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HomeMy WebLinkAboutLILLEY PLANNING GROUP 2City of Santa Ana Clerk of the Council AGREEMENT TERMINATION 2T3 AUG -7 i Please complete this form when the attached agreement is no longer in effect. Return form to the Clerk of the Council Office (M-30). CIDIF OF SANTA ANA Call 647-5237 if you have any questions. CLERK OF COUNCIL The agreement with No. A :,,? 002-/,xg 3 was completed on ( 13ol?-oa and final payment has been made. Revised 07-23-07 Department: N & Phone/Ext.: Signature: ---J� Date: ��3 (% 13 INSURANCE ON FILE A-2008-123 WORK MAY PROCEED UNTIL INSURANCE EXPIRES CLERK DATE- ibr 1 f 2008 0 Pm (z) CONSULTANT AGREEMENT rcn,c, 2�rlc, THIS AGREEMENT, made and entered into this 2" d day of June, 2008 by and between LILLEY PLANNING GROUP, a California corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of environmental services and related technical studies. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall provide environmental study and related technical study services related to analyses of the California Environmental Quality Act and the National Environmental Policy Act, as set forth in City's Request for Qualifications for Environmental Consultants, incorporated to this Agreement by reference, and Consultant's Proposal, attached hereto as Exhibit A and incorporated by reference to this Agreement. Said services shall be provided at the request of the Executive Director of the Planning and Building Agency, as evidenced by a writing signed by the Executive Director and the City Attorney. 2. DELIVERY OF WORK PRODUCT Consultant shall deliver to City all work product which results from the services provided Said work product shall be submitted in hard copy and produced in a form compatible with City's computer system, as agreed between the Project Manager and Consultant. In regard to all copyrightable material produced as a deliverable under this Agreement, including but not limited to books, reports, plans, photographs, drawings, films, recordings, videotapes, and computer programs, Consultant agrees, for itself and for its affected officers, employees, agents, contractors, and volunteer workers, that (a) other such material may not be copyrighted without prior review from the City, and (b) the authors of all such material, whether copyrighted or not, award to the City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusivc, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall be set in the writing authorizing Consultant to perform a specific project pursuant to this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2009, unless terminated earlier in accordance with Section 13, below. The term of this Agreement may be extended upon a writing executed by the Executive Director of Planning and Building and the City Attorney. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise due to negligent acts, omissions or willful misconduct in the performance, from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from negligent acts, omissions or willful misconduct in the performance of this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza. (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: Executive Director of Planning and Building City of Santa Ana 20 Civic Center Plaza (M-20) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 973-1461 and City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 telefacsimile (714) 647-6515 To Consultant: Lilley Planning Group Jennifer A. Lilley 440 South Brea Boulevard, Suite E Brea, California 92821 Telefacsimile 714-672-9908 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any proposal or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTFST;-., PATRICIA E. HEAL Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney n� By: La a Sheedy Assistant City Attorney CITY OF TA ANA DAVID N. REAM City Manager LILLEY PLANNING GROUP Tax ID# 5-1 I EXHIBIT A CONSULTANT'S PROPOSAL AND FEE SCHEDULE Statement of Qualifications For Environmental Consulting Services for the City of Santa Ana O0: Prepared for: Mr. Pedro Guill6n, Associate Planner City of Santa Ana Planning Division, M-20 20 Civic Center Plaza Post Office Box 1988 Santa Ana, California 92702 Prepared by: PLANNING GROUP Jennifer A. Lilley, AICP President 440 South Brea Boulevard Suite E Brea, California 92821 Phone: 714.672.9906 Fax: 714.672.9908 Web: www.lilleyplanning.com 4 PLANNING GROUP April 18, 2008 Mr. Pedro Guill6n Associate Planner City of Santa Ana Planning and Building Agency 20 Civic Center Plaza (M-20) Santa Ana, CA 92702 Re: Statement of Qualifications for Environmental Consultants Dear Mr. Guill6n: The Lilley Planning Group is pleased to submit our statement of qualifications for environmental services to the City of Santa Ana. Although, the Lilley Planning Group is a new firm, our Principals and staff have been successfully providing comprehensive planning services throughout Southern California for the past sixteen years, including environmental review services. We would be pleased to have the opportunity to work with the City of Santa Ana in this capacity. We believe that the Lilley Planning Group can offer Santa Ana access to a consultant team that provides environmental review services in a timely, professional and experienced manner. Given our planner's experience, background and familiarity with City standards and performance expectations we will provide effective and expeditious service to project applicants and allow the City to streamline the processing of projects. To ensure that you receive the highest level of service I will provide for you a proactive approach to solving any needs, open communication, and solid coordination to make sure that projects run smoothly and stay on schedule. The Lilley Planning Group has assembled a solid staff of professional planners that offer our clients a variety of options with respect to level of experience, qualifications, and expertise. We have the depth of resources needed for long-term, on -call contracts. We appreciate the opportunity to submit our statement of qualifications to be considered for on -call environmental services. We are confident that you will find that our firm's capabilities, technical expertise, and key personnel directly match the City's needs. Should you have any additional questions, I can be reached at 714.672.9906. Sincerely, Jennifer A. Lilley, AICP President I, Jennifer Lilley, declare that only the person, persons, company or parties interested in this proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that in all respects fair and in good faith without collusion or fraud; and, that I have full authority to bind the principal proposer. A. Statement of Qualifications The Lilley Planning Group is a full service, professional planning firm providing land use, environmental and on -site planning consulting to cities throughout Southern California. Although, the Lilley Planning Group is a newly incorporated firm, the President, Jennifer Lilley, AICP has been a professional planner for over twenty years and has focused the last fifteen years of her career, assisting cities with their planning needs, including overseeing and managing contract planning, including environmental services. She has assembled a team of talented planners to bring high quality skills to our clients. Our mission is to provide outstanding, quality service to the clients and the communities we serve and ensure that we add value and make a positive, lasting impression with each assignment. All of our staff have professional planning experience in the public sector. This allows our team to have a unique and thorough understanding of the processes we will be implementing and the challenges faced in City planning departments. Our firm presently has on -call planning service contracts with the cities of Aliso Viejo, Azusa, Brea, El Monte, Oxnard, Malibu, Mission Viejo, Lake Forest, Santa Ana, West Hollywood and Santa Monica and provides facilitation services to the County of Ventura. Although our services include all functions of a city planning department, we have key personnel that specialize in providing environmental review services such as Initial Study preparation, NOP and NOD preparation, Mitigation Monitoring Programs, Preparation of Response to Comments, Preparation of Overriding Considerations, EIR contract management, as well as scoping and public meeting facilitation and management. We also provide support services in the form of graphics and citizen participation programs, which may be a necessary component of providing environmental review services. The Lilley Planning Group knows that our reputation is our most valuable asset. To protect it we do not over commit our staff and we only commit to work that our staff has the capacity and qualifications to perform. Our staff maintains their professional development and we provide them with extensive training in project management, land use law updates, CEQA, technical writing and public presentations. Our team maintains regular office hours to be accessible and available to interact with the public and other city staff. We consistently meet Departmental standards, including deadlines, quality of work products, courtesy and accessibility, accuracy of reports and information given to the public, and responsiveness by gaining a firm understanding of expectations and maintaining consistent communication with our clients. The Lilley Planning Group is committed to providing environmental review services that are cost effective while maintaining productivity standards. 1. Scope of Services We understand that the City of Santa Ana is requesting an environmental review team of experienced and qualified individuals for on -call environmental review services. We are interested in being considered for the following: • Preparation of Initial Studies • Notice of Preparation/Intent/Availability/and Determination • Preparation of Response to Comments • Mitigation Monitoring Programs • Preparation and technical reports for Negative Declarations • Preparation and technical reports for Mitigated Negative Declarations The Lilley Planning Group specializes in providing on -call environmental review services, which includes the preparation of environmental review services such as Initial Study preparation, NOP and NOD preparation, Mitigation Monitoring Programs, Preparation of Response to Comments, Preparation of Overriding Considerations, and EIR contract management. Our staff has a strong understanding of the city processes since they have worked for cities through the majority of their careers. We create a thorough work plan and understanding of our client's needs. We offer our clients highly qualified and experienced professionals whose skills meet or exceed those requested. Our goal is to provide a strong match between our staff's qualifications and previous responsibilities to our client's needs. We believe that we are the best suited for your on call environmental needs because: • The Lilley Planning Group's Project Manager and staff will be responsive and maintain excellent working relationships with the project applicant, property owners, developers, and City staff. • We are committed to providing adequate staffing levels at all times in order to adhere to required schedules. • Our project manager and staff are knowledgeable and very familiar with federal, state, and local regulations, policies, and procedures as they pertain to CEQA and NEPA. • We are seasoned professionals who very strong presenters and communicators and will attend City Commission, City Council, and neighborhood meetings as necessary. • Our strength of services includes the preparation, distribution, and the filing of environmental noticing documents, preparation of studies. • We have many years of experience providing the review of technical reports for the purpose of preparing environmental documents. • All of our staff enjoys the work that we specialize in and are happy to team with other sub -consultants for the preparation of technical reports that are outside our area of specialty. 2. Firm and Personnel Experience The Principals and staff of the Lilley Planning Group have successfully completed several contracts and environmental services work similar to the request of the City of Santa Ana. Our staff and the Principals of our firm have served over 40 cities as well as private consulting firms that contract with cities and have maintained a solid reputation for providing outstanding service in all the contracts we have served. The following is the organizational chart for the work that we would anticipate for the City of Santa Ana. Q6*66t Manager" 10% of full time availability Hollee Brui i sky' AICP� Project Manager 25%of fulltime available Katherine Laufenburger Heather Waldstein Vance Pomeroy Senior Planner. SensorPlanner.. Sensor Planner,` 40 % of full time available 50%,of full time available 25% of full time available :' 1 s PLANNING GROUP C. Schedule of Fees The Lilley Planning Group shall be committed to providing experienced planners knowledgeable in environmental review. Dependent on the level of environmental review the following hourly rates shall apply: CEQA Project Manager $1 10.00 CEQA Senior Planner $100.00 CEQA Associate Planner $90.00 Administrative Support $45.00 Additional Costs for Reimbursable Expenses Not Included in the Above Rates: Blue line reproduction of plans Large duplication or document publishing projects Specialized graphics projects Messenger and overnight delivery services *Any anticipated rate increases would not occur until year 2 and year 4 over the next five-year period. No increase would be anticipated prior to June of 2009. Each occurrence would be anticipated to be not more than a 5 percent of the above rates quoted. A-o?OOY'1013 Substitute rW 9 Request for Taxpayer (Rev. February 2005) Identification Number and Certification Name (as shown on your income tax retum) Give form to the requester. Do not send to the IRS. Lilley Planning Group, Inc. ra Business name, if different from above y c a0 c Check `« ❑ Individual/Sole Proprietor ® Corporation ❑ Partnership ElotherT Exempt from o appropriate c = box: ❑ LLC filing as Sole Proprietor ElLLC filing as Corporation ElLLC filing as Partnership backup withholding me Address (number, street, and apL or suite no.) Requester's name and address (optional) 440 S. Brea Blvd., Suite E a m City, state, and ZIP code 2 Brea CA 92821 List account number(s) here (optional) liCUMMI Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on Line 1 to avoid backup sociar securely number withholding. For individuals, this is your social security number (SSN). However, for a resident alien, sole proprietor, I or disregarded entity, see the Part 1 instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3. or —� Note: If the account is in more than one name, see the chart on page 3 for guidelines on whose number Employer Identification penalties of perjury, t certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that 1 am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and 3. 1 am a U.S. person (including a U.S. resident alien). Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup wifft xMr)g because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, conbibutions to an h xbvkkad retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you must provide your correct TIN. (See the instructions on page 3.) Sign Here Signature I U.S. person ► - — gate ► 6116/08 Purpose of Form A person who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) to report, for example, income paid to you, real estate transactions, mortgage interest you paid, acquisition or abandonment of secured property, cancellation of debt, or contributions you made to an IRA. U.S. person. Use form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN to the person requesting it (the requester) and, when applicable, to: 1. Certify the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you area U.S. exempt payee. Note: If a requester gives you a form other than Form W-9 to request your ' M, you must use the requesWs form if it is s"antially similar to this Form N-9. For federal tax purposes you are considered a person if you are: • An individual who is a citizen or resident of the United States, • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States, or • Any estate (other than a foreign estate) or trust. See Regulations sections 301.7701-6(a) and 7(a) for additional information. Foreign person. If you are a foreign person, do not use For W-9. Instead use the appropriate Form W 8 (see Publication 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a "saving clause.' Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the recipient has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on a exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items: 1. The treaty country, Generally. this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. S. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese Substitute Form W-9 (Rev. 02 2005) Client#: 81629 1111PIA ACORDTM CERTIFICATE OF LIABILITY INSURANCE FDATE2/o$°'YY'�' PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION HRH Professional Practice ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE Insurance Brokers, Inc. A-2008-123 2030 Main Street, Suite 350 HOLDE. THIS CERTIFICATE DOES, EXTEND OR ALTER THE COVERAGE AFFORDEDNBYT HEENDPOLIC ES BELOW. Irvine, CA 92614-7248 INSURERS AFFORDING COVERAGE NAIC # INSURED 440 S 40 S Planning Group, Inc.outh Brea Boulevard, Suite E Brea, CA 92821 INSURER A: Employers Fire Insurance Company 20648 INSURER B: Continental Casualty Company 20443 INSURER C: INSURER D: INSURER E: COVERAGES THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. I SR LTR A INSR TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE DATE MMIDD/YY POLICY EXPIRATION DATE MMIDD/YY LIMITS A GENERAL LIABILITY 1 U40852 09/19/07 09/19/08 EACH OCCURRENCE s2,000,000 N::_CO1M MERCIAL GENERAL LIABILITY CLAIMS MADE �OCCUR DAMIAGE TO RENTEDPREISES (Ea n$3OO OOO MED EXP (Any one person) $5000 PERSONAL & ADV INJURY s2,000,000 GENERAL AGGREGATE s4,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG s4,000,000 POLICY PRO LOC JECT A AUTOMOBILE LIABILITY ANY AUTO 1 U40852 09/19/07 09/19/08 COMBINED SINGLE LIMIT (Ea accident) $1,000,000 1 000 , ,000 BODILY INJURY (Per person) $ ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON -OWNED AUTOS X BODILY INJURY (Per accident) $ X PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC $ ANY AUTO $ AUTO ONLY: AGG EXCESS/UMBRELLA LIABILITY EACH OCCURRENCE $ AGGREGATE $ OCCUR CLAIMS MADE $ DEDUCTIBLE $ RETENTION $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY WC STATU- OTH- Y E.L. EACH ACCIDENT $ ANY PROPRIETOR/PARTNERIEXECUTIVE E.L. DISEASE - EA EMPLOYEE $ OFFICER/MEMBER EXCLUDED? If yes, describe under E.L. DISEASE - POLICY LIMIT $ SPECIAL PROVISIONS below B OTHER Professional MCA288275433 09/19/07 09/19/08 $1,000,000 Per Claim Liability $1,000,000 Aggregate DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS ALL OPERATIONS. GENERAL LIABILITY: CITY OF SANTA ANA IS NAMED ADDITIONAL INSURED PER ATTACHED ENDORSEMENT. lsltil a" CITY OF SANTA ANA 20 CIVIC CENTER PLAZA (M-30) Santa Ana, CA 92702-1988 LD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION THEREOF, THE ISSUING INSURER WILLR000MRXItMAIL �30_ DAYS WRITTEN E TO THE CERTIFICATE HOLDER NAMED TO THE LEFT,AX3tR I IK REPRESENTATIVE mL,vmL) cO (LUvl/ual 1 of 2 #S434541/M433973 CCL o ACORD CORPORATION 1988 IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. AGORD 25-5 (2001/08) 2 of 2 #S434541/M433973 Architects and Engineers Extender Additional Insured Language* The following policy language is from Employers Fire Insurance Company Business Owners Liability Coverage Form G 15911 03 05: Form G 1591103 05 Amends the Commercial General Liability Coverage Form: The following are added to Section If — Who is an insured: a. Person or organization required by Written Contract Any person or organization that you agree to add as additional insured under this General Liability coverage Part in a written contract or agreement that is made before, and in effect when, the "bodily injury" or "property damage" occurs or the offense that causes the "personal and advertising injury" is first committed, but only with respect to that person's or organization's liability arising out of your non- professional work for that person or organization. However such person or organization is not an additional insured with respect to any: (1) "Bodily Injury", "property damage", or "personal and advertising injury" that does not arise out of: (a) Your Negligence: or (b) The negligence of another person or organization for whom you are liable; (2) "Bodily injury: "property damage" or "personal and advertising injury for which such person or organization has assumed liability in a contract or agreement, except for liability for damages that such person or organization would have in the absence of the contract or agreement; (3) "Property Damage" to: (a) Property owned, used or occupied by or loaned or rented to, such person or organization: or (b) Property over which such person or organization is for any purpose exercising physical control: (4) All Professional liability as an architect or engineer arising out of any construction agreement or activities under which any insured or anyone acting on any insured's behalf provides or provided service, advise, expertise or work. Construction includes, but is not limited to, the plan, conception, design, build, construct, assembly, development, safety, erection formation, reconstruct, repair, or in any improvement made to real property. Construction also includes the hiring, supervision or management of these activities. However, this exclusion does not apply to liability arising out of an insured's presence at a jobsite that was not caused by professional activities listed in the above paragraph. Primary & Non -Contributory: This insurance will be considered primary to, and non-contributory with any other insurance issued directly to a person or organization added as an additional insured. Per Project Aggregate: Section III Limits of Insurance is amended by adding the following: The General Aggregate Limit under Section III -Limits of Insurance applies separately to each of "your projects" or each location listed in the location information in the common policy declarations. Separation of Insureds: Except with respect to the Limits of Insurance, and any rights or duties specifically assigned in this Coverage Part to the First Named Insured, this insured applies: a. As if each Named insured were the only Named Insured; and b. Separately to each insured against whom a claim is made or "suit" is brought. Waiver of Subrogation: Transfer of Rights of Recovery Against Other to Us in Section IV — Commercial General Liability Conditions: However, we waive the right of recovery and proceeds we may have against any person or organization that is added as an additional insured under 1.1.a a. Because of payments we make for "bodily injury", "property damage" or "personal and advertising injury" arising out of "your work" in ongoing operations include or included in the "products -completed operations hazard" and b. Performed under a written contract or agreement that is made before, and in effect when, the "bodily injury" or "property damage" occurs or the offense that causes the "personal and advertising injury" is committed; and c. You specifically agree in such written contract or agreement to waive those rights of recovery and proceeds for such person or organization. Named Insured: Lilley Planning Group, Inc. Policy No.: 1 U40852 *From Form: G15911 03 05 • *LICYHOLDER COPY SG STATE P.O. BOX 420807, SAN FRANCISCO,CA 94142-0807 COMPENSATION INSURANCE FUND CERTIFICATE OF WORKERS' COMPENSATION INSURANCE ISSUE DATE: 04-08-2008 GROUP: POLICY NUMBER: 1888865-2008 CERTIFICATE ID: 6 CERTIFICATE EXPIRES:01-01-2009 01-01-2008/01-01-2009 CITY OF SANTA ANA SG 20 CIVIC CENTER PLZ SANTA ANA CA 92701-4058 This is to certify that we have issued a valid Workers' Compensation insurance policy in a form approved by the California Insurance Commissioner to the employer named below for the policy period indicated. This policy is not subject to cancellation by the Fund except upon 10 days advance written notice to the employer. We will also give you 10 days advance notice should this policy be cancelled prior to its normal expiration. This certificate of insurance is not an insurance policy and does not amend, extend or alter the coverage afforded by the policy listed herein. Notwithstanding any requirement, term or condition of any contract or other document with respect to which this certificate of insurance may be issued or to which it may pertain, the insurance afforded by the policy described herein is subject to all the terms, exclusions, and conditions, of such policy. HORIZED REPRESENTATRO PRESIDENT EMPLOYER'S LIABILITY LIMIT INCLUDING DEFENSE COSTS: $1,000,000 PER OCCURRENCE. ENDORSEMENT #1600 - LILLEY, JENNIFER P,S T - EXCLUDED. M/ EMPLOYER LILLEY PLANNING GROUP SG 440 S BREA BLVD STE E BREA CA 92821 [B14,SG) (REV.2-05) PRINTED : 04-08-2008 Lmenx*. o lazy uLLrLA 'ACORUM CERTIFICATE OF LIABILITY INSURANCE 0911908D"Y'") PRODUCER THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION HRH Professional Practice ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE Insurance Brokers, Inc. HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR 2030 RA ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. ' aln Street, Suite 350 Irvine, CA 92614-7248 INSURED Lilley Planning Group, Inc. 440 South Brea Boulevard, Suite E Brea, CA 92821 INSURERS AFFORDING COVERAGE NAIC # INSURER A: Employers Fire Insurance Company 20648 INSURER B: Continental Casualty Company 20443 INSURER C: INSURER D: INSURER E: THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. LTR NSR TYPE OF INSURANCE POLICY NUMBER POLICY EFFECTIVE DATE MM/DD/YY POLICY EXPIRATION DATE MM/DD/YY LIMITS A GENERAL LIABILITY FF1 U40852 09/19/08 09/19/09 EACH OCCURRENCE $2 000 000 X COMMERCIAL GENERAL LIABILITY DAMAGE TO RENTED .PREMISES E rz n $300 000 MED EXP (Any one person) $5 000 CLAIMS MADE Ex_] OCCUR PERSONAL & ADV INJURY $1 000 000 GENERAL AGGREGATE s4,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: POLICY PRO- JECT LOC PRODUCTS - COMP/OP AGG s4,000,000 A AUTOMOBILE LIABILITY ANY AUTO FF1 U40852 09/19/08 09/19/09 COMBINED SINGLE LIMIT (Ea accident) $1,000,000 ALL OWNED AUTOS SCHEDULED AUTOS BODILY INJURY (Per person) $ X HIRED AUTOS NON -OWNED AUTOS BODILY INJURY (Per accident) $ X PROPERTY DAMAGE (Per accident) $ GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC $ ANY AUTO / $ AUTO ONLY: AGG EXCESS/UMBRELLA LIABILITY OCCUR CLAIMS MADE EACH OCCURRENCE $ AGGREGATE $ DEDUCTIBLE $ RETENTION $ $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY WC STATU- OTH- ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? E.L. EACH ACCIDENT $ If yes, describe under E.L. DISEASE - EA EMPLOYEE $ SPECIAL PROVISIONS below B OTHER E.L. DISEASE - POLICY LIMIT 1 $ Professional MCA288275433 09/19/08 09/19/09 LiabilityF. DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS ALL OPERATIONS. GENERAL LIABILITY: CITY OF SANTA ANA IS NAMED ADDITIONAL $1,000,000 Per Claim nno,000 Aggregate INSURED PER ATTACHED ENDORSEMENT. rcoTicirwrc un, - CITY OF SANTA ANA 20 CIVIC CENTER PLAZA (M-30) Santa Ana, CA 92702-1988 mow+, wrr SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL jtj[§LMAIL '1(1_ DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT,]�J K REPRESENTATIVE AL`nDn 94 1-3nn4/no\ . --- _.- "r ` trin•►•tai is CCL © ACORD CORPORATIOK IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. ACnRn 95 c lgnminm Architects and Engineers Extender Additional Insured Language* The following policy language is from Employers Fire Insurance Company Business Owners Liability Coverage Form G15911 03 05: Form G15911 03 05 Amends the Commercial General Liability Coverage Form: The following are added to Section II — Who is an insured: a. Person or organization required by Written Contract Any person or organization that you agree to add as additional insured under this General Liability coverage Part in a written contract or agreement that is made before, and in effect when, the "bodily injury" or "property damage" occurs or the offense that causes the "personal and advertising injury" is first committed, but only with respect to that person's or organization's liability arising out of your non- professional work for that person or organization. However such person or organization is not an additional insured with respect to any: (1) "Bodily Injury", "property damage", or "personal and advertising injury" that does not arise out of: (a) Your Negligence: or (b) The negligence of another person or organization for whom you are liable; (2) "Bodily injury: "property damage" or "personal and advertising injury for which such person or organization has assumed liability in a contract or agreement, except for liability for damages that such person or organization would have in the absence of the contract or agreement; (3) "Property Damage" to: (a) Property owned, used or occupied by or loaned or rented to, such person or organization: or (b) Property over which such person or organization is for any purpose exercising physical control: (4) All Professional liability as an architect or engineer arising out of any construction agreement or activities under which any insured or anyone acting on any insured's behalf provides or provided service, advise, expertise or work. Construction includes, but is not limited to, the plan, conception, design, build, construct, assembly, development, safety, erection formation, reconstruct, repair, or in any improvement made to real property. Construction also includes the hiring, supervision or management of these activities. However, this exclusion does not apply to liability arising out of an insured's presence at a jobsite that was not caused by professional activities listed in the above paragraph. Primary & Non -Contributory: This insurance will be considered primary to, and non-contributory with any other insurance issued directly to a person or organization added as an additional insured. Per Project Aggregate: Section III Limits of Insurance is amended by adding the following: The General Aggregate Limit under Section III -Limits of Insurance applies separately to each of "your projects" or each location listed in the location information in the common policy declarations. Separation of Insureds: Except with respect to the Limits of Insurance, and any rights or duties specifically assigned in this Coverage Part to the First Named Insured, this insured applies: a. As if each Named insured were the only Named Insured; and b. Separately to each insured against whom a claim is made or "suit" is brought. Waiver of Subrogation: Transfer of Rights of Recovery Against Other to Us in Section IV — Commercial General Liability Conditions: However, we waive the right of recovery and proceeds we may have against any person or organization that is added as an additional insured under 1.1.a a. Because of payments we make for "bodily injury", "property damage" or "personal and advertising injury" arising out of "your work" in ongoing operations include or included in the "products -completed operations hazard" and b. Performed under a written contract or agreement that is made before, and in effect when, the "bodily injury" or "property damage" occurs or the offense that causes the "personal and advertising injury" is committed; and c. You specifically agree in such written contract or agreement to waive those rights of recovery and proceeds for such person or organization. Named Insured: Lilley Planning Group, Inc. Policy No.: FF1 U40852 *From Form: G15911 03 05