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HomeMy WebLinkAboutURBAN FUTURES, INC. 1 - 2013INSURANCE FILE WORK MAYPROCEED CLERK DATE.. 7-,R6-13 ( Lc*Ab'. 12-8-13 W O : 2-g-14 Neec��c� Prc4' '0s 4l = CONSULTANT AGREEMENT N-2013-101 V N15 (Z) THIS AGREEMENT, made and entered into this cKlay ofju st, 2013 by and between Urban Futures, Inc., 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 financial planning, strategic planning and management consulting. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. hl undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform a financial review of the operations and procedures within the Community Development Agency as well as a comprehensive analysis of the City's long tern debt obligations, the details and particulars are as set forth in Consultant's Proposal dated July 15, 2013, attached as Exhibit A to this Agreement, and incorporated by reference. 2. REPRESENTATIVES For purposes of implementing this Agreement, the representative of City shall be the City Manager, or his designated representative, and the representative of the Consultant shall be Michael Busch. Except as may be otherwise stated herein, such representatives shall have the authority to act on behalf of their respective parties in carrying out the terms of this Agreement. 3. DELIVERY OF WORK PRODUCT - OWNERSHIP Consultant warrants and represents that it has the absolute right to enter into and perform this Agreement and will perform its obligations hereunder in accordance with standards and practices prevailing in the industry. Consultant's performance of the financial review, including works to be produced by Consultant hereunder, will not infringe or misappropriate the proprietary or personal rights of any third person or party. Consultant shall deliver to City any 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 information systems, as agreed between the City Representative and Consultant. In regard to all material produced as a deliverable under this Agreement, including but not limited to records, papers, drawings, specifications, programs, systems and other materials prepared by Consultant, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer workers, that (a) such material shall be the property of the City, and 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, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 4. COMPENSATION City agrees to pay, and Consultant agrees to accept as total payment for its services, including its expenses, the sum of twenty-five thousand dollars ($25,000) as compensation for the plan of work described in the Consultant's Proposal dated July 15, 2013, attached as Exhibit A to this Agreement. Payment by City shall be made within thirty (30) days following receipt of proper invoice with the last payment to be made upon completion of Final Report and Action Plan described in proposal. 5. TERM This Agreement shall commence on the date first written above and terminate upon completion of work or on January 31, 2014, whichever is earlier, unless earlier terminated as set forth in Section 14, below. 6. 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 its employees and shall be responsible for all applicable withholding taxes. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Due to the nature of services provided Commercial General Liability Insurance is not required. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $2,000,000 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 in a form approved 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 (3 0) 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 affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Indemnification for Professional Liability. Where the law establishes a professional standard of care for Consultant's services, to the fullest extent permitted by law, Consultant shall indemnify, defend and hold harmless the City, its officers, agents, and employees from and against any and all losses, liabilities, damages, costs and expenses, including attorney's fees and costs to the extent same are caused in whole or in part by any negligent or wrongful act, error or omission of Consultant, its officers, agents, employees or subconsultants in the performance of professional services under this agreement. Indemnification for other than Professional Liability. Other than in the performance of professional services and to the 6x11 extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents, and employees from and against any liability (including liability for claims, suits, actions, arbitration proceedings, administrative proceedings, regulatory proceedings, losses, expenses or costs of any kind, whether actual, alleged or threatened, including attorney's fees and costs, court costs, interest, defense costs, and expert witness fees), where the same arise out of, are a consequence of, or are in any way attributable to, in whole or in part, the performance of this agreement by Consultant or by any individual or entity for which Consultant is legally liable, including but not limited to officers, agents, employees, or subcontractors of Consultant. 9. 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. 10. 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. 11. 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) Santa Ana, CA 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: and City Manager City of Santa Ana 20 Civic Center Plaza (M-31) P.O. Box 1988 Santa Ana, CA 92702 Facsimile (714) 647-6954 Executive Director of Finance and Management Services City of Santa Ana 20 Civic Center Plaza (M14) P.O. Box 1968 Santa Ana, CA 92702-1968 Fax 714-647-5304 Email: fg_utierrez(cvsanta-ana.org To Consultant: Urban Futures Inc Attn: Michael P. Busch, President Crestview Corporate Center 3111 North Tustin Street, Suite 230 Tustin, CA 92865 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other commLmication 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, any notice, tender, demand, delivery, or other 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. 12. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 13. 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. 14. TERMINATION This agreement may be terminated immediately for cause, or without cause upon thirty (30) days written notice delivered to the Consultant either personally or by mail. Upon tennination City shall pay to Consultant that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination but in no event more than $25,000. In the event Consultant fails or refuses to timely perform any of the provisions of this Agreement in the manner required, or if Consultant violates any provision of this Agreement, Consultant shall be deemed in default. City shall provide written notice of such default to Consultant. Consultant shall cure said default within a period of seven (7) working days. If such cure is not completed in a timely manner, City may terminate the Agreement forthwith by giving written notice to Consultant. City may, in addition to the other remedies provided in this Agreement or authorized by law, terminate this Agreement by giving written notice of termination. The Consultant may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City. Such request will require thirty (30) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City, Consultant shall give the City thirty (30) working days to cure the alleged breach. 15. NONDISCRIMINATION AND COMPLIANCE WITH APPLICABLE LAWS 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. Consultant shall perform all requirements under this contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. Consultant warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. 16. JURISDICTION - VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed and construed in accordance with the laws of the State of California. 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. 17. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, pen -nits, 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. 18. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants by their signature herein below that they have 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. This agreement may be executed and delivered in counterparts, each of which when executed and delivered shall be deemed an original and of which together shall constitute the same agreement. Facsimile signatures will be permitted. [SEE NEXT PAGE FOR SIGNATURES] IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Jos S doval C Assistant City Attorney RECOMMENDED FOR APPROVAL: Francisco Gutierrez Executive Director of Finance and Management Services CITY OF SANTA ANA City Manager Busch President — Urban Futures Inc. Employer ID # or Individual SS # URBAN FUTURES (� je°: .. ,: City of Santa Ana page Z Community Development Agency Financia, Review (elimination of redevelopment) and in response to recent audit issues raised by the Office of the Inspector General. To accomplish the City's goals, a strategy and set of procedures must be developed and implemented. The strategy should define the following major objectives: • Mission & Purpose • Creation of Financial /Accounting Procedures • Fiscal Capacity • Operational Integrity and Reporting • Administrative Infrastructure / Cost Allocation • Implementation of Specific Work Programs and Integration with the Finance & Management Services Agency In order to address these strategic objectives and provide a thorough perspective of the challenges and opportunities affecting the implementation, the following scope of work will guide our analysis: • Identify opportunities for fiscal effectiveness through the sharing of City resources and programs aimed to improve departmental operations; • Evaluate current staffing resources and allocations and analyze staffing needs for proposed division functions; • Evaluate the fiscal capacity of the City to finance Community Development Agency projects and programs; • Analyze the capacity of the City's Finance & Management Services Agency to provide additional support the Community Development Agency; • Recommend implementation of viable financial and procedural programs that are appropriate to the City and the mission for each division within the Community Development Agency. Additionally, the City is seeking a comprehensive analysis of its long term debt obligations. Specifically, the analysis should include debt type, asset pledge (if any), term, interest rate and call terms. To complete this analysis, we propose the following: • Review of structure and debt management opportunities for outstanding redevelopment debt • Review of Continuing Disclosure Compliance for all City bonds • Review of assets leveraged against all City outstanding debt OUR APPROACH For each client, UFI customizes the proprietary methodology we have developed for financial reviews. For the City, we propose an approach that comprises four discrete, but interactive phases as described below. Learning. We will begin this project with a careful learning stage during which we listen and learn about the service, fiscal, and organizational environment for the City's Community Development Agency programs. Our team recognizes that the people responsible for executing internal processes are busy, UF1 City of Santa Ana Page 3 Community Development Agency Financial Review however, they are individuals best positioned to know what works and what needs improvement. Through personal interviews with key personnel and a thorough review of both data and written documentation, UFI will develop a clear understanding of current operations, contemplated changes, and the overall work environment of the department. This learning phase will allow us to fully understand the operating constraints and impediments to success faced by the City, in addition to technical aspects related to service levels, use of technology, and other matters that impact the effectiveness and efficiency of the department. Diagnosis. As we listen and learn, we focus on the programs and services of the department. We concentrate on how work is planned, managed and executed. We also examine and analyze the staffing levels of each program, overhead and support levels, the availability and use of technology, organizational plans, management and monitoring systems, and the degree to which best practices are being utilized. Opportunity Identification. When the investigation and data gathering activities are complete we analyze all aspects of operations and identify procedural changes that will improve reporting and fiscal effectiveness Learning without compromising service delivery. We will compare current procedures for the City's Community Development Agency programs with best practices in the industry to help us identify those areas of the department with potential for improvement. Action Diagnosis Action. UFI has a strong bias for implementation. As practitioners, we have an orientation to achieve results and our work moves from sound analysis to concise, actionable recommendations. We will provide the City Opportunity with a draft action plan which will serve as a detailed Identification roadmap outlining how to implement the recommendations that we make to achieve the improvements in efficiency that we describe. WORK PLAN UFI will work collaboratively with the City's Finance & Management Services Agency and Community Development Agency to conduct this high-level review of the department. As we conduct our analysis, we expect to learn about other departmental issues for which we can and will create recommendations for improvement. The overall work plan that we are proposing first calls for the collection of data through a variety of sources, including interviews, focus groups, and a review of various City documents and reports. Our team will then analyze that data, apply our expertise about best practices, and create recommendations for improvement. We will review our preliminary observations and recommendations with management prior to finalizing our work, and will then conclude this assignment with the preparation of a project report and implementation action plan. Throughout this process, we will meet regularly with management to provide updates on our progress. UFI City of Santa Ana Page 4 Community Development Agency Financial Review Based on our experience with financial reviews and our understanding of the City's desired outcomes, we propose a project consisting of six discrete activities. All activities are described in detail below. Activity 1: Start Project and Review Background Materials UFI will begin by meeting with the City's Finance & Management Services Agency staff to discuss and refine the project scope and agree on a work plan and schedule. In advance of this meeting, we will prepare a draft work plan, which will include specific tasks with milestones and dates. This initial meeting will form the basis of our partnership throughout the project. Prior to the first meeting, we will obtain information from the City's website and prepare a document request for items that are not available on the web. Data that we anticipate needing for this study include the following: Descriptions of department programs and services • Budget details • Information about staffing for each function Organization charts Goals, project lists and work plans • Prior studies / audits that may be relevant • Performance measures • Policies and administrative procedures During this meeting we will also discuss communication processes for each phase of the project. This includes the dialogue between our team and the City, as well as communications with City employees, the executive management, and other stakeholders. We will collaborate with you about how best to keep people informed throughout the project. Following the kick-off meeting with management, we will revise our work plan as needed to reflect what was learned during the initial meeting. Activity 2: Conduct Interviews Next, we will conduct interviews with the department Directors, department managers, other key managers, and general employees. Hearing directly from the people who govern, manage, and operate the City's Community Development Agency programs is a critical early step in learning about the organization. During the interviews, we will ask questions about strengths, weaknesses, opportunities and threats (SWOT) facing the City's Community Development Agency programs. We will seek opinions and information about goals and goal setting, performance accountability, policies, procedures, processes, organizational functions and structure, and other specific elements pertaining to financial management. We will summarize the results of these interviews, noting themes, specific ideas for improvement, and areas for future analysis. We will also interview up to 10 employees. These conversations will be confidential, with employee comments being encouraged on a not -for -attribution basis. In our experience, these discussions will provide useful perspective on those aspects of Community Development Agency financial / accounting procedures that are working well and those that need attention. Frequently, specific ideas for further consideration are also identified in these discussions. This activity further broadens our knowledge of the current situation from the employee perspective and helps to highlight areas for potential improvement from the unique perspective of employees who actually do the work on a daily basis. UFI City of Santa Ana Page 5 Community Development Agency Financial Review We will work with the City's Finance & Management Services Agency Director for this organizational review to select the employees to be interviewed. Each interview will last between 30 and 45 minutes in length and we will prepare a report documenting the general themes we are able to derive from our conversations with the employees. Activity 3: Conduct Benchmarking During a financial review, we typically conduct benchmarking to compare procedures with similar sized and situated agencies. The purpose of benchmarking is to ascertain whether the City is within the typical range for fiscal management and other factors that are useful to compare. At the outset of a benchmarking activity, we work with management to identify appropriate procedures to be included, as well as the specific factors that are being compared. We then create tables with comparisons of the various factors being examined, analyze the data, and summarize the results. Activity 4: Conduct Analysis In this activity, we will review the data and documents that we obtain and identify those issues requiring further review and analysis. We will also examine key legislative and administrative policies and procedures in addition to reviewing any significant plans that have been used to guide programs and services. During our analysis, we will ascertain the following: • Whether the integration between the Finance and Management Services Agency and the Community Development Agency is operating at optimum efficiency • Financial and reporting efficiencies that could be achieved through technology improvements, change in procedures or policies, or technical adjustments • Whether the organizational structure provides for effective financial management and reporting, including areas of duplication that could be eliminated by making organizational changes At the conclusion of this activity we will prepare an outline of our preliminary observations and recommendations. We will then meet with City management to review these results and obtain feedback. Activity 5: Report Results Reports prepared by UFI are rich with detail and provide specific recommendations supported by quality analysis. We ensure that our observations and subsequent recommendations for the Community Development Agency are organized in an easy to understand format and presented in a practical and positive manner. Following our meeting with City management to review our preliminary recommendations, we will prepare a draft project memorandum. We will then meet with City management to review the draft report and obtain feedback. Following that meeting, we will make any necessary changes and submit a final report. Activity 6: Support Implementation Once the final memorandum has been approved, UFI will prepare a draft Implementation Action Plan. This document will provide a roadmap for the City to implement recommended changes. Key activities will be delineated and assigned to appropriate staff so accountability is built into the system from the UFI City of Santa Ana Page 6 Community Development Agency Financial Review very beginning. The action plan provides a management tool for assessing progress toward executing the recommendations detailed in our report. PROJECT TEAM Given the nature of this engagement, UPI proposes to assemble a project team based on the unique needs of the City. Michael Busch will provide overall direction and Bill Covington will provide support as necessary. Michael Busch, President, joined UPI in 2007 following a successful career in municipal government. He has a unique background having served as a Planner, Finance Director, City Treasurer, Deputy City Manager, and Assistant City Manager. This professional background has given him extensive experience in strategic planning, municipal finance, and economic development/redevelopment. Michael has a bachelor's degree in urban and regional planning from California State Polytechnic University, Pomona, and a master's degree in public administration (with an emphasis in finance) from California State University, Long Beach. He recently served as an adjunct faculty member at the University of Southern California, Graduate School of Policy, Planning, & Development. Bill Covington, Principal, joined UPI in 2013 and previously served as a Partner with Lopez and Company, LLC as a lead CPA conducting compliance reviews for the US Federal Transit Administration and Department of Energy (Office of Inspector General). Mr. Covington received his BS degree in Accounting from San Diego State University and MBA from Washington State University. HOURS, SCHEDULE, AND COST UPI estimates that over 125 hours will be required for the project. We will complete the plan of work described above for a fixed fee of $25,000, which includes our expenses. CONCLUSION We look forward to working with the City of Santa Ana. Please feel free to contact me if you have any questions. Best regards, Michael P. Busch President UFI City of Santa Ana page 7 Community Development Agency Financial Review Accepted for the City of Santa Ana: Name: Title: Date: UFI /V0, POIICY Number, Date Entered: 05/0. CERTIFICATE OF LIABILITY INSURANCE I AisATE j.'Mi ' THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. TWI8 CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER($), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER the terms and conditions of the policy, contain PRQOUCER MICHAEL, GEFFRE INSURANCE AGENCY 496 N. COAST HWY, SUITE A LAGUNA BEACH, CA 92651 Ph: 949.494.7261 INEU0.E0 TIREIA:N""8'OTOkiE$,Z'NC""h'4P'"FOTURRr 3111 N TUSTIN SUITE 230 ORANGE, CA 92865 may roolre an Endorsement. A statement on this certificate does not confer rights to the 94 COVERAGES CERTIFICATE NUMBER, REvIRInN MI IMRER, THIS IS TO CERTIFY THAT 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 SE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL. THE TERMS, EXTCLLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. ORf v TYPE OF INSURANCE PO ICYNUM8ER� MMIDO M 10wmw LIMITS GeNERAL LIABILITY EACH OCCURRENCE $4,000,000 A COMMERCIAL GENERAL LIABILITY ^^^III CLAIMSMADE —� OCCUR ..__—.—._.w_._.,,..__..��._..__.... SMP 6.391 2/08/2012 2/08/2013 _E�AG��CR —� E 100I 000 PREMISES (EM R7STn _ MEKP(AnWv oneperson $S_, OOO RE PERSONAL 8, AOV INJURY_ $NOT COVERED GENERALAGGREGATE 84,000,000 GENL AGGREGATE POLICY LIMIIT, APPLIES PR �r ��_ PER: LOG PROOUCTB-COMPIOPAGO $NOT COVERED $ AUTOMOBILE LIABILITY LIMIT4,000,^ OOO Ee amident S4 _,_ _ _ BODILY INJURY (Per person) $ — A ANYAUTO ALL OWNED F7 SCHEOULED AUTOS AUTOSf�-- HIREOAUTOS AUUTOSWNEA SMP 6391 2/08/2012 2/08/2013PPReO- 80014Y INJURY Per appidenl $ ( ) no DAMAGE " �...� S UMBRELLA LIAR OCCUR EACH OCCURRENCE $ AGGREGATE $ EXCESS LWB_ _ 'CLAIMS. WADE DEO RGIGNTION $ S s WORKERS COMPENSATION AND EMPLOYERS! LIABILITY YIN ANY PROPRIETOR/PARTNERIEXECUTIVF. OFOURIMRNH) EXCLUDED4 �,.; N/A - EO1O7 91 31 2)08/2013 2/OB/201d WC TU- 0TH• T MT 5L____—,,._._. EL EACH ACCIDENT $1,000,000 1,000 E,L DISEASE -FA EMPLOYEE 8 600,000 If es tlsscrldauMe, D CRIPTI�FOPBRATIONSHeIaw I �'-------- - — EL. DISEASE-POLICYLIMIT 51,000, ODD OBSCFtIPTION OP OPERATIONS I LOCATIONS / VEHICLES (Attnob ACORD 101,AddWoMl Rem &o 8oeodUlo, If more o ass fa re ulretl) THE CITY OF SANTA ANA, 20 CIVIC CENTER PLAZA, SANTA ANA CA 92801; ITS OFFICERS, EMPLOYEES , AGENTS, VOLUNTEERS AND REPRESENTATIVES ARE NAMED AS ADDITIONAL INSUREDS WITH REGARD TO LIABILITY AND DEFENSE OF SUITS ARISING FROM THE OPERATIONS AND USES PERFORMED BY OR ON BEHALF OF THE NAMED INSURZ ,�, L�i?Pi�ta�ir-I) �� CERTIFICATE MOLDER I8 NAMED AS ADDITIONAL INSURED 11 REK THE CITY OF SANTA ANA 20 CIVIC CENTER PLAZA SANTA ANA, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. O 1988-2010 A( 4CORD 26 (2010105) The ACORD name and logo are registered marks of ACORD oduoed using Forma Moss Plus soltsmo. v .Fom,sflosacom; Impreselve publishing 6004WA977 4 Al --,AV 3 --/D/ Accw O® CERTIFICATE OF LIABILITY INSURANCE ;/26/203"' THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, OR ALTER THE COVERAGE AFFORDED BY THE POLICIES gEXTEND BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT �"P; S C?fTR�C-50ETWEEN THE ISSUING INSURER(S), AUTHORIZED I REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE LD J IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(iess)� be endorsed. If SUBROGATION IS WAIVED, subject to pmust the terms and conditions of the policy, certain policies may IRWIN ah*dor,4Hq',wi ���ment on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). f PRODUCER NA`MEA aWn ettinering Gaston & Associates, Inc. PHONEdd(914)244-1055 ac No,(914)244-1056 100 South Bedford Road nooRess:ettmering@ gas tones soc. corn Suite 110 INSURERS AFFORDING COVERAGE NAIC p INSURERA.Zxedutive Risk Index it Inc. 35181 Mount Kisco NY 10549 INSURED INSURER B i INSURER C: Urban Futures Bond Administration, Inc. INSURER D: and Urban Futures, Inc. INSURER E: 3111 North Tustin, Suite 230 INSURER F: Orange CA 92865 COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT 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. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. 21 TYPE OF INSURANCE AooL BR MD pOLICV NUMBER MM AGCY EFF POLICYEXPIINRR LIMITS /+ /1 �pbwt-CiA heu -rpr" VNlO GENERAL LIABILITY EACH OCCURRENCE $ COMMERCIAL GENERAL LIABILITY DAMAGE TO RENTED PREMISES Ea occurrence) $ CLAIMS -MADE F1 OCCUR MED EXP (Any one person) $ PERSONAL &ADV INJURY $ GENERAL AGGREGATE $ GEN1 AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMPIOP AGS $ 17 POLICY D PRO LOC $ AUTOMOBILE LIABILITY 't1 b % 'ti EO MBctleeDISINGLE LIMIT ANY AUTO 1 `' BODILY INJURY (Per person) $ ALL OWNED SCHEDULED AUTOS AUTOS S1 ®�� �Sy' .r' ..-- BODILY INJURY (Per accident) $ PROPERTY DAMAGE $ Per accident) NON-OWNED HIRED AUTOS AUTOS AGK" s� o �y $ UMBRELLA LIAB OCCUR ty EACH OCCURRENCE $ EXCESS LIAB CLAIMS -MADE n 1.2h{. Asg)S 1 AGGREGATE $ DED I I RETENTION $ ( WORKERS COMPENSATIONWC STATU- OTH- AND EMPLOYERS' LIABILITY Y I N ANY PROPRIETOWPARTNERIEXECUTIVEF-] E.L. EACH ACCIDENT $ IM OFFICEREMBER EXCLUDED4 NIA E.L. DISEASE - EA EMPLOYE $ (Mandatory in NH) If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE -POLICY LIMIT $ A Professional Liability 6801-9352 12/23/201212/23/2013 LIMIT OF INSURANCE: $1,000,000 Errors & Omissions Liab. DEDUCTIBLE: $50,000 DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space Is required) EVIDENCE OF COVERAGE CERTIFICATE HOLDER CANCELLATION ACORD 25 (2010105) INS0251cn1 noel m ©1988-2010 ACORD CORPORATION. All rights reserved. Tha ACnRn name and Innn ara runia;fararl mar4a of ACr1Rn SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. The City of Santa Ana 20 Civic Center Plaza AUTHORIZED REPRESENTATIVE Santa Ana, CA 92%00/1 /+ /1 �pbwt-CiA heu -rpr" VNlO F Gaston IV/AA ACORD 25 (2010105) INS0251cn1 noel m ©1988-2010 ACORD CORPORATION. All rights reserved. Tha ACnRn name and Innn ara runia;fararl mar4a of ACr1Rn URBAFUT-01 JDERCOLE ,a ° CERTIFICATE OF LIABILITY INSURANCE 11`1 OATE(MMI00/'1 YV) vsnol s _ THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER, THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(les) must be endorsed. 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). PRODUCER Brown & Brown of New York Inc. 800 Westchester Avenue, N311 CONTACT NAME: PHONE 914 337-1833 FAx FlIC No Ext:( I A/c No: (914) 337.1596 Rye Brook, NY 10573 EMAIL ADDRESS: y info bbinsn com INSURER(S) AFFORDING COVERAGE NAICN INSURERA:Executive Risk Indemnity Inc (Chubb) 35181 INSURED / / INSURER B: Urban FUfnfeS, Inc. ✓ 3111 North Tustin INSURER C: SUITE 230 INSURER D: INSURER E: Orange, CA 92866 INSURER F' COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT 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 SUBJECTTOALLTHE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDLSUBR INSD WVD POLICYNUMBER POLICY EF MMIDDIYVT( POLICY EXP MMIDDNYYY LIMITS COMMERCIAL GENERAL LI ABILITY NCE $ CLAIMS -MAGE OCCUR currence $ M(Edoccu�snde) e person) $ INJURY $ AGGREGATE LIMIT APPLIES PER: POLICV ❑PRP ❑LOC ECT EGATE $ GEN'L PRODUCTS-COMPIOP AGC $ $ OTHER'. AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT $ Ea accMent BODILY INJURY (Per person) $ ANY AUTO ALLOWNE AUTOS AUTOS SCHEDULED BODILY INJURY ( Par accident)$ HIREDAUTOS NON -OWNED AUTOS PROPERTY DAMAGE $ Peraccident UMBRELLA LIAB OCCUR EACH OCCURRENCE $ AGGREGATE $ EXCESS LIAB CLAIMS -MADE DED RETENTION$ $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANY PROPRIETORIPARTNER/EXECUTIVE OFFICERIMEMBER EXCLUDED? n _T NIA PER OTH- STATUTE ER E, L. EACH ACCIDENT $ i.. DISEASE L-A GNPLOYEc $ i(PJlantlelar/ W Nn) If yes, describe under J_. DISEASE -POLICY LIP.IIT $ _ DESCRIPTION OF OPERATIONS below A Errors & Omissions R 6801.9352 12/2312016 1212312016 Aggregate Limit 2,000,000 A Errors & Omissions 6801-9352 / 12/23/2016 12/2312016 Retention Each Claim 50,000 ✓ ✓ DESCRIPTION OF OPERATIONSI LOCATIONS /VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if morespare is required) City of Santa Ana is listed as an Additional Insured under the Errors & Omissions Liability policy. Waiver of Subrogation is included, CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE City of Santa Ana Attn: Teresa Ramirez THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. 20 Civic Center Plaza AUTHORIZED REPRESENTATIVE Santa Ana, CA 92701 r ©1988-2014 ACORD CORPORATION. All rights reserved. ACORD 25 (2014101) The ACORD name and logo are registered marks of ACORD '�� /�� �t/ 3 Policy Number: Date Entered: .44C4C>R0 CERTIFICATE OF LIABILITY INSURANCE `.� DATE 12/115/20155/2015 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder Is an ADDITIONAL INSURED, the policy(ies) must be endorsed. 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). PRODUCER Michael Geffre Insurance Agency 496 N Coast Hwy, Suite A Laguna Beach, CA 92651 CONTACT NAME: Ef:(948)484-7261 AC No:(949)494-4481 E-MAIL nDDRESS: Jana@ mgf armers . com 60470390 12/08/2015 12/08/2016 INSURERS AFFORDING COVERAGE NAICp INSURER MERCER INSURANCE COMPANY $ IDU, OOD MED EXP (Any one person) INSURED URBAN FUTURES, INC. INSURER B: FARMERS INSURANCE GROUP PERSONAL &ADV INJURY and DHA ISOM ADVISORS INSURER C: MID-CENTURY INSURANCE COMPANY GENERAL AGGREGATE INSURER D: PRODUCTS-COMP/OP AGG 3111 N TUSTIN SUITE 230 ORANGE, CA 92865 N S C AUTOMOBILE LIABILITY ANY AUTO ALL OWNED SCHEDULED AUTOS AUTOS HIRED AUTOS NON -OWNED AUTOS INSURERURER FE 03/11/2015 COVERAGES CERTIFICATE_ NIIMRFR- REVISION NHMRFR- THIS IS TO CERTIFY THAT 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. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR LTR TYPE OF INSURANCE ADDL SUBR POLICY NUMBER POLICY EFF MMIDD/YYYY POLICY EXP MM/DD/YM LIMITS A COMMERCIAL GENERAL LIABILITY CLAIMS -MADE ®OCCUR 60470390 12/08/2015 12/08/2016 EACH OCCURRENCE $1,000,000 DAMAGE TO RENTED PREMISES Ea occurrence $ IDU, OOD MED EXP (Any one person) $5,000 PERSONAL &ADV INJURY $1,000,000 GENL AGGREGATE LIMIT APPLIES PER: POLICY JECOT LOC OTHER'. GENERAL AGGREGATE $2,000,000 PRODUCTS-COMP/OP AGG $NOT COVERED $ C AUTOMOBILE LIABILITY ANY AUTO ALL OWNED SCHEDULED AUTOS AUTOS HIRED AUTOS NON -OWNED AUTOS 605900024 03/11/2015 03/11/2016 COMBINED S INGLE LIMIT Ea accitlent $1r 000, UUU BODILY INJURY (Per person) -i- BODILY INJURY (Per accident)$ PROPERTY DAMAGE Peraccident $ $ A UMBRELLA LIAB EXCESS LIAB OCCUR CLAIMS -MADE 60470390 I 12/08/2015 12/08/2016 EACH OCCURRENCE $2,000,000 AGGREGATE $ DED RE I IS B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN OFFICFWMEMBER EXCLUDED? (Mandatory in NH) If yes, describe under DESCRIPTION OF OPERATIONS below NIA N0915 67 09 02/08/2015 I 02/08/2016 PER OTH- STATUTE ER E.L EACH ACCIDENT $1,000,000 E.L. DISEASE - EA EMPLOYEE $1,000,000 E.L. DISEASE -POLICY LIMIT I $1,000,000 ✓ / V DESCRIPTION OF OPERATIONS / LOCATIONS /VEHICLES (ACORD 101, Additional Remarks Schedule, maybe attached If more space Is required) THE CITY OF SANTA ANA ATTN: R-1-CHacRD—M9ND17ZA_ 20 CIVIC CENTER DR. SANTA ANA, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. REPRESENTATIVE GEFFRE ©1 ACORD 25 (2014/01) The ACORD name and logo are registered marks of ACORD Produced using Forms Boss Plus software. www. Forms Boss.com', Impressive Publishing 800-208-1977 All rights reserved_ (T7 eo( // I ✓P �151 Il f�