevrolet EV Blazer SUVs for the Public Works Agency and two Chevrolet EV Blazer SUVs for the Community Development Agency.
In addition, the Planning and Building Agency has recently hired three Code Enforcement Officers, which would require additional vehicles for the Officers to conduct daily inspections within the city. The Planning and Building Agency has determined they have enough budget to request the purchase of three Chevrolet EV Blazer SUVs.
City Council 15 – 1 2/20/2024
Purchase of Eight Chevrolet EV Blazer SUVs for Various City Agencies February 20, 2024
The Invitation for Bids (IFB) No. 23-184A (Exhibit 1) was advertised on December 13, 2023 on the City’s online bid management and publication system. A summary of IFB vendor participation and results is as follows:
184 Vendors notified
22 Santa Ana vendors notified
9 Vendors downloaded the bid packet
1 Bids received
1 Bid received from Santa Ana vendors
Bids were solicited, opened on January 3, 2024, and have been evaluated. One bid was submitted by the IFB deadline. Guaranty Chevrolet Motors, Inc. of Santa Ana, CA, only submitted bid pricing for all five EV Blazer SUVs. The bid submitted by Santa Ana Guaranty Chevrolet Motors, Inc. was determined to be the lowest, responsible bid, was responsive to the specifications for the vehicles, and met the City’s requirements (Exhibit 2). Staff recommends awarding a Purchase Order to Guaranty Chevrolet Motors, Inc., the sole bidder, for the purchase of these eight EV Blazer SUVs. Santa Ana Guaranty Chevrolet Motors, Inc. has successfully done business with the City for over 11 years, and consistently provides competitive pricing and responsible bids in response to the competitive solicitations released by Purchasing for the Public Works Agency on behalf of City departments.
FISCAL IMPACT
With the approval of the requested appropriation adjustment, $214,364 will be recognized in prior-year fund balance in the Air Quality Improvement (AB 2766) Fund, Prior Year Carry Forward revenue account (No. 03117002-50001) and appropriate the same amount into the Fleet Services-Air Quality Improvement, Machinery and Equipment expenditure account (No. 03117101-66400).
Funding is available in FY 2023-24 budget and available for expenditures in the Housing Asset, Housing Authority Funds, and Planning and Building Agency.
Fiscal Year Accounting
UnitAccount #
Fund
Description
Accounting Unit,
Account Description
Amount
Appropriation Adjustment
FY 23-24 03117101-
66400
Air Quality
Improvement
Fleet Services-Air
Quality Improvement,
Machinery & Equipment
$214,364
Existing Budget
City Council 15 – 2 2/20/2024
Purchase of Eight Chevrolet EV Blazer SUVs for Various City Agencies February 20, 2024
Fiscal Year Accounting
UnitAccount #
Fund
Description
Accounting Unit,
Account Description
Amount
FY 23-24 60718810-
66410 Housing Asset Housing Asset Admin, Vehicle Purchase $69,788 FY 23-24 14018760-
66410
Housing
Authority
Housing AuthorityVouchers ADM, Vehicle
Purchase
$69,788
FY 23-24 03116510-
66400
Air Quality
Improvement
(AB 2766)
Planning and Building
Agency-Air Quality
Improvement,
Machinery & Equipment
$107,000
FY 23-24 01116540-
66400
Code
Enforcement,
Community
Preservation
Planning and Building
Agency,
Machinery & Equipment
$102,364
TOTAL $563,304
EXHIBIT(S)
1. Abstract of Bids
2. Chevrolet EV Blazer SUV Sample Picture
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 15 – 3 2/20/2024
BIDDER LOCATION TOTAL
Guaranty Chevrolet Motors, Inc. Santa Ana, CA $64,788
CHEVROLET BLAZER EV (23-184A)
ABSTRACT OF BIDS
EXHIBIT 1
City Council 15 – 4 2/20/2024
EXHIBIT 2
City Council 15 – 5 2/20/2024
City Council 15 – 6 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Purchase of Ten Traffic Signal Controller Cabinets
AGENDA TITLE
Award a Purchase Order to Econolite Control Products, Inc. in an Amount of $94,720 (Bid No. 23-176) (Non-General Fund)
RECOMMENDED ACTION
Authorize a one-time purchase and payment of purchase order to Econolite Control Products, Inc. for ten assembled traffic signal controller cabinets in an amount of $94,720 plus a contingency of $5,000, for a total amount not to exceed $99,720.
GOVERNMENT CODE §84308 APPLIES: No
DISCUSSION
The City of Santa Ana currently maintains and operates 306 traffic signals, many of which have outdated cabinets. Often, these cabinets fail due to traffic collisions, electrical surges, rust, or copper wire vandalism. Once the traffic signal controller cabinets are compromised, they must be replaced immediately to minimize delay and traffic congestion impacts to the public. To expedite cabinet replacement, staff recommends the purchase of ten traffic signal controller cabinets that meet current Caltrans standards. These cabinets will be provided to the traffic signal maintenance Contractor on an as-needed basis for installation.
The Invitation for Bids (IFB) No. 23-176 was advertised on December 1, 2023 on the City’s online bid management and publication system, PlanetBids. A summary of IFB vendor participation and results is as follows:
350 Vendors notified
25 Santa Ana vendors notified
25 Vendors downloaded the bid packet
3 Bids received
0 Bids received from Santa Ana vendors
Bids were solicited, opened on December 14, 2023, and evaluated. Three bids were submitted by the IFB deadline, and the bid submitted by Econolite Control Products, Inc. of Anaheim, CA, was determined to be the lowest, responsible bid, was responsive to the specifications of the assembled traffic control signal cabinets, and met the City’s City Council 16 – 1 2/20/2024
Purchase of Ten Traffic Signal Controller Cabinets
February 20, 2024
requirements. Staff recommends awarding a purchase order to Econolite Control Products for the purchase of ten traffic signal controller cabinets.
FISCAL IMPACT
The following table summarizes the funds budgeted in FY 2023-24 and available for expenditure.
Fiscal Year Accounting UnitAccount #Fund
Description
Accounting Unit,
Account
Description
Amount
2023-24 02917620-62300 Special Gas Tax
Traffic Signal
Maintenance,
Contract ServicesProfessional
$99,720
TOTAL $99,720
EXHIBIT(S)
1. Bid Abstract
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 16 – 2 2/20/2024
BIDDER LOCATION TOTAL
Econolite Control Products,
Inc. Anaheim, CA $94,720
McCain, Inc. Vista, CA $ 108,100.00
Morgan Ingland Morgan Hill, CA $ 191,279.00
Assembled Traffic Control Signal Cabinets (23-176)
ABSTRACT OF BIDS
EXHIBIT 1
City Council 16 – 3 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Award Blanket Order Contracts for Water Meter Boxes and Lids
AGENDA TITLE
Award Aggregate Inventory Blanket Order Contracts for Water Meter Boxes and Lids to Core & Main and Ferguson Enterprises LLC, dba Ferguson Water Works, in a Total Aggregate Amount Not to Exceed of $3,000,000 for a three-year term beginning February 6, 2024 and Expiring February 5, 2027, With Provisions for up to Three Additional One-Year Renewal Periods (Specification No. 23-102) (Non-General Fund)
RECOMMENDED ACTION
Award Blanket Order Contracts to Core & Main and Ferguson Enterprises LLC, dba Ferguson Water Works, to provide water meter boxes and lids for a shared aggregate amount not to exceed $3,000,000, for a three-year term beginning February 6, 2024 and expiring February 5, 2027, with provisions for three, one-year renewal periods, in accordance with each vendor’s respective contract terms and conditions.
GOVERNMENT CODE §84308 APPLIES No
DISCUSSION
The Public Works Agency’s Water Resources Division (Water Resources) oversees and maintains the daily operations of the water system and sanitary sewer system. The City’s water system is comprised of approximately 478 miles of water mains supplying the City’s drinking water and sanitary sewer system having approximately 390 miles of sewer mains serving 333,000 residents and businesses of the City of Santa Ana.
The Invitation for Bids (IFB) No. 23-102 was advertised on October 31, 2023 and offers were solicited. A summary of the bidding process is as follows:
40 Vendors Were Notified
23 Vendors Downloaded the IFB
4 Santa Ana Vendors Notified
2 1
Bids Received
Bid Received from Santa Ana
Vendors
City Council 17 – 1 2/20/2024
Award a Blanket Order Contract for Water Meter Boxes and Lids February 20, 2024
Two bids were received, opened on November 28, 2023, and evaluated. Bids by Core & Main and Ferguson Enterprises LLC, dba Ferguson Water Works, a Santa Ana vendor, were determined to be responsive to the specifications and meet the City’s requirements.
Local Outreach Efforts
The Purchasing Division advertised this project on the City’s online bid management and publication system, which directly notified four Santa Ana vendors, one of which downloaded the IFB and submitted a bid for consideration.
FISCAL IMPACT
Funding is available in the current FY 2023-24 budget and funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration.
Fiscal
Year
Accounting
Unit –
Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
2023-24
Feb - Jun
06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
187,500
2024-25 06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
500,000
2025-26 06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
500,000
2026-27 06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
500,000
2027-28 06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
500,000
2028-29 06017646-63001 Water Water Meter
Services,
Miscellaneous
Operating Expenses
500,000
2029-30
Jul - Feb
06017646-63001 Water Water Meter
Services,
312,500
City Council 17 – 2 2/20/2024
Award a Blanket Order Contract for Water Meter Boxes and Lids February 20, 2024
Miscellaneous
Operating Expenses
TOTAL $3,000,000
EXHIBIT(S)
1. Bid Abstract
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 17 – 3 2/20/2024
City of Santa Ana IFB 23-102
Bid Results for Project Water Meter Boxes & Lids
Bid Due on November 28, 2023 2:00 PM (PDT)
Core & Main
St. Louis, MO
Feguson Enterprises LLC dba Ferguson
Waterworks
Santa Ana, CA
Item No. Description UOM QTY Unit Pricing Ext. Pricing Unit Pricing Ext. Pricing 1 DFW 486WBC4-12-Body: DFW 11"X18"X12" GRAY "WIDE BODY" METER BOX BODY POLYMER H20 RATED 1000 EA $ 93.11 $ 93,110.00 $ 86.53 $ 86,530.00 2 DFW 1640C4-12 Body: DFW 17"X30"X12" GRAY "WIDE BODY" METER BOX BODY POLYMER H20 RATED 150 EA $ 127.34 $ 19,101.00 $ 118.35 $ 17,752.50 3 DFW486C-AF4F 63D NHK Lid: DFW 18”X11” GRAY METER BOX LID ONLY 2000 EA $ 54.60 $ 109,200.00 $ 50.32 $ 100,640.00 4 DFW713-AF4F 63D NHK-Lid: DFW 13”X7” GRAY METER BOX LID ONLY 1200 EA $ 25.22 $ 30,264.00 $ 23.44 $ 28,128.00 5 DFW914C-AF4F 63D NHK-Lid: DFW 9"X14" GRAY METER BOX LID ONLY 300 EA $ 36.45 $ 10,935.00 $ 33.87 $ 10,161.00 6 DFW36C-AF4F 63D NHK-Lid: DFW 16”x11”x1-7/8” GRAY METER BOX LID ONLY 2000 EA $ 46.05 $ 92,100.00 $ 42.50 $ 85,000.00 7 DFWPW5C-AF4F 63D NHK-Lid: DFW 21X11 “C” GRAY METER BOX LID ONLY 60 EA $ 70.18 $ 4,210.80 $ 65.23 $ 3,913.80 8 DFW1640C-AF4F 63D NHK-Lid: DFW 30”X17”X1-7/8” GRAY METER BOX LID ONLY 300 EA $ 119.77 $ 35,931.00 $ 111.31 $ 33,393.00 9 DFW1812SA-AFAF 63D NHK-Lid: DFW 19"X12"X3/4" GRAY METER BOX LID ONLY 300 EA $ 48.31 $ 14,493.00 $ 44.90 $ 13,470.00 Subtotal $ 621.03 $ 409,344.80 $ 576.45 $ 378,988.30
Item No. Description UOM QTY Unit Pricing Ext. Pricing Unit Pricing Ext. Pricing 10 Oldcastle Duralite 1730 Box: 20-1/2”X33-1/2”X12” BOX 1 EA $ 697.23 $ 697.23 $ 528.26 $ 528.26 11 Oldcastle Fibrelyte FL12T Box: 19”X12-3/8”X12” 1 EA $ 202.25 $ 202.25 $ 148.86 $ 148.86 12 Oldcastle FL12P Lid: 18-1/8”X11-1/4”X1-3/4” LID ONLY 1 EA $ 113.32 $ 113.32 $ 83.40 $ 83.40 13 Oldcastle FL36P Lid 30-1/2”X17-1/2” LID ONLY 1 EA $ 320.09 $ 320.09 $ 235.59 $ 235.59 Subtotal $ 1,332.89 $ 1,332.89 $ 996.11 $ 996.11
MISC
For items not specified herein, vendor must enter minimum percentage (%) discount offered to the City at the unit price. Discount from vendor’s price list shall remain firm throughout the term of the contract. Lot 1 10% 10% DEL 1 Lead Time (number of business days from date of order placement) Days 60 42-56 Total $ 1,953.92 $ 410,677.69 $1,572.56 $379,984.41
Buyer Notes:
City Council 17 – 4 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Santa Ana Regional Transportation Center – Lease Agreement
AGENDA TITLE
Approve an Appropriation Adjustment and a Lease Agreement with RailWorks Track Services, Inc. for Office Space at the Santa Ana Regional Transportation Center for a Five-Month Term with 12 One-Month Extensions, for a Total Amount of $73,031 (NonGeneral Fund)
RECOMMENDED ACTION
1. Authorize the City Manager to execute a site lease agreement with Railworks Track Services, Inc. to compensate the City $4,356 per month, with any partial month prorated at $145 per day, for the lease of 1,452 square feet of office space located at the Santa Ana Regional Transportation Center, for a five-month term beginning February 6, 2024 and ending June 30, 2024, with the option of 12 one-month extensions, for a total of $73,031 in lease revenue for the entire term of the agreement, including the optional extensions (Agreement No. A-2024-XXX).
2. Approve an appropriation adjustment recognizing Fiscal Year 2023-24 lease income in the amount of $20,759 into the SARTC Operations, Rental-RailWorks revenue account and appropriate the same amount to the SARTC Operations, Contractual Services-Professional expenditure account (Requires five affirmative votes).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
The Santa Ana Regional Transportation Center (SARTC) is a regional transportation hub that brings together Amtrak, Metrolink, Orange County Transportation Authority (OCTA), interstate bus services, and in the future, the OC Streetcar. The facility is open to the public seven days a week from 5:00 a.m. to midnight and contains approximately 35,000 square feet of rental space, including ten bus bays.
The OC Streetcar is the first modern streetcar project to be built in Orange County. It will service Santa Ana’s historic downtown which includes federal, state, and local courthouses, government offices, colleges, an artists’ village, and a thriving restaurant scene. The OC Streetcar will operate along a 4.15-mile route that connects SARTC and a new transit hub at Harbor Boulevard and Westminster Avenue in Garden Grove.
City Council 18 – 1 2/20/2024
Santa Ana Regional Transportation Center – Lease Agreement February 20, 2024
OCTA is the lead agency for the OC Streetcar Project. OCTA selected Walsh Construction as the Contractor for the project. SARTC quickly became a central hub for contractors working on the Streetcar Project due to the close proximity to the project site. RailWorks Track Services has been an active contractor of this project and has been leasing office space at SARTC since April 2021. As the OC Streetcar project continues, staff recommends continuing to lease Suite 103 consisting of 1,452 square feet of office space at SARTC until June 30, 2024, with the option of 12 one-month extensions. Staff seeks approval of the lease agreement, which will generate revenue for SARTC’s day-to-day operations. Tenant has the ability to terminate with a 30-day notice.
Meeting Date Display
FISCAL IMPACT
Approval of the site lease agreement obligates RailWorks Track Services, Inc. to compensate the City $73,031 for the term of the lease agreement, including the option for twelve one-month renewal options, for lease of interior office space at the SARTC.
Approval of the appropriation adjustment will recognize Fiscal Year 2023-24 lease income in the amount of $20,759 into the SARTC Operations, Rental-RailWorks revenue account (No. 06717002-53832) and appropriate the same amount to the SARTC Operations, Contractual Services expenditure account (No. 06717650-62300).
Fiscal Year
Accounting
Unit -
Account #
Fund
Description
Accounting Unit,
Account
Description
Amount
Appropriation Adjustment
2023-24
(Feb-June)
06717650-
62300
Regional
Transportation
Center
Public WorksSARTC Operations,
Contract ServicesProfessional
$20,759
Optional Renewal
2024-25 06717650-
62300
Regional
Transportation
Center
Public WorksSARTC Operations,
Contract ServicesProfessional
$52,272
TOTAL $73,031
EXHIBIT(S)
1. Lease Agreement with RailWorks Track Services, Inc
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 18 – 2 2/20/2024
EXHIBIT 1
City Council 18 – 3 2/20/2024
City Council 18 – 4 2/20/2024
City Council 18 – 5 2/20/2024
City Council 18 – 6 2/20/2024
City Council 18 – 7 2/20/2024
City Council 18 – 8 2/20/2024
City Council 18 – 9 2/20/2024
City Council 18 – 10 2/20/2024
City Council 18 – 11 2/20/2024
City Council 18 – 12 2/20/2024
City Council 18 – 13 2/20/2024
City Council 18 – 14 2/20/2024
City Council 18 – 15 2/20/2024
City Council 18 – 16 2/20/2024
City Council 18 – 17 2/20/2024
Public Works Agency
www.santa-ana.org/public-works
Item # 19
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
February 20, 2024
TOPIC: Amend Agreement for Landscape Services
AGENDA TITLE
Approve an Appropriation Adjustment and Approve an Eighth Amendment with Landscape West Management Service, Inc. to Increase the Contract Amount by $277,500 for Landscape Services (Project No. 24-6602) (Non-General Fund)
RECOMMENDED ACTION
1. Approve an appropriation adjustment accepting $75,000 in the PWA Enterprise Capital Grants, Miscellaneous Revenue account and appropriate the same amount to the WaterSMART-Watershed Mgmt Prog expenditure account. (Requires five affirmative votes)
2. Authorize the City Manager to execute an eighth amendment to the agreement with Landscape West Management Services, Inc. to increase the contract amount by $277,500, for a total agreement amount not to exceed $8,499,500 (Agreement A-2024-XXX).
GOVERNMENT CODE §84308 APPLIES: Yes
DISCUSSION
On April 6, 2021, the City Council authorized staff to submit a grant application for the Bureau of Reclamation WaterSMART Small-Scale Water Efficiency Program (SWEP) for funds to subsidize the cost the City’s Landscape Transformation Program. The application was approved and the City was awarded $75,000 in grant funds (Exhibit 1) for turf removal and efficient irrigation infrastructure procurement and installation for select locations within the city. City staff has requested an amendment to the grant agreement to reflect an updated performance period ending in October 2024.
The Public Works Agency’s Water Resources Division (Water Resources) launched a “Grass to Gardens” website in May 2023 and mailed out postcards in June and July 2023 to provide information and criteria for water customers to apply for the Landscape Transformation Program. Over 100 interest cards were received within three weeks of mailing out postcards.
City Council 19 – 1 2/20/2024
Amend Agreement for Landscape Services
February 20, 2024
Upon approval of this item, Water Resources staff will select up to 45 locations, spread throughout the city and inclusive of all City Council wards. In total, the proposed work will remove approximately 16,000 square feet of turf and associated outdated and inefficient irrigation equipment, and replace it with drought-tolerant landscaping and water-efficient irrigation systems. Grant funding will be used only to remove turf, procure and install new efficient irrigation systems, and the managerial work related to these two tasks; all other components of the projects will be funded by the Water Enterprise as part of its outreach and education campaign for water conservation.
Three current City of Santa Ana landscape contractors were contacted for a job walk and review of scope of services. After review of each contractors’ proposals, it was determined that Landscape West Management Services, Inc. submitted the lowest responsible pricing (Exhibit 2). Landscape West has been a City contractor since July 2019, and currently maintains the City’s medians, linear parks, neighborhood entry areas, and arterial sidewalk areas.
Staff recommends increasing the agreement with Landscape West Management Services, Inc. by $277,500; the amount includes work to be done at all sites, plus a 20% contingency (Exhibit 3).
FISCAL IMPACT
Approval of the appropriation adjustment will recognize $75,000 in Bureau of Reclamation WaterSMART grant funds into the PWA Enterprise Capital Grants, Miscellaneous Revenue, Federal Grant-Direct revenue account (No. 16417002-52000) and appropriate the same amount in the WaterSMART-Watershed Mgmt Prog expenditure account (16417641-66220) for current year expenditure.
Funds for this action have been budgeted in the approved FY 2023-24 annual operating budget for the Water Enterprise. The following table summarizes the funds budgeted and available in the current fiscal year for expenditure.
Fiscal
Year
Accounting
Unit- Account #
Fund
Description
Accounting Unit,
Account Description
Amount
Appropriation Adjustment
2023-24 16417641-66220
(24-6602)
PWA
Enterprise
Capital Grants
WaterSMART-Watershed
Mgmt Prog, Improvements
Other Than Buildings
$75,000
Expenditure
2023-24 06017644-62300 Water Water Quality, Contractual Services - Professional
$202,500
Amendment total: $277,500
Original Contract Amount: $8,222,000
Total: $8,499,500
City Council 19 – 2 2/20/2024
Amend Agreement for Landscape Services
February 20, 2024
EXHIBIT(S)
1. Grant Agreement
2. Pricing Sheet
3. Agreement Amendment
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency Approved By: Tom Hatch, Interim City Manager
City Council 19 – 3 2/20/2024
(Subject to the availability of funds and satisfactory progress of the project):
a. DEDUCTION
b. ADDITIONAL COSTS
c. MATCHING
d. OTHER RESEARCH (Add / Deduct Option)
e. OTHER (See REMARKS)
c. This award notice including terms and conditions, if any, noted below under REMARKS. d. Federal administrative requirements, cost principles and audit requirements applicable to this grant.
In the event there are conflicting or otherwise inconsistent policies applicable to the grant, the above order of precedence shall prevail. Acceptance of the grant terms and conditions is acknowledged by the grantee when funds are drawn or otherwise obtained from the grant payment system.
REMARKS (Other Terms and Conditions Attached - Yes No)
d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION
c. Less Cumulative Prior Award(s) This Budget Period
a. d.
b. e.
c. f.
13. Total Federal Funds Awarded to Date for Project Period
14. RECOMMENDED FUTURE SUPPORT
Salaries and Wages
Fringe Benefits ……………….................$
TOTAL DIRECT COSTS
INDIRECT COSTS
TOTAL APPROVED BUDGET
Federal Share
Non-Federal Share
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
FINANCIAL ACCT
17. VENDOR CODE
AMT OF FIN ASST START DATE
18. DUNS
END DATE
19. CONG. DIST.
TAS ACCT
.…...….…..$
…………………………...$
…………………………...$
…………………………...$
…………………………...$
…………………………...$
…………………….……..$
m.
n.
m)
YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS
ALL AMOUNTS ARE SHOWN IN USD
II Total project costs including grant funds and all other financial participation b. Less Unobligated Balance From Prior Budget Periods
11. APPROVED BUDGET (Excludes Direct Assistance) 12. AWARD COMPUTATION I Financial Assistance from the Federal Awarding Agency Only a. Amount of Federal Financial Assistance (from item 11 ALTERNATIVES:
15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING
ON THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY OR BY REFERENCE IN THE FOLLOWING:
16. THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO, AND AS APPROVED BY, THE FEDERAL AWARDING AGENCY a. The grant program legislation.
b. The grant program regulations.
10a. GRANTEE AUTHORIZING OFFICIAL 10b. FEDERAL PROJECT OFFICER NOTICE OF AWARD 1a. SUPERSEDES AWARD NOTICE dated
Originating MCA #
AUTHORIZATION (Legislation/Regulations)
4. GRANT NO.
5a. ACTION TYPE
6. PROJECT PERIOD
7. BUDGET PERIOD
9a. GRANTEE NAME AND ADDRESS 9b. GRANTEE PROJECT DIRECTOR
MM/DD/YYYY
MM/DD/YYYY MM/DD/YYYY
MM/DD/YYYY MM/DD/YYYY
1. DATE ISSUED
2. CFDA NO.
3. ASSISTANCE TYPE
8. From Through
From Through
4a. FAIN
5. TYPE OF AWARD
except that any additions or restrictions previously imposed remain in effect unless specifically rescinded
……………….................$
Total Personnel Costs
Equipment
Supplies
Travel
Construction
Other
Contractual
TITLE OF PROJECT (OR PROGRAM)
LINE# PO LINE DESCRIPTION
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
Section 9504(a), Omnibus Public Lands Management Act of 2009, (Public Law 111-11), as amended. 01/05/2022 01/05/2022 02/01/2024 01/05/2022 02/01/2024 Landscape Transformation Program
14,814.00 1,403.00 16,217.00 0.00 0.00 0.00 0.00 150,000.00 166,217.00 0.00 166,217.00 91,217.00 75,000.00 0.00 0.00 2 3 4
e
See next page
II
15.507 - WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Rudy Rosas
220 S. Daisy Ave
Santa Ana, CA 92703-9000
Phone: [NO PHONE RECORD]
SANTA ANA, CITY OF
20 Civic Center Plz Fl 8
Santa Ana, CA 92701-4058
Rudy Rosas
220 S. Daisy Ave
Santa Ana, CA 92703-9000
Phone: [NO PHONE RECORD]
Ms. ROBIN GRABER
Bureau of Reclamation
Denver Federal Center
Water Resources and Planning Office
Denver, CO 80215-1000
Phone: 3034452764
75,000.00 0071403180 083153247 46 Project Grant 0.00 75,000.00 6 7 Beverly Nelson, Chief Grants Officer
Denver Federal Center,
6th & Kipling (84-27130)
Denver, CO 80225
Phone: 303-445-2762 GRANTS MANAGEMENT OFFICIAL: 5
75,000.00 R22AP00055-00 R22AP00055 New Other 1 0051017510-00010 $75,000.00 01/05/2022 02/01/2024 0680 R-DO-2021-000345 SWEP City of Santa Ana BEVERLY NELSON Digitally signed by BEVERLY
NELSON
Date: 2022.01.05 11:43:26 -08'00'
City Council 19 – 4 2/20/2024
REMARKS:
Recipients are NOT required to sign the Notice of Award or any other award document. Recipients indicate their acceptance of an award, including award terms and conditions, by starting work, drawing down funds, or accepting the award via electronic means. Recipient acceptance of an award carries with it the responsibility to beware of and comply with all terms and conditions applicable to the award. Recipients are responsible for ensuring that their subrecipients and contractors are aware of and comply with applicable award statutes, regulations, and terms and conditions. Recipient failure to comply with award terms and conditions can result in Reclamation taking one or more of the remedies and actions described in 2 CFR 200.33934 Program Income is not allowed.
2 of
01/05/2022
R22AP00055-00
2 PAGE DATE ISSUED
GRANT NO.
NOTICE OF AWARD (Continuation Sheet)
3 City Council 19 – 5 2/20/2024
Federal Financial Report Cycle
Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 01/05/2022 09/30/2022 Annual 12/29/2022
10/01/2022 09/30/2023 Annual 12/29/2023
10/01/2023 02/01/2024 Final 05/31/2024
Performance Progress Report Cycle
Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date 01/05/2022 09/30/2022 Annual 12/29/2022
10/01/2022 09/30/2023 Annual 12/29/2023
10/01/2023 02/01/2024 Final 05/31/2024
3 of
01/05/2022
R22AP00055-00
3 PAGE DATE ISSUED
GRANT NO.
NOTICE OF AWARD (Continuation Sheet)
3 City Council 19 – 6 2/20/2024
AWARD ATTACHMENTS
SANTA ANA, CITY OF R22AP00055-00
1. R22AP00055 Draft Agreement
City Council 19 – 7 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
UNITED STATES DEPARTMENT OF THE INTERIOR
ASSISTANCE AGREEMENT
R22AP00055
Between
Bureau of Reclamation
And
City of Santa Ana
For
Landscape Transformation Program
City Council 19 – 8 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
TABLE OF CONTENTS
I. OVERVIEW AND SCHEDULE ............................................................................................. 4
1. AUTHORITY ........................................................................................................................ 4
2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION ................................................... 5
3. BACKGROUND AND OBJECTIVES ................................................................................. 5
4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY ....................................... 6
5. SCOPE OF WORK ................................................................................................................ 6
6. RESPONSIBILITY OF THE PARTIES ............................................................................... 7
7. BUDGET ............................................................................................................................... 8
8. KEY PERSONNEL ............................................................................................................. 11
9. LIMITATION OF AUTHORITIES .................................................................................... 11
10. REPORTING REQUIREMENTS AND DISTRIBUTION............................................... 12
11. REGULATORY COMPLIANCE ..................................................................................... 15 II. RECLAMATION STANDARD TERMS AND CONDITIONS ....................................... 16
1. REGULATIONS.................................................................................................................. 16
2. PAYMENT .......................................................................................................................... 16
3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.327) ............................... 20
4. EQUIPMENT (2 CFR 200.313) .......................................................................................... 31
5. SUPPLIES (2 CFR 200.314) ............................................................................................... 33
6. INSPECTION ...................................................................................................................... 33
7. AUDIT REQUIREMENTS (2 CFR 200.501) ..................................................................... 34
8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.339) ................................................. 35
9. TERMINATION (2 CFR 200.340)...................................................................................... 35
10. DEBARMENT AND SUSPENSION (2 CFR 1400) ........................................................ 36
11. DRUG-FREE WORKPLACE (2 CFR 182 and 1401) ...................................................... 36
12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE ........ 36
13. COVENANT AGAINST CONTINGENT FEES .............................................................. 37
14. TRAFFICKING VICTIMS PROTECTION ACT OF 2000 (2 CFR 175.15) ................... 37
15. NEW RESTRICTIONS ON LOBBYING (43 CFR 18).................................................... 39
16. UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION POLICIES ACT OF 1970 (URA) (42 USC 4601 et seq.)................................................. 40 City Council 19 – 9 2/20/2024
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17. SYSTEM FOR AWARD MANAGEMENT AND UNIVERSAL IDENTIFIER REQUIREMENTS (2 CFR 25, APPENDIX A) ................................................................ 41
18. PROHIBITION ON TEXT MESSAGING AND USING ELECTRONIC EQUIPMENT SUPPLIED BY THE GOVERNMENT WHILE DRIVING ............................................. 42
19. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (2 CFR 170 APPENDIX A) ................................................................................................................... 42
20. RECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (SEP 2013) ....................... 45
21. REPORTING OF MATTERS RELATED TO RECIPIENT INTEGRITY AND PERFORMANCE (APPENDIX XII to 2 CFR Part 200) .................................................. 45
22. CONFLICTS OF INTEREST ............................................................................................. 47
23. DATA AVAILABILITY .................................................................................................... 48
24. PROHIBITION ON PROVIDING FUNDS TO THE ENEMY ........................................ 49
25. ADDITIONAL ACCESS TO RECIPIENT RECORDS .................................................... 49
26. PROHIBITION ON CERTAIN TELECOMMUNICATION AND VIDEO
SURVEILLANCE SERVICES OR EQUIPMENT ........................................................... 50 III. DEPARTMENT OF THE INTERIOR STANDARD AWARD TERMS AND CONDITIONS .................................................................................................................... 51 City Council 19 – 10 2/20/2024
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Financial Assistance Agreement
Between
Bureau of Reclamation
And
City of Santa Ana
For
Landscape Transformation Program
I. OVERVIEW AND SCHEDULE
1. AUTHORITY
This Financial Assistance Agreement (Agreement) is entered into between the United States of America, acting through the Department of the Interior, Bureau of Reclamation (Reclamation) and City of Santa Ana (Recipient), pursuant to Section 9504(a) of the SECURE WATER ACT, Subtitle F of Title IX of the OMNIBUS PUBLIC LAND MANAGEMENT ACT OF 2009, Public Law 111-11 (42 U.S.C. 10364) (the “Act”). The following section, provided in full text, authorizes Reclamation to award this financial assistance agreement:
SEC. 9504. WATER MANAGEMENT IMPROVEMENT.
(a) Authorization of grants and cooperative agreements. (1) Authority of Secretary. The Secretary may provide any grant to, or enter into an agreement with, any eligible applicant to assist the eligible applicant in planning, designing, or constructing any improvement or carrying out any activity— (A) to conserve water;
(B) to increase water use efficiency;
(C) to facilitate water markets;
(D) to enhance water management, including increasing the use of renewable energy in the management and delivery of water;
(E) to accelerate the adoption and use of advanced water treatment technologies to increase water supply;
(F) to assist States and water users in complying with interstate compacts or reducing basin water supply-demand imbalances;
(G) to achieve the prevention of the decline of species that the United States Fish and Wildlife Service and National Marine Fisheries Service have proposed for listing under the Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.) (or candidate species that are being considered by those agencies for such listing but are not yet the subject of a proposed rule);
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(H) to achieve the acceleration of the recovery of threatened species, endangered species, and designated critical habitats that are adversely affected by Federal reclamation projects or are subject to a recovery plan or conservation plan under the Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.) under which the Commissioner of Reclamation has implementation responsibilities; (I) to improve the condition of a natural feature; or
(J) to carry out any other activity—
(i) to address any climate-related impact to the water supply of the United States that increases ecological resiliency to the impacts of climate change; (ii) to prevent any water-related crisis or conflict at any watershed that has a nexus to a Federal reclamation project located in a service area; or (iii) to plan for or address the impacts of drought.
2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION
The proposed Landscape Transformation Program project (Project) will increase the reliability of water supplies; improve water management; and provide benefits for fish, wildlife, and/or the environment.
3. BACKGROUND AND OBJECTIVES
The U.S. Department of the Interior’s (Department) WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Program provides a framework for Federal leadership and assistance to stretch and secure water supplies for future generations in support of the Department’s priorities. Through WaterSMART, the Reclamation leverages Federal and non-Federal funding to work cooperatively with States, Tribes, and local entities as they plan for and implement actions to increase water supply sustainability through investments in existing infrastructure and attention to local water conflicts. Small-Scale Water Efficiency Projects provide support for priorities identified in Presidential Executive Order (E.O.) 14008: Tackling the Climate Crisis at Home and Abroad (E.O. 14008) and aligned with other priorities, such as those identified in Presidential Executive Order 13985:
Advancing Racial Equity and Support for Underserved Communities Through the Federal Government (E.O. 13985). Small-Scale Water Efficiency projects also support the goals of the Interagency Drought Relief Working Group established in March 2021 and the National Drought Resiliency Partnership.
Drought conditions across the West impact a wide range of communities and sectors, including agriculture, cities, Tribes, the environment, recreation, hydropower producers, and others. The western United States is experiencing its worst drought this century—historic in both duration and severity - threatening to kill crops, spark wildfires, and harm public health. As of July, the U.S. Drought Monitor indicates that more than 93% of the land in nine of the Western states is in drought conditions, and nearly 60% of the area is experiencing extreme or exceptional drought.
Through WaterSMART, Reclamation provides financial assistance to water managers for City Council 19 – 12 2/20/2024
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projects that seek to conserve and use water more efficiently and accomplish other benefits that contribute to sustainability in the Western United States.
Through Small-Scale Water Efficiency Projects, Reclamation provides assistance to States, Tribes, irrigation districts, water districts, and other entities with water or power delivery authority to undertake small-scale water efficiency projects that have been prioritized through planning efforts led by the applicant. These projects conserve and use water more efficiently; mitigate conflict risk in areas at a high risk of future water conflict; and accomplish other benefits that contribute to water supply reliability in the western United States.
The City of Santa Ana, located in southern California, will administer a residential landscaping conversion program to remove water-consumptive turf lawns and outdated irrigation infrastructure and replace with drought tolerant landscaping and high efficiency irrigation infrastructure. The grant funding will allow the City to subsidize the cost of turf removal and efficient irrigation infrastructure for disadvantaged communities who typically cannot afford the program’s high up-front costs. The turf removal program is part of the City’s Drought Action Plan.
4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY
This Agreement becomes effective on the date shown in block 1 of the United States of America, Department of the Interior, Notice of Award (NOA). The Agreement shall remain in effect through the date shown in block 6 of the NOA. The project period for this Agreement may only be changed through written amendment of the Agreement by a Reclamation Grants Officer (GO).
No legal liability on the part of the Government for any payment may arise until funds are made available, in writing, to the Recipient by a Reclamation GO. The total estimated project cost for this Agreement is $166,217 and the total estimated amount of federal funding is $75,000. The initial amount of federal funds available is limited to $75,000 as indicated by ”Amount of Financial Assistance This Action” within block 12 of the NOA. Subject to the availability of Congressional appropriations, subsequent funds will be made available for payment through written amendments to this Agreement by a Reclamation GO.
5. SCOPE OF WORK
Under this Agreement, the Recipient shall provide a rebate system to subsidize the cost of turf removal and efficient irrigation infrastructure procurement and installation. The removed turf will be replaced with drought tolerant plants. The project will be targeted towards disadvantaged communities within the Recipients service area.
The Project will be located within the City of Santa Ana’s DACs in Orange County, California, approximately 30 miles southeast of Los Angeles. The City of Santa Ana is bounded on the north by the Cities of Garden Grove and Orange, on the east by the Cities of Tustin and Irvine, on the City Council 19 – 13 2/20/2024
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south by the City of Costa Mesa, and on the west by the Cities of Westminster and Fountain Valley. The approximate Project latitude is 33°44’N and longitude is 117°52’W.
The Recipient shall include in its records the locations of the projects installed under this Agreement.
6. RESPONSIBILITY OF THE PARTIES
6.1 Recipient Responsibilities
6.1.1 The Recipient shall carry out the Scope of Work (SOW) in accordance with the terms and conditions stated herein. The Recipient shall adhere to Federal, state, and local laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits. If the SOW contains construction activities, the Recipient is responsible for construction inspection, oversight, and acceptance. If applicable, the Recipient shall also coordinate and obtain approvals from site owners and operators.
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6.1.2 Interim Performance Reports. The Recipient shall prepare and submit to Reclamation interim Project performance reports (Interim Performance Reports) as required by Section I.10 of this Agreement. Each Interim Performance Report will include (but is not limited to) the information identified in paragraph I.10.3 and will discuss the following:
• A comparison of actual accomplishments to the milestones established by the financial assistance agreement for the reporting period
• The reasons why established milestones were not met, if applicable • The status of milestones from the previous reporting period that were not met, if applicable
• Whether the Project is on schedule and within the original cost estimate • Any additional pertinent information or issues related to the status of the Project
6.1.3 Final Project Report. The Recipient shall prepare and submit to Reclamation a final Project performance report (Final Project Report) as required by Section I.10 of this Agreement.
The Final Project Report will include (but is not limited to) the information identified in paragraph I.10.3 and will discuss the following:
• Whether the Project objectives and goals were met
• The benefits to the recipient’s water supply delivery system • Other benefits achieved through the project. Consider the following:
o Whether the project has or will complement work done in collaboration with NRCS o The benefits to overall water supply reliability in the area Photographs documenting the project are also appreciated. Recipient understands that Reclamation may print photos with appropriate credit to Recipient. Recipient also understands that the Final Project Report is a public document and may be made available on Reclamation’s website, www.usbr.gov/watersmart/.
6.2 Reclamation Responsibilities
6.2.1 Reclamation will monitor and provide Federal oversight of activities performed under this Agreement. Monitoring and oversight includes review and approval of financial status and performance reports, payment requests, and any other deliverables identified as part of the SOW.
Additional monitoring activities may include site visits, conference calls, and other on-site and off-site monitoring activities. At the Recipient’s request, Reclamation may also provide technical assistance to the Recipient in support of the SOW and objectives of this Agreement.
7. BUDGET
7.1 Budget Estimate. The following is the estimated budget for this Agreement. As Federal financial assistance agreements are cost-reimbursable, the budget provided is for estimation purposes only. Final costs incurred under the budget categories listed may be either higher or lower than the estimated costs. All costs incurred by the Recipient under this Agreement must City Council 19 – 15 2/20/2024
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be in accordance with any pre-award clarifications conducted between the Recipient and Reclamation, as well as with the terms and conditions of this Agreement. Final determination of the allowability, allocability, or reasonableness of costs incurred under this Agreement is the responsibility of the GO. Recipients are encouraged to direct any questions regarding allowability, allocability or reasonableness of costs to the GO for review prior to incurrence of the costs in question.
Summary
Figures in this summary table are calculated from entries made in subsequent categories, only blank white cells require data entry.
Category Total Cost
Federal
Estimated
Amount
Non-Federal
Estimated
Amount
a. Personnel $14,814
b. Fringe Benefits $1,403
c. Travel $0
d. Equipment $0
e. Supplies $0
f. Contractual $0
g. Construction $150,000
h. Other Direct Costs $0
i. Total Direct Costs $166,217
i. Indirect Charges $0
Total Costs $166,217 $75,000 $91,217
Cost Share Percentage 45% 55%
7.2 Cost Sharing Requirement
At least 50% non-Federal cost share is required for costs incurred under this Agreement. Based on the budget estimate reflected in Section 7.1 above, the estimated Federal share of allowable costs is 45% ($75,000) and the Recipient's estimated non-Federal cost share is 55% ($91,217).
The Federal share of allowable costs shall not be expended in advance of the Recipient's nonFederal share. It is expected that expenditure of Federal and non-Federal funds based upon the cost share percentage above shall occur concurrently. If a bona fide need arises which requires the expenditure of Federal funds in advance of the Recipient share, then the Recipient must request written approval from the GO prior to the expenditure. Recipient's may expend their agreed upon share of costs in advance of the expenditure of Federal funds without prior written approval.
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7.3 Pre-Award Incurrence of Costs
The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs incurred prior to the award of this Agreement are not allowable.
7.4 Allowable Costs
Costs incurred for the performance of this Agreement must be allowable, allocable to the project, and reasonable. The following regulations, codified within the Code of Federal Regulations (CFR), governs the allowability of costs for Federal financial assistance:
2 CFR 200 Subpart E, “Cost Principles”
Expenditures for the performance of this Agreement must conform to the requirements within this CFR. The Recipient must maintain sufficient documentation to support these expenditures.
Questions on the allowability of costs should be directed to the GO responsible for this Agreement.
The Recipient shall not incur costs or obligate funds for any purpose pertaining to operation of the program or activities beyond the expiration date stated in the Agreement. The only costs which are authorized for a period of up to 120 days following the project period are those strictly associated with closeout activities for preparation of the final reports.
7.5 Revision of Budget and Program Plans
In accordance with 2 CFR 200.308(h) the recipient must request prior written approval for any of the following changes:
(a) A change in the approved scope of work or associated tasks, even if there is no associated budget revisions.
(b) Revisions which require additional Federal funds to complete the project. (c) Revisions which involve specific costs for which prior written approval requirements may be imposed consistent with OMB cost principles listed in 2 CFR 200 Subpart E “Cost Principles”.
7.6 Amendments
Any changes to this Agreement shall be made by means of a written amendment. Reclamation may make changes to the Agreement by means of a unilateral amendment to address changes in address, no-cost time extensions, changes to Key Personnel, the addition of previously agreed upon funding, or administrative corrections which do not impact the terms and conditions of this agreement. Additionally, a unilateral amendment may be utilized by Reclamation if it should become necessary to suspend or terminate the Agreement in accordance with 2 CFR 200.340.
All other changes shall be made by means of a bilateral amendment to the Agreement. No oral statement made by any person, or written statement by any person other than the GO, shall be City Council 19 – 17 2/20/2024
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allowed in any manner or degree to amend, modify or otherwise effect the terms of the Agreement.
All requests for amendment of the Agreement shall be made in writing, provide a full description of the reason for the request, and be sent to the attention of the GO. Any request for project period extension shall be made at least 45 days prior to the end of the project period of the Agreement or the project period date of any extension that may have been previously granted.
Any determination to extend the project period or to provide follow-on funding for continuation of a project is solely at the discretion of Reclamation.
8. KEY PERSONNEL
8.1 Recipient’s Key Personnel.
The Recipient's Project Manager for this Agreement shall be:
Name: Nabil Saba
Title: Executive Director
Street: 220 S. Daisy Ave.
City, State, Zip: Santa Ana, CA 92703-9000
Phone #: 714-647-5690
Email: [email protected]
9. LIMITATION OF AUTHORITIES
9.1 Grants Officer (GO).
The Reclamation GO is the only official with legal delegated authority to represent Reclamation.
The Reclamation GO’s responsibilities include, but are not limited to, the following:
(a) Formally obligate Reclamation to expend funds or change the funding level of the Agreement;
(b) Approve through formal amendment changes in the scope of work and/or budget; (c) Approve through formal amendment any increase or decrease in the period of performance of the Agreement;
(d) Approve through formal amendment changes in any of the expressed terms, conditions, or specifications of the Agreement;
(e) Be responsible for the overall administration, management, and other non-programmatic aspects of the Agreement including, but not limited to, interpretation of financial assistance statutes, regulations, circulars, policies, and terms of the Agreement; (f) Where applicable, ensures that Reclamation complies with the administrative requirements required by statutes, regulations, circulars, policies, and terms of the Agreement.
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9.2 Grants Management Specialist (GMS).
The Reclamation Grants Management Specialist (GMS) is the primary administrative point of contact for this agreement and should be contacted regarding issues related to the day-to-day management of the agreement. Requests for approval regarding the terms and conditions of the agreement, including but not limited to amendments and prior approval, may only be granted, in writing, by a Reclamation GO. Please note that for some agreements, the Reclamation GO and the Reclamation GMS may be the same individual.
10. REPORTING REQUIREMENTS AND DISTRIBUTION
10.1 Noncompliance. Failure to comply with the reporting requirements contained in this Agreement may be considered a material noncompliance with the terms and conditions of the award. Noncompliance may result in withholding of payments pending receipt of required reports, denying both the use of funds and matching credit for all or part of the cost of the activity or action not in compliance, whole or partial suspension or termination of the Agreement, recovery of funds paid under the Agreement, withholding of future awards, or other legal remedies in accordance with 2 CFR 200.340.
10.2 Financial Reports. Federal Financial Reports shall be submitted by means of the SF-425 and shall be submitted according to the Report Frequency and Distribution schedule below. All financial reports shall be signed by an Authorized Certifying Official for the Recipient’s organization.
10.3 Monitoring and Reporting Program Performance.
(a) Monitoring by the non-Federal entity. The non-Federal entity is responsible for oversight of the operations of the Federal award supported activities. The non-Federal entity must monitor its activities under Federal awards to assure compliance with applicable Federal requirements and performance expectations are being achieved. Monitoring by the nonFederal entity must cover each program, function or activity. See also 2 CFR 200.332 Requirements for pass-through entities.
(b) Non-construction performance reports. The Federal awarding agency must use standard, OMB-approved data elements for collection of performance information (including performance progress reports, Research Performance Progress Report, or such future collections as may be approved by OMB and listed on the OMB Web site). (1) The non-Federal entity must submit performance reports at the interval required by the Federal awarding agency or pass-through entity to best inform improvements in program outcomes and productivity. Intervals must be no less frequent than annually nor more frequent than quarterly except in unusual circumstances, for example where more frequent reporting is necessary for the effective monitoring of the Federal award or could significantly affect program outcomes. Annual reports must be due 90 calendar days after the reporting period; quarterly or semiannual reports must be due 30 calendar days after the reporting period. Alternatively, the Federal awarding City Council 19 – 19 2/20/2024
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agency or pass-through entity may require annual reports before the anniversary dates of multiple year Federal awards. The final performance report will be due 120 calendar days after the period of performance end date. If a justified request is submitted by a non-Federal entity, the Federal agency may extend the due date for any performance report.
(2) The non-Federal entity must submit performance reports using OMB-approved governmentwide standard information collections when providing performance information. As appropriate in accordance with above mentioned information collections, these reports will contain, for each Federal award, brief information on the following unless other collections are approved by OMB:
(i) A comparison of actual accomplishments to the objectives of the Federal award established for the period. Where the accomplishments of the Federal award can be quantified, a computation of the cost (for example, related to units of accomplishment) may be required if that information will be useful. Where performance trend data and analysis would be informative to the Federal awarding agency program, the Federal awarding agency should include this as a performance reporting requirement.
(ii) The reasons why established goals were not met, if appropriate. (iii) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.
(c) Construction performance reports. For the most part, onsite technical inspections and certified percentage of completion data are relied on heavily by Federal awarding agencies and pass-through entities to monitor progress under Federal awards and subawards for construction. The Federal awarding agency may require additional performance reports only when considered necessary.
(d) Significant developments. Events may occur between the scheduled performance reporting dates that have significant impact upon the supported activity. In such cases, the non-Federal entity must inform the Federal awarding agency or pass-through entity as soon as the following types of conditions become known:
(1) Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Federal award. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation. (2) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.
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Reclamation requires Performance reporting for all financial assistance awards, both Construction and non-Construction. Performance reports for Construction agreements shall meet the same minimum requirements outlined in paragraph (b)(2) above.
10.4 Report Frequency and Distribution. The following table sets forth the reporting requirements for this Agreement. Please note the first report due date listed for each type of report.
Required Reports Interim Reports Final Report
Performance Report
Format No specific format required. See content
requirements within Section 10.3 and
any program specific reporting
requirements identified in Section 6.1 of
this Agreement.
Summary of activities completed
during the entire period of performance
is required. See content requirements
within Section 10.3 and any program
specific reporting requirements
identified in Section 6.1 of this
Agreement.
Reporting
Frequency Annual
Final Report due within 120 days after
the end of the period of performance.
Reporting Period The Federal Fiscal Year, October 1
through September 30.
Entire period of performance
Due Date
For Annual Reporting: Within 90 days
after the end of the Reporting Period.
Final Report due within 120 days after
the end of the period of performance or
completion of the project.
First Report Due
Date
The first performance report is due for
reporting period ending 09/30/2022.
N/A
Submit to: [email protected]
or
GrantSolutions
[email protected]
or
GrantSolutions
Federal Financial Report
Format SF-425 (all sections must be completed) SF-425(all sections must be completed)
Reporting
Frequency Annual
Final Report due within 120 days after
the end of the period of performance or
completion of the project.
Reporting Period The Federal Fiscal Year, October 1
through September 30.
Entire period of performance
Due Date
For Annual Reporting: Within 90 days
after the end of the Reporting Period.
Final Report due within 120 days after
the end of the period of performance or
completion of project.
First Report Due
Date
The first Federal financial report is due
for reporting period ending 09/30/2022.
N/A
Submit to: [email protected]
or
GrantSolutions
[email protected]
or
GrantSolutions
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11. REGULATORY COMPLIANCE
The Recipient agrees to comply or assist Reclamation with all regulatory compliance requirements and all applicable state, Federal, and local environmental and cultural and paleontological resource protection laws and regulations as applicable to this project. These may include, but are not limited to, the National Environmental Policy Act (NEPA), including the Council on Environmental Quality and Department of the Interior regulations implementing NEPA, the Clean Water Act, the Endangered Species Act, consultation with potentially affected Tribes, and consultation with the State Historic Preservation Office. If the Recipient begins project activities that require environmental or other regulatory compliance approval prior to receipt of written notice from a Reclamation GO that all such clearances have been obtained, then Reclamation reserves the right to initiate remedies for non-compliance as defined by 2 CFR 200.340 up to and including unilateral termination of this agreement.
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II. RECLAMATION STANDARD TERMS AND CONDITIONS
1. REGULATIONS
The regulations at 2 CFR Subtitle A, Chapter II, Part 200 “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards”, are hereby incorporated by reference as though set forth in full text. Failure of a Recipient to comply with any applicable regulation or circular may be the basis for withholding payments for proper charges made by the Recipient and/or for termination of support.
2. PAYMENT
2.1 Payment (2 CFR 200.305).
(a) For states, payments are governed by Treasury-State Cash Management Improvement Act (CMIA) agreements and default procedures codified at 31 CFR part 205 and Treasury Financial Manual (TFM) 4A-2000, “Overall Disbursing Rules for All Federal Agencies”. (b) For non-Federal entities other than states, payments methods must minimize the time elapsing between the transfer of funds from the United States Treasury or the pass-through entity and the disbursement by the non-Federal entity whether the payment is made by electronic funds transfer, or issuance or redemption of checks, warrants, or payment by other means. See also §200.302(b)(6). Except as noted elsewhere in this part, Federal agencies must require recipients to use only OMB-approved, governmentwide information collection requests to request payment. (1) The non-Federal entity must be paid in advance, provided it maintains or demonstrates the willingness to maintain both written procedures that minimize the time elapsing between the transfer of funds and disbursement by the non-Federal entity, and financial management systems that meet the standards for fund control and accountability as established in this part. Advance payments to a non-Federal entity must be limited to the minimum amounts needed and be timed to be in accordance with the actual, immediate cash requirements of the non-Federal entity in carrying out the purpose of the approved program or project. The timing and amount of advance payments must be as close as is administratively feasible to the actual disbursements by the non-Federal entity for direct program or project costs and the proportionate share of any allowable indirect costs. The non-Federal entity must make timely payment to contractors in accordance with the contract provisions.
(2) Whenever possible, advance payments must be consolidated to cover anticipated cash needs for all Federal awards made by the Federal awarding agency to the recipient. (i) Advance payment mechanisms include, but are not limited to, Treasury check and electronic funds transfer and must comply with applicable guidance in 31 CFR part 208.
(ii) Non-Federal entities must be authorized to submit requests for advance payments and reimbursements at least monthly when electronic fund transfers are not used, City Council 19 – 23 2/20/2024
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and as often as they like when electronic transfers are used, in accordance with the provisions of the Electronic Fund Transfer Act (15 U.S.C. 1693-1693r). (3) Reimbursement is the preferred method when the requirements in this paragraph (b) cannot be met, when the Federal awarding agency sets a specific condition per §200.208, or when the non-Federal entity requests payment by reimbursement. This method may be used on any Federal award for construction, or if the major portion of the construction project is accomplished through private market financing or Federal loans, and the Federal award constitutes a minor portion of the project. When the reimbursement method is used, the Federal awarding agency or pass-through entity must make payment within 30 calendar days after receipt of the billing, unless the Federal awarding agency or pass-through entity reasonably believes the request to be improper. (4) If the non-Federal entity cannot meet the criteria for advance payments and the Federal awarding agency or pass-through entity has determined that reimbursement is not feasible because the non-Federal entity lacks sufficient working capital, the Federal awarding agency or pass-through entity may provide cash on a working capital advance basis.
Under this procedure, the Federal awarding agency or pass-through entity must advance cash payments to the non-Federal entity to cover its estimated disbursement needs for an initial period generally geared to the non-Federal entity's disbursing cycle. Thereafter, the Federal awarding agency or pass-through entity must reimburse the non-Federal entity for its actual cash disbursements. Use of the working capital advance method of payment requires that the pass-through entity provide timely advance payments to any subrecipients in order to meet the subrecipient's actual cash disbursements. The working capital advance method of payment must not be used by the pass-through entity if the reason for using this method is the unwillingness or inability of the pass-through entity to provide timely advance payments to the subrecipient to meet the subrecipient's actual cash disbursements.
(5) To the extent available, the non-Federal entity must disburse funds available from program income (including repayments to a revolving fund), rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments.
(6) Unless otherwise required by Federal statutes, payments for allowable costs by nonFederal entities must not be withheld at any time during the period of performance unless the conditions of §200.208, subpart D of this part, including §200.339, or one or more of the following applies:
(i) The non-Federal entity has failed to comply with the project objectives, Federal statutes, regulations, or the terms and conditions of the Federal award. (ii) The non-Federal entity is delinquent in a debt to the United States as defined in OMB Circular A-129, “Policies for Federal Credit Programs and Non-Tax Receivables.” Under such conditions, the Federal awarding agency or passthrough entity may, upon reasonable notice, inform the non-Federal entity that payments must not be made for financial obligations incurred after a specified City Council 19 – 24 2/20/2024
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date until the conditions are corrected or the indebtedness to the Federal Government is liquidated.
(iii) A payment withheld for failure to comply with Federal award conditions, but without suspension of the Federal award, must be released to the non-Federal entity upon subsequent compliance. When a Federal award is suspended, payment adjustments will be made in accordance with §200.343.
(iv) A payment must not be made to a non-Federal entity for amounts that are withheld by the non-Federal entity from payment to contractors to assure satisfactory completion of work. A payment must be made when the non-Federal entity actually disburses the withheld funds to the contractors or to escrow accounts established to assure satisfactory completion of work. (7) Standards governing the use of banks and other institutions as depositories of advance payments under Federal awards are as follows.
(i) The Federal awarding agency and pass-through entity must not require separate depository accounts for funds provided to a non-Federal entity or establish any eligibility requirements for depositories for funds provided to the non-Federal entity. However, the non-Federal entity must be able to account for funds received, obligated, and expended.
(ii) Advance payments of Federal funds must be deposited and maintained in insured accounts whenever possible.
(8) The non-Federal entity must maintain advance payments of Federal awards in interestbearing accounts, unless the following apply:
(i) The non-Federal entity receives less than $250,000 in Federal awards per year. (ii) The best reasonably available interest-bearing account would not be expected to earn interest in excess of $500 per year on Federal cash balances. (iii) The depository would require an average or minimum balance so high that it would not be feasible within the expected Federal and non-Federal cash resources. (iv) A foreign government or banking system prohibits or precludes interest-bearing accounts.
(9) Interest earned amounts up to $500 per year may be retained by the non-Federal entity for administrative expense. Any additional interest earned on Federal advance payments deposited in interest-bearing accounts must be remitted annually to the Department of Health and Human Services Payment Management System (PMS) through an electronic medium using either Automated Clearing House (ACH) network or a Fedwire Funds Service payment.
(i) For returning interest on Federal awards paid through PMS, the refund should:
(A) Provide an explanation stating that the refund is for interest; (B) List the PMS Payee Account Number(s) (PANs);
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(C) List the Federal award number(s) for which the interest was earned; and (D) Make returns payable to: Department of Health and Human Services. (ii) For returning interest on Federal awards not paid through PMS, the refund should:
(A) Provide an explanation stating that the refund is for interest; (B) Include the name of the awarding agency;
(C) List the Federal award number(s) for which the interest was earned; and (D) Make returns payable to: Department of Health and Human Services. (10) Funds, principal, and excess cash returns must be directed to the original Federal agency payment system. The non-Federal entity should review instructions from the original Federal agency payment system. Returns should include the following information:
(i) Payee Account Number (PAN), if the payment originated from PMS, or Agency information to indicate whom to credit the funding if the payment originated from ASAP, NSF, or another Federal agency payment system.
(ii) PMS document number and subaccount(s), if the payment originated from PMS, or relevant account numbers if the payment originated from another Federal agency payment system.
(iii) The reason for the return (e.g., excess cash, funds not spent, interest, part interest part other, etc.)
(11) When returning funds or interest to PMS you must include the following as applicable:
(i) For ACH Returns:
Routing Number: 051036706
Account number: 303000
Bank Name and Location: Credit Gateway—ACH Receiver St. Paul, MN (ii) For Fedwire Returns¹:
Routing Number: 021030004
Account number: 75010501
Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer Division New York, NY
¹Please note that the organization initiating payment is likely to incur a charge from their Financial Institution for this type of payment. (iii) For International ACH Returns:
Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS) Bank: Citibank N.A. (New York)
Swift Code: CITIUS33
Account Number: 36838868
Bank Address: 388 Greenwich Street, New York, NY 10013 USA Payment Details (Line 70): Agency Locator Code (ALC): 75010501 Name (abbreviated when possible) and ALC Agency POC
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(iv) For recipients that do not have electronic remittance capability, please make check² payable to: “The Department of Health and Human Services.” Mail Check to Treasury approved lockbox:
HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231 ²Please allow 4-6 weeks for processing of a payment by check to be applied to the appropriate PMS account.
(v) Questions can be directed to PMS at 877-614-5533 or [email protected].
2.2 Payment Method.
Recipients must utilize the Department of Treasury Automated Standard Application for Payments (ASAP) payment system to request advance or reimbursement payments. ASAP is a Recipient-initiated payment and information system designed to provide a single point of contact for the request and delivery of Federal funds. ASAP is the only allowable method for request and receipt of payment. Recipient procedures must minimize the time elapsing between the drawdown of Federal funds and the disbursement for agreement purposes.
In accordance with 2 CFR 25.200(b)(2) the Recipient shall “Maintain an active SAM registration with current information, including information on a recipient's immediate and highest-level owner and subsidiaries, as well as on all predecessors that have been awarded a Federal contract or grant within the last three years, if applicable, at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency. If the Recipient allows their SAM registration to lapse, the Recipient’s accounts within ASAP will be automatically suspended by Reclamation until such time as the Recipient renews their SAM registration.
3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.327) §200.317 Procurements by States.
When procuring property and services under a Federal award, a State must follow the same policies and procedures it uses for procurements from its non-Federal funds. The State will comply with §§200.321, 200.322, and 200.323 and ensure that every purchase order or other contract includes any clauses required by §200.327. All other non-Federal entities, including subrecipients of a State, must follow the procurement standards in §§200.318 through 200.327. §200.318 General procurement standards.
(a) The non-Federal entity must use its own documented procurement procedures which reflect applicable State, local, and tribal laws and regulations, provided that the procurements conform to applicable Federal law and the standards identified in this part. (b) Non-Federal entities must maintain oversight to ensure that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders.
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(c)
(1) The non-Federal entity must maintain written standards of conduct covering conflicts of interest and governing the actions of its employees engaged in the selection, award and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-Federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-Federal entities may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-Federal entity. (2) If the non-Federal entity has a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, the non-Federal entity must also maintain written standards of conduct covering organizational conflicts of interest.
Organizational conflicts of interest means that because of relationships with a parent company, affiliate, or subsidiary organization, the non-Federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization.
(d) The non-Federal entity's procedures must avoid acquisition of unnecessary or duplicative items. Consideration should be given to consolidating or breaking out procurements to obtain a more economical purchase. Where appropriate, an analysis will be made of lease versus purchase alternatives, and any other appropriate analysis to determine the most economical approach.
(e) To foster greater economy and efficiency, and in accordance with efforts to promote costeffective use of shared services across the Federal Government, the non-Federal entity is encouraged to enter into state and local intergovernmental agreements or inter-entity agreements where appropriate for procurement or use of common or shared goods and services.
(f) The non-Federal entity is encouraged to use Federal excess and surplus property in lieu of purchasing new equipment and property whenever such use is feasible and reduces project costs.
(g) The non-Federal entity is encouraged to use value engineering clauses in contracts for construction projects of sufficient size to offer reasonable opportunities for cost reductions. Value engineering is a systematic and creative analysis of each contract item or task to ensure that its essential function is provided at the overall lower cost.
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(h) The non-Federal entity must award contracts only to responsible contractors possessing the ability to perform successfully under the terms and conditions of a proposed procurement. Consideration will be given to such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources. See also 200.212 Suspension and debarment.
(i) The non-Federal entity must maintain records sufficient to detail the history of procurement. These records will include, but are not necessarily limited to the following:
rationale for the method of procurement, selection of contract type, contractor selection or rejection, and the basis for the contract price.
(j)
(1) The non-Federal entity may use a time and materials type contract only after a determination that no other contract is suitable and if the contract includes a ceiling price that the contractor exceeds at its own risk. Time and materials type contract means a contract whose cost to a non-Federal entity is the sum of:(i) The actual cost of materials; and
(ii) Direct labor hours charged at fixed hourly rates that reflect wages, general and administrative expenses, and profit.
(2) Since this formula generates an open-ended contract price, a time-and-materials contract provides no positive profit incentive to the contractor for cost control or labor efficiency. Therefore, each contract must set a ceiling price that the contractor exceeds at its own risk. Further, the non-Federal entity awarding such a contract must assert a high degree of oversight in order to obtain reasonable assurance that the contractor is using efficient methods and effective cost controls. (k) The non-Federal entity alone must be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements. These issues include, but are not limited to, source evaluation, protests, disputes, and claims. These standards do not relieve the non-Federal entity of any contractual responsibilities under its contracts. The Federal awarding agency will not substitute its judgment for that of the non-Federal entity unless the matter is primarily a Federal concern. Violations of law will be referred to the local, state, or Federal authority having proper jurisdiction. §200.319 Competition.
(a) All procurement transactions for the acquisition of property or services required under a Federal award must be conducted in a manner providing full and open competition consistent with the standards of this section and §200.320. (b) In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing City Council 19 – 29 2/20/2024
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for such procurements. Some of the situations considered to be restrictive of competition include but are not limited to:
(1) Placing unreasonable requirements on firms in order for them to qualify to do business;
(2) Requiring unnecessary experience and excessive bonding; (3) Noncompetitive pricing practices between firms or between affiliated companies; (4) Noncompetitive contracts to consultants that are on retainer contracts; (5) Organizational conflicts of interest;
(6) Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement; and
(7) Any arbitrary action in the procurement process.
(c) The non-Federal entity must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed state, local, or tribal geographical preferences in the evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering (A/E) services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.
(d) The non-Federal entity must have written procedures for procurement transactions. These procedures must ensure that all solicitations:
(1) Incorporate a clear and accurate description of the technical requirements for the material, product, or service to be procured. Such description must not, in competitive procurements, contain features which unduly restrict competition. The description may include a statement of the qualitative nature of the material, product or service to be procured and, when necessary, must set forth those minimum essential characteristics and standards to which it must conform if it is to satisfy its intended use. Detailed product specifications should be avoided if at all possible. When it is impractical or uneconomical to make a clear and accurate description of the technical requirements, a “brand name or equivalent” description may be used as a means to define the performance or other salient requirements of procurement. The specific features of the named brand which must be met by offers must be clearly stated; and (2) Identify all requirements which the offerors must fulfill and all other factors to be used in evaluating bids or proposals.
(e) The non-Federal entity must ensure that all prequalified lists of persons, firms, or products which are used in acquiring goods and services are current and include enough qualified sources to ensure maximum open and free competition. Also, the non-Federal entity must not preclude potential bidders from qualifying during the solicitation period.
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(f) Noncompetitive procurements can only be awarded in accordance with §200.320(c). §200.320 Methods of procurement to be followed.
The non-Federal entity must have and use documented procurement procedures, consistent with the standards of this section and §§200.317, 200.318, and 200.319 for any of the following methods of procurement used for the acquisition of property or services required under a Federal award or sub-award.
(a) Informal procurement methods. When the value of the procurement for property or services under a Federal award does not exceed the simplified acquisition threshold (SAT), as defined in §200.1, or a lower threshold established by a non-Federal entity, formal procurement methods are not required. The non-Federal entity may use informal procurement methods to expedite the completion of its transactions and minimize the associated administrative burden and cost. The informal methods used for procurement of property or services at or below the SAT include:
(1) Micro-purchases—(i) Distribution. The acquisition of supplies or services, the aggregate dollar amount of which does not exceed the micro-purchase threshold (See the definition of micro-purchase in §200.1). To the maximum extent practicable, the non-Federal entity should distribute micro-purchases equitably among qualified suppliers.
(ii) Micro-purchase awards. Micro-purchases may be awarded without soliciting competitive price or rate quotations if the non-Federal entity considers the price to be reasonable based on research, experience, purchase history or other information and documents it files accordingly. Purchase cards can be used for micro-purchases if procedures are documented and approved by the non-Federal entity.
(iii) Micro-purchase thresholds. The non-Federal entity is responsible for determining and documenting an appropriate micro-purchase threshold based on internal controls, an evaluation of risk, and its documented procurement procedures. The micro-purchase threshold used by the non-Federal entity must be authorized or not prohibited under State, local, or tribal laws or regulations.
Non-Federal entities may establish a threshold higher than the Federal threshold established in the Federal Acquisition Regulations (FAR) in accordance with paragraphs (a)(1)(iv) and (v) of this section.
(iv) Non-Federal entity increase to the micro-purchase threshold up to $50,000. NonFederal entities may establish a threshold higher than the micro-purchase threshold identified in the FAR in accordance with the requirements of this section. The non-Federal entity may self-certify a threshold up to $50,000 on an annual basis and must maintain documentation to be made available to the Federal awarding agency and auditors in accordance with §200.334. The selfCity Council 19 – 31 2/20/2024 R22AP00055 Agreement Template
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certification must include a justification, clear identification of the threshold, and supporting documentation of any of the following:
(A) A qualification as a low-risk auditee, in accordance with the criteria in §200.520 for the most recent audit;
(B) An annual internal institutional risk assessment to identify, mitigate, and manage financial risks; or,
(C) For public institutions, a higher threshold consistent with State law. (v) Non-Federal entity increase to the micro-purchase threshold over $50,000.
Micro-purchase thresholds higher than $50,000 must be approved by the cognizant agency for indirect costs. The non-federal entity must submit a request with the requirements included in paragraph (a)(1)(iv) of this section. The increased threshold is valid until there is a change in status in which the justification was approved.
(2) Small purchases—(i) Small purchase procedures. The acquisition of property or services, the aggregate dollar amount of which is higher than the micro-purchase threshold but does not exceed the simplified acquisition threshold. If small purchase procedures are used, price or rate quotations must be obtained from an adequate number of qualified sources as determined appropriate by the non-Federal entity. (ii) Simplified acquisition thresholds. The non-Federal entity is responsible for determining an appropriate simplified acquisition threshold based on internal controls, an evaluation of risk and its documented procurement procedures which must not exceed the threshold established in the FAR. When applicable, a lower simplified acquisition threshold used by the non-Federal entity must be authorized or not prohibited under State, local, or tribal laws or regulations. (b) Formal procurement methods. When the value of the procurement for property or services under a Federal financial assistance award exceeds the SAT, or a lower threshold established by a non-Federal entity, formal procurement methods are required. Formal procurement methods require following documented procedures. Formal procurement methods also require public advertising unless a non-competitive procurement can be used in accordance with §200.319 or paragraph (c) of this section. The following formal methods of procurement are used for procurement of property or services above the simplified acquisition threshold or a value below the simplified acquisition threshold the non-Federal entity determines to be appropriate:
(1) Sealed bids. A procurement method in which bids are publicly solicited and a firm fixed-price contract (lump sum or unit price) is awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for City Council 19 – 32 2/20/2024
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bids, is the lowest in price. The sealed bids method is the preferred method for procuring construction, if the conditions.
(i) In order for sealed bidding to be feasible, the following conditions should be present:
(A) A complete, adequate, and realistic specification or purchase description is available;
(B) Two or more responsible bidders are willing and able to compete effectively for the business; and
(C) The procurement lends itself to a firm fixed price contract and the selection of the successful bidder can be made principally on the basis of price. (ii) If sealed bids are used, the following requirements apply:
(A) Bids must be solicited from an adequate number of qualified sources, providing them sufficient response time prior to the date set for opening the bids, for local, and tribal governments, the invitation for bids must be publicly advertised;
(B) The invitation for bids, which will include any specifications and pertinent attachments, must define the items or services in order for the bidder to properly respond;
(C) All bids will be opened at the time and place prescribed in the invitation for bids, and for local and tribal governments, the bids must be opened publicly; (D) A firm fixed price contract award will be made in writing to the lowest responsive and responsible bidder. Where specified in bidding documents, factors such as discounts, transportation cost, and life cycle costs must be considered in determining which bid is lowest. Payment discounts will only be used to determine the low bid when prior experience indicates that such discounts are usually taken advantage of; and
(E) Any or all bids may be rejected if there is a sound documented reason. (2) Proposals. A procurement method in which either a fixed price or cost-reimbursement type contract is awarded. Proposals are generally used when conditions are not appropriate for the use of sealed bids. They are awarded in accordance with the following requirements:
(i) Requests for proposals must be publicized and identify all evaluation factors and their relative importance. Proposals must be solicited from an adequate number of qualified offerors. Any response to publicized requests for proposals must be considered to the maximum extent practical;
(ii) The non-Federal entity must have a written method for conducting technical evaluations of the proposals received and making selections; City Council 19 – 33 2/20/2024
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(iii) Contracts must be awarded to the responsible offeror whose proposal is most advantageous to the non-Federal entity, with price and other factors considered; and
(iv) The non-Federal entity may use competitive proposal procedures for qualifications-based procurement of architectural/engineering (A/E) professional services whereby offeror's qualifications are evaluated and the most qualified offeror is selected, subject to negotiation of fair and reasonable compensation.
The method, where price is not used as a selection factor, can only be used in procurement of A/E professional services. It cannot be used to purchase other types of services though A/E firms that are a potential source to perform the proposed effort.
(c) Noncompetitive procurement. There are specific circumstances in which noncompetitive procurement can be used. Noncompetitive procurement can only be awarded if one or more of the following circumstances apply:
(1) The acquisition of property or services, the aggregate dollar amount of which does not exceed the micro-purchase threshold (see paragraph (a)(1) of this section); (2) The item is available only from a single source;
(3) The public exigency or emergency for the requirement will not permit a delay resulting from publicizing a competitive solicitation;
(4) The Federal awarding agency or pass-through entity expressly authorizes a noncompetitive procurement in response to a written request from the non-Federal entity; or
(5) After solicitation of a number of sources, competition is determined inadequate. §200.321 Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms.
(a) The non-Federal entity must take all necessary affirmative steps to assure that minority businesses, women's business enterprises, and labor surplus area firms are used when possible.
(b) Affirmative steps must include:
(1) Placing qualified small and minority businesses and women's business enterprises on solicitation lists;
(2) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources;
(3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises;
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(4) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; (5) Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and
(6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in paragraphs (b)(1) through (5) of this section. §200.322 Domestic preferences for procurements.
(a) As appropriate and to the extent consistent with law, the non-Federal entity should, to the greatest extent practicable under a Federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subawards including all contracts and purchase orders for work or products under this award. (b) For purposes of this section:
(1) “Produced in the United States” means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States.
(2) “Manufactured products” means items and construction materials composed in whole or in part of non-ferrous metals such as aluminum; plastics and polymer-based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber.
§200.323 Procurement of recovered materials.
A non-Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.
§200.324 Contract cost and price.
(a) The non-Federal entity must perform a cost or price analysis in connection with every procurement action in excess of the Simplified Acquisition Threshold including contract amendments. The method and degree of analysis is dependent on the facts surrounding City Council 19 – 35 2/20/2024
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the particular procurement situation, but as a starting point, the non-Federal entity must make independent estimates before receiving bids or proposals. (b) The non-Federal entity must negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration must be given to the complexity of the work to be performed, the risk borne by the contractor, the contractor's investment, the amount of subcontracting, the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work. (c) Costs or prices based on estimated costs for contracts under the Federal award are allowable only to the extent that costs incurred or cost estimates included in negotiated prices would be allowable for the non-Federal entity under subpart E of this part. The non-Federal entity may reference its own cost principles that comply with the Federal cost principles.
(d) The cost plus a percentage of cost and percentage of construction cost methods of contracting must not be used.
§200.325 Federal awarding agency or pass-through entity review. (a) The non-Federal entity must make available, upon request of the Federal awarding agency or pass-through entity, technical specifications on proposed procurements where the Federal awarding agency or pass-through entity believes such review is needed to ensure that the item or service specified is the one being proposed for acquisition. This review generally will take place prior to the time the specification is incorporated into a solicitation document. However, if the non-Federal entity desires to have the review accomplished after a solicitation has been developed, the Federal awarding agency or pass-through entity may still review the specifications, with such review usually limited to the technical aspects of the proposed purchase.
(b) The non-Federal entity must make available upon request, for the Federal awarding agency or pass-through entity pre-procurement review, procurement documents, such as requests for proposals or invitations for bids, or independent cost estimates, when:
(1) The non-Federal entity's procurement procedures or operation fails to comply with the procurement standards in this part;
(2) The procurement is expected to exceed the Simplified Acquisition Threshold and is to be awarded without competition or only one bid or offer is received in response to a solicitation;
(3) The procurement, which is expected to exceed the Simplified Acquisition Threshold, specifies a “brand name” product;
(4) The proposed contract is more than the Simplified Acquisition Threshold and is to be awarded to other than the apparent low bidder under a sealed bid procurement; or City Council 19 – 36 2/20/2024
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(5) A proposed contract amendment changes the scope of a contract or increases the contract amount by more than the Simplified Acquisition Threshold. (c) The non-Federal entity is exempt from the pre-procurement review in paragraph (b) of this section if the Federal awarding agency or pass-through entity determines that its procurement systems comply with the standards of this part. (1) The non-Federal entity may request that its procurement system be reviewed by the Federal awarding agency or pass-through entity to determine whether its system meets these standards in order for its system to be certified. Generally, these reviews must occur where there is continuous high-dollar funding, and third-party contracts are awarded on a regular basis;
(2) The non-Federal entity may self-certify its procurement system. Such selfcertification must not limit the Federal awarding agency's right to survey the system.
Under a self-certification procedure, the Federal awarding agency may rely on written assurances from the non-Federal entity that it is complying with these standards. The non-Federal entity must cite specific policies, procedures, regulations, or standards as being in compliance with these requirements and have its system available for review. §200.326 Bonding requirements.
For construction or facility improvement contracts or subcontracts exceeding the Simplified Acquisition Threshold, the Federal awarding agency or pass-through entity may accept the bonding policy and requirements of the non-Federal entity provided that the Federal awarding agency or pass-through entity has made a determination that the Federal interest is adequately protected. If such a determination has not been made, the minimum requirements must be as follows:
(a) A bid guarantee from each bidder equivalent to five percent of the bid price. The “bid guarantee” must consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of the bid, execute such contractual documents as may be required within the time specified.
(b) A performance bond on the part of the contractor for 100 percent of the contract price. A “performance bond” is one executed in connection with a contract to secure fulfillment of all the contractor's requirements under such contract.
(c) A payment bond on the part of the contractor for 100 percent of the contract price. A “payment bond” is one executed in connection with a contract to assure payment as required by law of all persons supplying labor and material in the execution of the work provided for in the contract.
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§200.327 Contract provisions.
The non-Federal entity's contracts must contain the applicable provisions described in appendix II to this part.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014, and 85 FR 49506]
4. EQUIPMENT (2 CFR 200.313)
See also 200.439 Equipment and other capital expenditures. (a) Title. Subject to the obligations and conditions set forth in this section, title to equipment acquired under a Federal award will vest upon acquisition in the non-Federal entity. Unless a statute specifically authorizes the Federal agency to vest title in the non-Federal entity without further obligation to the Federal Government, and the Federal agency elects to do so, the title must be a conditional title. Title must vest in the non-Federal entity subject to the following conditions:
(1) Use the equipment for the authorized purposes of the project during the period of performance, or until the property is no longer needed for the purposes of the project. (2) Not encumber the property without approval of the Federal awarding agency or passthrough entity. (3) Use and dispose of the property in accordance with paragraphs (b), (c) and (e) of this section.
(b) A state must use, manage and dispose of equipment acquired under a Federal award by the state in accordance with state laws and procedures. Other non-Federal entities must follow paragraphs (c) through (e) of this section.
(c) Use.
(1) Equipment must be used by the non-Federal entity in the program or project for which it was acquired as long as needed, whether or not the project or program continues to be supported by the Federal award, and the non-Federal entity must not encumber the property without prior approval of the Federal awarding agency. When no longer needed for the original program or project, the equipment may be used in other activities supported by the Federal awarding agency, in the following order of priority:
(i) Activities under a Federal award from the Federal awarding agency which funded the original program or project, then
(ii) Activities under Federal awards from other Federal awarding agencies. This includes consolidated equipment for information technology systems. (2) During the time that equipment is used on the project or program for which it was acquired, the non-Federal entity must also make equipment available for use on other projects or programs currently or previously supported by the Federal Government, provided that such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use must be given to other City Council 19 – 38 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
programs or projects supported by Federal awarding agency that financed the equipment and second preference must be given to programs or projects under Federal awards from other Federal awarding agencies. Use for non-federally-funded programs or projects is also permissible. User fees should be considered if appropriate. (3) Notwithstanding the encouragement in 200.307 Program income to earn program income, the non-Federal entity must not use equipment acquired with the Federal award to provide services for a fee that is less than private companies charge for equivalent services unless specifically authorized by Federal statute for as long as the Federal Government retains an interest in the equipment.
(4) When acquiring replacement equipment, the non-Federal entity may use the equipment to be replaced as a trade-in or sell the property and use the proceeds to offset the cost of the replacement property.
(d) Management requirements. Procedures for managing equipment (including replacement equipment), whether acquired in whole or in part under a Federal award, until disposition takes place will, as a minimum, meet the following requirements:
(1) Property records must be maintained that include a description of the property, a serial number or other identification number, the source of funding for the property (including the FAIN), who holds title, the acquisition date, and cost of the property, percentage of Federal participation in the project costs for the Federal award under which the property was acquired, the location, use and condition of the property, and any ultimate disposition data including the date of disposal and sale price of the property. (2) A physical inventory of the property must be taken and the results reconciled with the property records at least once every two years.
(3) A control system must be developed to ensure adequate safeguards to prevent loss, damage, or theft of the property. Any loss, damage, or theft must be investigated. (4) Adequate maintenance procedures must be developed to keep the property in good condition.
(5) If the non-Federal entity is authorized or required to sell the property, proper sales procedures must be established to ensure the highest possible return. (e) Disposition. When original or replacement equipment acquired under a Federal award is no longer needed for the original project or program or for other activities currently or previously supported by a Federal awarding agency, except as otherwise provided in Federal statutes, regulations, or Federal awarding agency disposition instructions, the non-Federal entity must request disposition instructions from the Federal awarding agency if required by the terms and conditions of the Federal award. Disposition of the equipment will be made as follows, in accordance with Federal awarding agency disposition instructions:
(1) Items of equipment with a current per unit fair market value of $5,000 or less may be retained, sold or otherwise disposed of with no further obligation to the Federal awarding agency.
(2) Except as provided in 200.312 Federally-owned and exempt property, paragraph (b), or if the Federal awarding agency fails to provide requested disposition instructions within City Council 19 – 39 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
120 days, items of equipment with a current per-unit fair-market value in excess of $5,000 may be retained by the non-Federal entity or sold. The Federal awarding agency is entitled to an amount calculated by multiplying the current market value or proceeds from sale by the Federal awarding agency's percentage of participation in the cost of the original purchase. If the equipment is sold, the Federal awarding agency may permit the non-Federal entity to deduct and retain from the Federal share $500 or ten percent of the proceeds, whichever is less, for its selling and handling expenses. (3) The non-Federal entity may transfer title to the property to the Federal Government or to an eligible third party provided that, in such cases, the non-Federal entity must be entitled to compensation for its attributable percentage of the current fair market value of the property.
(4) In cases where a non-Federal entity fails to take appropriate disposition actions, the Federal awarding agency may direct the non-Federal entity to take disposition actions. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75884, Dec. 19, 2014]
5. SUPPLIES (2 CFR 200.314)
See also 200.453 Materials and supplies costs, including costs of computing devices. (a) Title to supplies will vest in the non-Federal entity upon acquisition. If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the project or program and the supplies are not needed for any other Federal award, the non-Federal entity must retain the supplies for use on other activities or sell them, but must, in either case, compensate the Federal Government for its share. The amount of compensation must be computed in the same manner as for equipment. See 200.313 Equipment, paragraph (e)(2) for the calculation methodology. (b) As long as the Federal Government retains an interest in the supplies, the non-Federal entity must not use supplies acquired under a Federal award to provide services to other organizations for a fee that is less than private companies charge for equivalent services, unless specifically authorized by Federal statute.
6. INSPECTION
Reclamation has the right to inspect and evaluate the work performed or being performed under this Agreement, and the premises where the work is being performed, at all reasonable times and in a manner that will not unduly delay the work. If Reclamation performs inspection or evaluation on the premises of the Recipient or a sub-Recipient, the Recipient shall furnish and shall require sub-recipients to furnish all reasonable facilities and assistance for the safe and convenient performance of these duties.
City Council 19 – 40 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
7. AUDIT REQUIREMENTS (2 CFR 200.501)
(a) Audit required. A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single or program-specific audit conducted for that year in accordance with the provisions of this part. (b) Single audit. A non-Federal entity that expends $750,000 or more during the non-Federal entity's fiscal year in Federal awards must have a single audit conducted in accordance with 200.514 Scope of audit except when it elects to have a program-specific audit conducted in accordance with paragraph (c) of this section.
(c) Program-specific audit election. When an auditee expends Federal awards under only one Federal program (excluding R&D) and the Federal program's statutes, regulations, or the terms and conditions of the Federal award do not require a financial statement audit of the auditee, the auditee may elect to have a program-specific audit conducted in accordance with 200.507 Program-specific audits. A program-specific audit may not be elected for R&D unless all of the Federal awards expended were received from the same Federal agency, or the same Federal agency and the same pass-through entity, and that Federal agency, or passthrough entity in the case of a subrecipient, approves in advance a program-specific audit. (d) Exemption when Federal awards expended are less than $750,000. A non-Federal entity that expends less than $750,000 during the non-Federal entity's fiscal year in Federal awards is exempt from Federal audit requirements for that year, except as noted in 200.503 Relation to other audit requirements, but records must be available for review or audit by appropriate officials of the Federal agency, pass-through entity, and Government Accountability Office (GAO).
(e) Federally Funded Research and Development Centers (FFRDC). Management of an auditee that owns or operates a FFRDC may elect to treat the FFRDC as a separate entity for purposes of this part.
(f) Subrecipients and Contractors. An auditee may simultaneously be a recipient, a subrecipient, and a contractor. Federal awards expended as a recipient or a subrecipient are subject to audit under this part. The payments received for goods or services provided as a contractor are not Federal awards. Section 200.331 Subrecipient and contractor determinations sets forth the considerations in determining whether payments constitute a Federal award or a payment for goods or services provided as a contractor.
(g) Compliance responsibility for contractors. In most cases, the auditee's compliance responsibility for contractors is only to ensure that the procurement, receipt, and payment for goods and services comply with Federal statutes, regulations, and the terms and conditions of Federal awards. Federal award compliance requirements normally do not pass through to contractors. However, the auditee is responsible for ensuring compliance for procurement transactions which are structured such that the contractor is responsible for program compliance or the contractor's records must be reviewed to determine program compliance.
Also, when these procurement transactions relate to a major program, the scope of the audit must include determining whether these transactions are in compliance with Federal statutes, regulations, and the terms and conditions of Federal awards.
City Council 19 – 41 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
(h) For-profit subrecipient. Since this part does not apply to for-profit subrecipients, the passthrough entity is responsible for establishing requirements, as necessary, to ensure compliance by for-profit subrecipients. The agreement with the for-profit subrecipient must describe applicable compliance requirements and the for-profit subrecipient's compliance responsibility. Methods to ensure compliance for Federal awards made to for-profit subrecipients may include pre-award audits, monitoring during the agreement, and postaward audits. See also 200.332 Requirements for pass-through entities. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75887, Dec. 19, 2014; 85 FR 49571, Aug. 13, 2020]
8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.339)
200.339 Remedies for noncompliance.
If a non-Federal entity fails to comply with Federal statutes, regulations or the terms and conditions of a Federal award, the Federal awarding agency or pass-through entity may impose additional conditions, as described in 200.207 Specific conditions. If the Federal awarding agency or pass-through entity determines that noncompliance cannot be remedied by imposing additional conditions, the Federal awarding agency or pass-through entity may take one or more of the following actions, as appropriate in the circumstances. (a) Temporarily withhold cash payments pending correction of the deficiency by the non-Federal entity or more severe enforcement action by the Federal awarding agency or pass-through entity.
(b) Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
(c) Wholly or partly suspend or terminate the Federal award. (d) Initiate suspension or debarment proceedings as authorized under 2 CFR part 180 and Federal awarding agency regulations (or in the case of a pass-through entity, recommend such a proceeding be initiated by a Federal awarding agency). (e) Withhold further Federal awards for the project or program. (f) Take other remedies that may be legally available.
9. TERMINATION (2 CFR 200.340)
(a) The Federal award may be terminated in whole or in part as follows:
(1) By the Federal awarding agency or pass-through entity, if a non-Federal entity fails to comply with the terms and conditions of a Federal award; (2) By the Federal awarding agency or pass-through entity, to the greatest extent authorized by law, if an award no longer effectuates the program goals or agency priorities; (3) By the Federal awarding agency or pass-through entity with the consent of the nonFederal entity, in which case the two parties must agree upon the termination conditions, City Council 19 – 42 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)
including the effective date and, in the case of partial termination, the portion to be terminated;
(4) By the non-Federal entity upon sending to the Federal awarding agency or passthrough entity written notification setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated.
However, if the Federal awarding agency or pass-through entity determines in the case of partial termination that the reduced or modified portion of the Federal award or subaward will not accomplish the purposes for which the Federal award was made, the Federal awarding agency or pass-through entity may terminate the Federal award in its entirety; or
(5) By the Federal awarding agency or pass-through entity pursuant to termination provisions included in the Federal award.
(b) When a Federal award is terminated or partially terminated, both the Federal awarding agency or pass-through entity and the non-Federal entity remain responsible for compliance with the requirements in 200.344 Closeout and 200.345 Post-closeout adjustments and continuing responsibilities.
10. DEBARMENT AND SUSPENSION (2 CFR 1400)
The Department of the Interior regulations at 2 CFR 1400—Governmentwide Debarment and Suspension (Nonprocurement), which adopt the common rule for the governmentwide system of debarment and suspension for nonprocurement activities, are hereby incorporated by reference and made a part of this Agreement. By entering into this grant or cooperative Agreement with the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 1400, Subpart C, and agrees to include a similar term or condition in all lower-tier covered transactions. These regulations are available at http://www.gpoaccess.gov/ecfr/.
11. DRUG-FREE WORKPLACE (2 CFR 182 and 1401)
The Department of the Interior regulations at 2 CFR 1401—Governmentwide Requirements for Drug-Free Workplace (Financial Assistance), which adopt the portion of the Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et seq, as amended) applicable to grants and cooperative agreements, are hereby incorporated by reference and made a part of this agreement. By entering into this grant or cooperative agreement with the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 182.
12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE The provisions of the Assurances, SF 424B or SF 424D as applicable, executed by the Recipient in connection with this Agreement shall apply with full force and effect to this Agreement. All anti-discrimination and equal opportunity statutes, regulations, and Executive Orders that apply to the expenditure of funds under Federal contracts, grants, and cooperative Agreements, loans, and other forms of Federal assistance. The Recipient shall comply with Title VI or the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the City Council 19 – 43 2/20/2024
R22AP00055 Agreement Template
City of Santa Ana (01/2021)