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HomeMy WebLinkAboutCHATTEL, INC.-2017MUM M11 CONSULTANT AGREEMENT THIS AGREEMENT made and entered into this -U� day of July 2017, by and between CHATTEL, 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"). 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 varied services regarding the historic resources for the City of Santa Ana on request of the Executive Director of the Planning and Building Agency, and his/her designee ("Executive Director"), as set forth in Exhibit A, attached hereto and incorporated herein by this reference. Consultant shall deliver to City all work product resulting from the services provided. Said work product shall be submitted in a hard copy and in a form compatible with City's computer system, as agreed between the Executive Director and Consultant. In regard to copyrightable material produced as a deliverable under this Agreement, including but not limited to books, reports, plans, photographs, drawings and computer programs, Consultant agrees and shall ensure that all of Consultant's affected officers, employees, agents, contractors, and volunteer workers agree 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, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field, of w historic resources, Historic Properties and Mills Act applications. E, ! � W o� B. Consultant represents that Consultant is able and willing to provide such services to the U<I o ^t City. C In undertakingthe performance of this Agreement, Consultant resents that it is p �' represents knowledgeable in its field and that an services performed b Consultant under this g Y p Y Agreement will be performed in compliance with such standards as may reasonably be expected firm 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 varied services regarding the historic resources for the City of Santa Ana on request of the Executive Director of the Planning and Building Agency, and his/her designee ("Executive Director"), as set forth in Exhibit A, attached hereto and incorporated herein by this reference. Consultant shall deliver to City all work product resulting from the services provided. Said work product shall be submitted in a hard copy and in a form compatible with City's computer system, as agreed between the Executive Director and Consultant. In regard to copyrightable material produced as a deliverable under this Agreement, including but not limited to books, reports, plans, photographs, drawings and computer programs, Consultant agrees and shall ensure that all of Consultant's affected officers, employees, agents, contractors, and volunteer workers agree 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, nonexclusive, irrevocable license throughout the world for governmental purposes to disclose, publish, translate, reproduce, and use such materials. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended for services provided by Consultant shall not exceed Twenty-four thousand dollars ($24,000) during the term of this Agreement. This amount is comprised of (1) the sum $19,200 and (2) a contingency of up to $4,$00 for services as may be performed by the Consultant at the direction of City. 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. 3. TERM This Agreement shall commence on the date first written above and continue for two (2) years, unless terminated earlier in accordance with provisions, below. The term of this Agreement may be extended upon a writing executed by the City Manager and the City Attorney. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, ajoint 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. S. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended, by this Agreement shall be at City's sole risk. 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 which 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, and $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Worker's Compensation Insurance. hi 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 tinder this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. c. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, subject to $1,000,000.00 aggregate. d. 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. e. 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. 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 death, and claims for property damage, which may arise 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 this Agreement, This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding, 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this .Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and farther 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 infonnation disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. 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 facsimile 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 Facsimile (714) 647-6956 Copies to: Executive Director of Planning and Building Agency Planning Division City of Santa Ana 20 Civic Center Plaza (M-20) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 973-1461 City Attorney City of Santa Ana 20 Civic Center Plaza (N1-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Consultant: Robert Jay Chattel, AIA - President Chattel, Inc 13417 Ventura Boulevard Sherman Oaks, CA 91423 (818)788-7954 Facsimile (818)788-9795 Email: Robert@chattel.us A party may change its address by giving notice in writing to the other party. 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 facsimile, 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. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the 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 either 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 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. Asa 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. 16. 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. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such pen -nits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below 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, ATTEST: ARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:1Tc°� Lisa Storck Assistant City Attorney RECOMMEND APPROVAL: CANDIDA NEAL Planning Manager Planning & Building Agency CITY OF SANTA ANA CHATTEL, INC. Robert Jay rtt AIA President Tax ID# -4482817 EXHIBIT A— SCOPE OF WORK Task 1 Historic Resources Templates Upon notice to proceed, Consultant will prepare approximately twenty (20) City of Santa Ana Register of Historical Properties application templates. For each proposed property, the City will provide building permits, maps and photographs. The consultant will supplement these materials with research online and at the Santa Ana library. General information regarding Santa Ana history and the history of individual neighborhoods will be taken from previously completed templates. Historic Resources Inventory forms (DPR 523 A and B) and Executive Summary forms will be completed for each property. In conjunction with City staff, the Consultant will categorize each property per Chapter 30 of the City Municipal Code as "Landmark," "Key," or "Contributive" Draft templates will be submitted to Staff for review and will revised once following receipt of comments. Certain fields on the templates (locational information such as assessor's parcel numbers, USGS map quads, ownership information, and sketch maps) will be the responsibility of the City, unless this information is provided by the City to the Consultant. The draft templates will conform to the format and standards previously established by the City. Deliverable: • Approximately twenty (20) historic resources templates, which will be submitted to the City as they are completed in multiple submittals Task 2 Review of Excel -Based DPR Template The City has developed an automated DPR template that creates an inventory form from an EXCEL Table. The Consultant will review the new template and provide comments and recommendations in a brief memorandum and will discuss these findings with City staff in a teleconference. Deliverable: • Brief memorandum providing comments and recommendations Task 3 DPR Training The Consultant will prepare and present a half-day (up to 4 hours) training for City staff to prepare and review historic resources inventory forms ("DPRs). The training will be based on State of California instructions for recording historical resources, National Register of Historic Planes guidance, and specific Santa Ana requirements (including past practices and the requirements of Chapter 30 of the City's Municipal Code). The Consultant will consult with staff to determine the focus and emphasis of the training, and will prepare a PowerPoint presentation with examples and case studies. It is assumed that the City will arrange a mutually acceptable date and time and will provide the location and equipment (project and screen) for the training. Deliverable: • PowerPoint presentation • Half-day training session Task 4 Secretary of the Interior's Standards Training Staff has requested training on the implementation of the Secretary of the Interior's Standards for the Treatment of Historic Properties for the Historic Resources Commission and City staff. in nearly all cases, the Standards for Rehabilitation are the operative standards. Therefore, the training will focus on these Standards, using typical situations that are encountered by staff and the Commission (e.g., requests for additions, replacement of windows, etc.). The PowerPoint presentations on the Standards previously developed by the Consultant for the City will be updated. The presentation would require one to two hours. It is assumed that the training would be placed on an upcoming agenda for the Historic Resources Commission. Deliverable: • PowerPoint presentation • One -to -two hour presentation to Historic Resources Commission and City staff Task 5 As -Needed Historic Preservation Consultation Staff has indicated that it may have need, from time to time, of the guidance of a qualified historic preservation professional, on a variety of issues. These issues may include (but are not limited to): determinations of eligibility of applicants to the Santa Ana Register of Historical Properties; assistance with the application of the Secretary of the Interlor's Standards for Rehabilitation for preparation of staff reports; and guidance in the implementation of the City's Mills Act program. Deliverable: • To be determined on an as -needed basis EXHIBIT B — FEE SCHEDULE The budget for the described scope of work also reflects these additional assumptions: • If attendance at additional Historic Resources Commission meeting(s) should be requested, an amendment to the proposed scope of services and budget will be required. • City will be Invoiced only for the total number of templates actually prepared. The project budget reflects an assumption that twenty (20) templates will be prepared, at a cost of $600 per template. Additional templates will be charged at the rate of $600 per template. • It is assumed that the City has preliminarily determined that the proposed properties satisfy the criteria for the Santa Ana Register. If the Consultant finds evidence of lack of eligibility, the City will be advised. • It is assumed that research at the Santa Ana library in support of the templates can be completed in one visit lasting no longer than eight hours, including travel. Prosect Cost Task 1 Historic Resources Templates (20 templates @ $600.00/template) $12,000.00 Task 2 Review of Excel -Based DPR Template $ 800.00 Task 3 DPR Training $ 3,200.00 Task 4 Secretary of the Interior's Standards Training $ 3,200.00 Task 5 As -Needed Historic Preservation Consultation (Contingency) $ 4,800.00 TOTAL $24,000.00 Chattel Hourly Rates Name Position Standard Rates Municipal Rates Robert J. Chattel President $290 $175 Leslie J. Heumann Principal Associate $160 $125 Susan O'Carroll Consulting Principal Assoc. $160 $125 NelsYoungborg Senior Associate $140 $85 LauraCarias Senior Associate $140 $85 Suki Gershenhorn Associate II $110 $85 Brian Matuk Associate 11 $110 $85 Caroline Raftery Associate 11 $110 $85 Barbara Fish Office Manager $60 $60 Aleli Balaguer Intern $40 $40 Prosect Cost Task 1 Historic Resources Templates (20 templates @ $600.00/template) $12,000.00 Task 2 Review of Excel -Based DPR Template $ 800.00 Task 3 DPR Training $ 3,200.00 Task 4 Secretary of the Interior's Standards Training $ 3,200.00 Task 5 As -Needed Historic Preservation Consultation (Contingency) $ 4,800.00 TOTAL $24,000.00 EXHIBIT B — FEE SCHEDULE The budget for the described scope of work also reflects these additional assumptions: • If attendance at additional Historic Resources Commission meeting(s) should be requested, an amendment to the proposed scope of services and budget will be required. • City will be invoiced only for the total number of templates actually prepared. The project budget reflects an assumption that twenty (20) templates will be prepared, at a cost of $600 per template. Additional templates will be charged at the rate of $600 per template. • It is assumed that the City has preliminarily determined that the proposed properties satisfy the criteria for the Santa Ana Register. If the Consultant finds evidence of lack of eligibility, the City will be advised. • It is assumed that research at the Santa Ana library in support of the templates can be completed in one visit lasting no longer than eight hours, including travel. Name Robert J. Chattel Leslie J. Neumann Susan O'Carroll Nels Youngborg Laura Carias Suki Gershenhorn Brian Matuk Caroline Raftery Barbara Fish Aleli Balaguer Proiect Cost Chattel Hourly Rates Position Standard Rates President $290 Principal Associate $160 Consulting Principal Assoc. $160 Senior Associate $140 Senior Associate $140 Associate II $110 Associate II $110 Associate II $110 Office Manager $60 Intern $40 ILTAMIiT RMi1Cmm $175 $125 $125 $85 $85 $85 $85 $85 $60 $40 Task 1 Historic Resources Templates (20 templates @ $600.00/template) $12,000.00 Task 2 Review of Excel -Based DPR Template $ 800.00 Task 3 DPR Training $ 3,200.00 Task 4 Secretary of the Interior's Standards Training $ 3,200.00 Task 5 As -Needed Historic Preservation Consultation (Contingency) $ 4,800.00 TOTAL $24,000.00 Chattel, Inc, ( historic Preservation Consultants July 10, 2017 VIA EMAIL (MMcCann@santa-ana.org) Ms. Melanie McCann, Senior Planner Planning and Building Agency City of Santa Ana 20 Civic Center Plaza, M-20 Santa Ana, CA 92701 Re: Proposal for Historic Preservation Consulting Services Dear Ms. McCann: We are pleased to provide this proposal for historic preservation consulting services for the City of Santa Ana (City). It is understood that the City is currently processing a large number of Santa Ana Register of Historical Properties and Mills Act applications and requires assistance to complete the supporting documentation. Specifically, the City requests the assistance of a historic resources consultant to prepare up to twenty Historic Resources Templates. Additionally, review of a newly developed, Excel -based historic resources inventory form, staff training to complete inventory forms, and staff and Historic Resources Commission training to apply the Secretary of the Interior's Standards for Rehabilitation has also been requested. We also understand that the City may have need for general historic preservation consultation on a variety of issues on an as -needed basis. The following scope of work encompasses these services. Firm Description Chattel, Inc. (Chattel) is a consulting firm that provides solutions for historic properties. For over 20 years, our staff of architects, historians, and planners has worked to get financial incentives like tax credits for rehabilitation projects. We also help governmental agencies and stakeholder groups identify important community resources and plan for their preservation. The regulatory world surrounding development projects can be complex, and we have the skills and experience to streamline project review and achieve creative changes to historic properties. From our Los Angeles office, we assist clients throughout the western United States. Brief biographies of Chattel team members are attached. Please read about our success stories at www.chattel.us. Scope of Services Task 1 Historic Resources Templates Upon notice to proceed, Consultant will prepare approximately twenty (20) City of ante a__ Register of Historical Properties application templates. For each proposed property the ity will provide building permits, maps and photographs. The consultant will supplement these aterial with research online and at the Santa Ana library. General information regarding S nta pa hist Ms. Melanie McCann, City of Santa Ana July 6, 2017 Page 2 and the history of individual neighborhoods will be taken from previously completed templates. Historic Resources Inventory forms (DPR 523 A and B) and Executive Summary forms will be completed for each property. In conjunction with City staff, the Consultant will categorize each property per Chapter 30 of the City Municipal Code as "Landmark," "Key," or "Contributive." Draft templates will be submitted to Staff for review and will revised once following receipt of comments. Certain fields on the templates (locational information such as assessor's parcel numbers, USGS map quads, ownership information, and sketch maps) will be the responsibility of the City, unless this information is provided by the City to the Consultant. The draft templates will conform to the format and standards previously established by the City. Deliverable: • Approximately twenty (20) historic resources templates, which will be submitted to the City as they are completed in multiple submittals Task 2 Review of Excel -Based DPR Template The City has developed an automated DPR template that creates an inventory form from an EXCEL Table. The Consultant will review the new template and provide comments and recommendations in a brief memorandum and will discuss these findings with City staff in a teleconference. Deliverable: • Brief memorandum providing comments and recommendations Task 3 DPR Training The Consultant will prepare and present a half-day (up to 4 hours) training for City staff to prepare and review historic resources inventory forms ("DPRs). The training will be based on State of California instructions for recording historical resources, National Register of Historic Places guidance, and specific Santa Ana requirements (including past practices and the requirements of Chapter 30 of the City's Municipal Code). The Consultant will consult with staff to determine the focus and emphasis of the training, and will prepare a PowerPoint presentation with examples and case studies. It is assumed that the City will arrange a mutually acceptable date and time and will provide the location and equipment (project and screen) for the training. Deliverable: f PowerPoint presentation • Half-day training session Task 4 Secretary of the Interior's Standards Training Staff has requested training on the implementation of the Secretary of the Interior's Standards for the Treatment of Historic Properties for the Historic Resources Commission and City staff. In nearly all cases, the Standards for Rehabilitation are the operative standards. Therefore, the training will focus on these Standards, using typical situations that are encountered by staff and the Commission (e.g., requests for additions, replacement of windows, etc.). The PowerPoint presentations on the Standards previously developed by the Consultant for the City will be updated. The presentation would require one to two hours. It is assumed that the training would be placed on an upcoming agenda for the Historic Resources Commission. Deliverable: • PowerPoint presentation • One -to -two hour presentation to Historic Resources Commission and City staff Task 5 As -Needed Historic Preservation Consultation Staff has indicated that it may have need, from time to time, of the guidance of a qualified historic preservation professional, on a variety of issues. These issues may include (but are not limited to): Ms. Melanie McCann, City of Santa Ana July 6, 2017 Page 3 determinations of eligibility of applicants to the Santa Ana Register of Historical Properties; assistance with the application of the Secretary of the Interior's Standards for Rehabilitation for preparation of staff reports; and guidance in the implementation of the City's Mills Act program. Deliverable: • To be determined on an as -needed basis The Consultant is available to begin work the week of July 10, 2017. It is understood that the templates (Task1) are required on an expedited basis. Requested Items In order to facilitate our work, we request clear copies of the following documents 1. List of addresses for properties requiring templates 2. Photographs of properties requiring templates. At least 3 views, obliques and directly in front, of each property is preferable. 3. Copies of all building permit cards for properties requiring templates 4. Any research relevant to properties requiring templates 5. Other available information relevant to properties requiring templates (maps, parcel numbers, ownership, assessor's dates of construction, etc.) Project Cost A not to exceed cost of $24,000 is proposed for the historic resources consulting services, broken down by task as follows. Task 1 Historic Resources Templates (20 templates @ $600.00/template) $12,000.00 Task 2 Review of Excel -Based DPR Template $ 800.00 Task 3 DPR Training $ 3,200.00 Task 4 Secretary of the Interior's Standards Training $ 3,200.00 Task 5 As -Needed Historic Preservation Consultation (Contingency) $ 4,800.00 TOTAL $24,000.00 The budget for the described scope of work also reflects these additional assumptions: • If attendance at additional Historic Resources Commission meeting(s) should be requested, an amendment to the proposed scope of services and budget will be required. • City will be invoiced only for the total number of templates actually prepared. The project budget reflects an assumption that twenty (20) templates will be prepared, at a cost of $600 per template. Additional templates will be charged at the rate of $600 per template. • It is assumed that the City has preliminarily determined that the proposed properties satisfy the criteria for the Santa Ana Register. If the Consultant finds evidence of lack of eligibility, the City will be advised. • It is assumed that research at the Santa Ana library in support of the templates can be completed in one visit lasting no longer than eight hours, including travel. If additional services are requested which exceed the total amount stated above, this agreement will be modified in writing to provide for such additional work and/or increased dollar amount. We will utilize the following individuals at the reduced hourly rates for municipal clients. You will be notified in advance of any changes in the foregoing rates or personnel. Ms. Melanie McCann, City of Santa Ana July 6, 2017 Page 4 Name Robert J. Chattel Leslie J. Heumann Susan O'Carroll Nels Youngborg Laura Carias Suki Gershenhorn Brian Matuk Caroline Raftery Barbara Fish Aleli Balaguer Chattel Hourly Rates Position Standard Rates Municipal Rates President $290 $175 Principal Associate $160 $125 Consulting Principal Assoc. $160 $125 Senior Associate $140 $85 Senior Associate $140 $85 Associate II $110 $85 Associate II $110 $85 Associate II $110 $85 Office Manager $60 $60 Intern $40 $40 We will bill monthly. As a small business, we require payment of invoices within 30 days. If complete payment is not received within 30 days of presentation of an invoice, work will stop until payment is received. If additional services are requested which exceed the total amount stated above, this agreement will be modified in writing to provide for such additional work and/or increased dollar amount. Either party may terminate this agreement by providing written notice. Consultant and client shall indemnify, defend, and hold the other harmless from and against all claims, costs, demands, liabilities, expenses, damages and losses (including without limitation attorney fees) arising out of or in connection with the negligent performance of the services described in, or breach of, this agreement, by the indemnifying party. This proposal is valid for 30 days. If this proposal and agreement are acceptable, please have the appropriate party complete the document below and return an original signed copy or provide an alternative agreement for our signature. Should you have questions, please call (818) 788-7954. Very truly yours, CHATTEL, INC. By: "4 Obert Jay h to , IA, President California r ita License No. C27398 AGREED AND ACCEPTED THIS _ DAY OF 2017 Client By: (Signature) Name: Its: (Print Name) (Title) Chattel, Inca Historic Preservation Consultants STAFF BIOGRAPHIES ROBERT JAY CHATTEL, AIA President/ Historic Architect Both a licensed general contractor and architect in California with more than 30 years' experience in planning, design and construction, Robert Chattel's unique qualifications include meeting the Secretary of the Interior's Professional Qualifications Standards in Architectural History and Historic Architecture. Robert has experience working for non-profit, government, and for-profit entities, including the Los Angeles Conservancy, Community Redevelopment Agency of the City of Los Angeles and a private real estate developer. He holds a B.A. in Architecture from U.C. Berkeley and a M.S. in Historic Preservation from Columbia University. In 1994, he established Chattel, Inc. With an office in Los Angeles, the firm works on design collaboration, environmental review and preservation policy projects in the western United States. As President, Robert specializes in applying the Secretary of the Interior's Standards for the Treatment of Historic Properties and interpreting federal, state and local historic preservation law and regulations. Robert and his firm have received awards from the California Preservation Foundation, Los Angeles Conservancy, American Planning Association, and the City of Los Angeles for projects ranging from preservation of the Beverly Hills Waterworks (the subject of his master's thesis) to stabilization of the Breed Street Shul in east Los Angeles and rehabilitation of the downtown Los Angeles Central Library. LESLIE HEUMANN Principal Associate / Principal Architectural Historian Leslie Heumann, Architectural Historian, with over 40 years of experience in all aspects of historic resource management, specializes in historic resource surveys, historic assessments, and landmark nominations; use of the Secretary of the Interior's Standards for Treatment of Historic Properties; and preparation of documentation pursuant to the California Environmental Quality Act, National Historic Preservation Act, and National Environmental Policy Act. Beginning her career with the City of Pasadena, where she eventually became the coordinator of the citywide Architectural and Historical Inventory, Leslie went on to conduct historic resources surveys in Alhambra, Altadena, Beverly Hills, Carmel, Glendale, Houston, Long Beach, Los Angeles, Rancho Mirage, San Clemente, Santa Ana, Santa Monica, South Pasadena, Upland, West Hollywood and several other communities as well as for the Los Angeles Unified School District and other school districts. Leslie's survey portfolio spans all aspects of survey work, from scoping and management, preparation of context statements, reconnaissance and intensive level fieldwork and documentation, and evaluation under all applicable sets of criteria. Additional areas of expertise include Historic American Buildings Survey documentation and historic schools modernization issues. Leslie meets the Secretary of the Interior's Professional Qualifications Standards in History and Architectural History. Chattel, Inca Historic Preservation Consultants SUSAN O'CARROLL, Ph.D. Consulting Principal Associate I Principal Planner Susan O'Carroll has over 25 years of planning experience, and for the last 20 has worked as a CEQA specialist managing preparation of Environmental Impact Reports (EIRs), Negative Declarations, and environmental document critiques. Susan has managed preparation of over twenty EIRs, and numerous Negative Declaration and Mitigated Negative Declaration documents. She is experienced in preparing EIRs for controversial projects and for projects where development and evaluation of a range of alternatives is key to clarifying environmental issues facing decision -makers. Examples of such projects include Central Area New Learning Center #1 (Ambassador Hotel site, cultural resources section) for Los Angeles Unified School District and the Rancho Malibu Hotel project in the City of Malibu. Susan managed preparation of a focused EIR for a highly controversial project in the City of Beverly Hills, the Chateau Arnaz project, which dealt both with historic issues and the development of alternatives. She also contributes to projects involving formulation of preservation policy: for the City of Carmel, she participated in drafting the historic preservation ordinance; and for Mare Island in Vallejo, she helped prepare Historic Resources Project Guidelines. Susan holds Ph.D. and M.PI. degrees in Urban and Regional Planning from USC and a B.A. in Experimental Psychology from UC Santa Barbara. She has provided customized CEQA training for cities of Beverly Hills, Los Angeles, Santa Clarita and Santa Paula, as well as for the Planner's Institute. She served for seven years as part-time faculty for Schools of Public Administration and Urban and Regional Planning at USC where she taught courses on policy analysis, urban economics, transportation planning, and urban studies. Susan also served as Adjunct Faculty for Troy State University's Master's of Public Administration Program in the Pacific Theater, where she taught Intergovernmental Relations, Research Methods and Economics for Public Administrators. LAURA CARIAS Senior Associate I Architectural Historian Laura Caries has over ten years of experience in the field of historic and cultural resources evaluation, identification, documentation, and preservation. She earned dual B.A. degrees in History and Chicano Studies from California State University, Dominguez Hills and an M.A. from California State University, Sacramento in Pubic History. In her career, she has worked on projects such as the Historic Buildings Structures Report for the Santa Paula Mill and Depot, mothballing Patriotic Hall in Los Angeles, mitigation compliance for Rancho Los Amigos, reviewed project plans to ensure compliance with the Secretary's Standards for the Los Angeles Unified School District and managed the Central City North Community Plan Area for the SurveyLA Los Angeles Historic Resources Survey. Laura specializes in Historic American Buildings Survey (NABS) documentation, assessment of historic significance, preparation of documentation to support the California Environmental Quality Act (CEQA), National Environmental Policy Act (NEPA), National Historic Preservation Act (NHPA), compliance with the Secretary's Standards, and coordination of historic resources surveys. She satisfies the Secretary of the Interior's Professional Qualifications Standards in Architectural History. Chattel, Inca Historic Preservation Consultants NELS YOUNGBORG Senior Associate I Architectural Historian Nets Youngborg has over nine years of experience in the architectural inspection services and historic preservation fields. He holds a Masters Certificate in Historic Preservation from the University of Texas, San Antonio and is completing his thesis for a M.S. in Historic Preservation from the University of Pennsylvania. For over six years, Nels worked as a consultant to advise public housing authorities on best practices for maintaining, weatherizing and rehabilitating their properties and how to approach projects that would impact historic resources. These services required experience with material life -cycle analysis, LEED AP accreditation, federal certification for real estate assessment, and intimate knowledge of Federal and State regulations regarding historic resources. Nets also worked as a student professional worker and an emergency appointment planning assistant at the City of Los Angeles Department of City Planning Office of Historic Resources for two years. He managed the Historic - Cultural Monument program, worked with the Cultural Heritage Commission to create their hearing schedule, wrote staff reports to advise the City's historic preservation cases, assisted in management of the Mills Act program, reviewed and cleared permits for historic resources, reviewed Environmental Impact Reports that proposed potential impacts to historic resources, and served as the social media coordinator for SurveyLA Los Angeles Citywide Historic Resources Survey. Nets specializes in assessment of historic significance, design review, permit expediting, geolocational database management and map creation through ArcGIS software, material condition assessment and risk analysis, preparation of documentation to support local, State and Federal historic preservation regulations, such as the Los Angeles Cultural Heritage Ordinance, Mills Act, California Environmental Quality Act (CEQA), National Historic Preservation Act (NHPA), and compliance with the Secretary of Interior's Standards. SUKIGERSHENHORN Associate II 1 Architectural Historian In her six years of professional experience, Suki has explored many facets of Historic Preservation including conservation, research, and interior design. She began her career working with historians and contractors, restoring historic mining cabins in Santa Cruz, California. Intrigued with the architecture of the Bay Area, Suki began working at an interior design firm in Berkeley. There she specialized in American Arts and Crafts period interiors designed by architects such as Julia Morgan, Bernard Maybeck and Walter Ratcliff. In 2012, Suki was awarded a fellowship to work for Preservation Detroit, a nonprofit advocacy organization. Working with property owners, neighborhood groups and city planners throughout Detroit, Suki prepared landmark nominations, created condition assessments, and wrote advocacy articles for local and national publications. In 2015, Suki received an M.S. in Historic Preservation at Columbia University. While completing her studies, she worked as a conservation technician at the New York City Parks department and as an archival assistant at the Columbia Architecture Library. Her master's thesis explored the history and conservation of rustic ferro-cement structures, which will be partially published in the Association for Preservation Technology's 2015 Bulletin. She satisfies the Secretary of the Interior's Professional Qualifications Standards in Architectural History. Chattel, Inca Historic Preservation Consultants BRIAN MATUK Associate II 1 Architectural Historian Brian holds an M.S. in Historic Preservation from the University of Oregon and a B.A. in Economics from New York University. He has over four years of professional experience in various roles related to Historic Preservation, beginning with a nonprofit advocacy group in Napa, California. In this role, Brian developed advocacy programs for the organization, then advanced to perform historic resource inventories and Federal tax credit applications for resources throughout Napa County. At the University of Oregon, Brian was awarded a Graduate Teaching Fellowship and, in 2016, published an article detailing Frank Lloyd Wright's lesser-known "Fireproof House for $5000" in the Associated Students for Historic Preservation Journal. During his studies in Oregon, Brian worked remotely as Technical Editor for a cultural resource consulting firm based in Sebastopol, California, gaining an understanding of both above -ground and below -ground resources. His Master's Terminal Project involved the creation of a Preservation Strategy for the Sonoma Developmental Center, which included a survey and vacancy plan for the institution's impending closure. Brian satisfies the Secretary of the Interior's Professional Qualifications Standards in Architectural History. CAROLINE RAFTERY Associate II 1 Architectural Historian Caroline holds a M.S. in Historic Preservation from Columbia University, a B.S. in City and Regional Planning and Minor in Sustainable Environments from Cal Poly San Luis Obispo. Caroline's professional experience includes working for the City of Los Angeles Department of City Planning Office of Historic Resources (OHR), Pasadena Heritage, and the County of Ventura Resource Management Agency Planning Division. While with OHR she reviewed Historic Cultural Monument applications, drafted staff reports, and presented to the Cultural Heritage Commission, and was involved in Historic Context research for SurveyLA. Her experience at Pasadena Heritage included architectural photography, educational outreach, fundraising support, and social media engagement. While with the County of Ventura she worked on a variety of planning and preservation related projects including drafting a Certified Local Governments (CLG) grant application for a Reconnaissance -level survey and Historic Context Statement of the Eastern Oxnard Plain. The grant was awarded and she was involved in the RFP process and commented on consultant progress reports and submittals. At Columbia, her master's thesis explored the preservation of Hollywood bungalow courts through extensive historic and contemporary research coupled with GIS mapping and analysis. She was selected as an Association Preservation for Technology (APT) student scholar and presented her thesis at the 2016 annual conference in San Antonio. She satisfies the Secretary of the Interior's Professional Qualifications Standards in Architectural History. POLICY NUMBER: 72SBAUVO259 COMMERCIAL GENERAL LIABILITY Chattel, Inc. THIS ENDORSEMENT CHANGES THE POLICY, PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -- OWNERS, LESSEES OR CONTRACTORS (FORMA B) This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART. SCHEDULE Name of Person or Organization: The City of Santa Ana, it's officers, employees, agents, and representative (If no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) WHO IS AN INSURED (Section II) is amended to include as an insured the person or organization shown in the Schedule, but only with respect to liability arising out of "your work" for that insured by or for you. CG 20 10 11 85 Copyright, Insurance Services Office, Inc., 1984 CHATT-1 OP ID: W2 ACOR® CERTIFICATE OF LIABILITY INSURANCE DA0710612017I �....--" 07tOfi/2017 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 INSURED & Associates uL Ste 1010 13417 Ventura Blvd Sherman Oaks, CA 91423 INSURERS) AFFORDING COVERAGE Hartford Casualty Insurance Co Continental Casualty Company Hartford Fire Insurance Co COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: 29424 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 15 SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. Finance & Management TYPE OF INSURANCE R POUCY NUMBER MM [H�) BFF HLTR ER POLIO VY MMfDDY X LIMITS 20 Civic Center Plaza, M-162 GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 A X COMMERCIAL GENERAL 72SBAUVO269 08/01/2016 08/01/2017 UA"Aut1(Eaoccugenc, $ 300,000 " �LIABILITY CLAIMS -MADE LK OCCUR MED EXP (Any one person) S 10,000 X Deductible $-O- PERSONAL d ADV INJURY $ 1,000,000 GENERAL AGGREGATE $ 2,000,00 I - COMP/OP AGG $ 2,000,00 GL AGO REG7JL MIT APPLIES PER: (PRODUCTS EN' POLICY PRO- LOC .. $ AUTOMOBILE LIABILITY MBINED SINGL LI l" Ea accident 1,000000 $ r A ANY AUTO 72SBAUVO269 08/01/2016 08/01/2017 BODILY INJURY (Per person) $ ALL OWNED SCHEDULED BODILY INJURY (Per accident) $ AUTOS AUTOS X X NON -OWNED ......_ PERRCTA DAM G $ HIRED AU OS ....... AUTOS CRE y $ )( UMBRELLA LIAB X OCCUR EACH OCCURRENCE $ 1,000,00 A EXCESS LIAB CLAIMS -MADE 72SBAUV0259 0810112016 08/01/2017 AGGREGATE $ 1,000,000 DED RETENTION$ $ WORN .—COMPENSATION WC STATU- OTH- X AND EMPLOYERS' LIABILITY I TORY LI IT _ Y t N C ANY PRaPfttErORfPARTNERtexEconvs❑IN7A 72WECZ03095 0810112016 08101!2017 EL EACH AEciDENT $ 1,000,00 OFFICERtMEMBER EXCLUDED? (Mandatory in NH) EL.DISEASE-EA EMPLOYE $ 1,000,00 If yyes, desa10 untler DFSCRIPTIONOFOPERATIONSbelow C.L. DISEASE-POLICYUMIT $ 1,000,000 B Professional EEH114048832 1112112016 11121/2017 Aggregate 2,000,000 Liability Per Claim 1,000,000 DESCRIPTION OF OPERATIONS t LOCATIONS t VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space Is required) The City of Santa Ana, it's officers, employees, agents, and representative are named as additional insured as their interest may appear with respects to the operations of the named insured. !'GATICI(,ATF Lint nPP rAM(.r1 I ATIr)N (E) 1988.2010 ACORU OURPUKA IION. All ngnts reserved, ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN CITY OF SANTA ANA ACCORDANCE WITH THE POLICY PROVISIONS. Finance & Management AUTHORIZED REPRESENTATIVE Services Agency 20 Civic Center Plaza, M-162 ") jun Santa Ana, CA 92702 (E) 1988.2010 ACORU OURPUKA IION. All ngnts reserved, ACORD 25 (2010105) The ACORD name and logo are registered marks of ACORD =Grim Me Request for Taxpayer Give Form to the Rev. December 2014) Da! mthe identification Number and Certification requester. Do not )ev. Treasury send to the IRS. Metrial Revenue Service 7 Name (as shown on your income tax natural. Name Is required an this line; do not leave this line blank. Chattel, INC 2 Business name/disregarded entity name, If differentfrom above of m 3 Check appropriate box for federal tax classification; check only one of the following seven boxes: 4 Exemptions (codes apply only to certain entitles, not Individuals; see o ❑ Individual/sole proprietor or ❑ C Corppratlon Q S Corporation ❑ Partnership ❑ TmsVestate instructions on page 3): �r C • single -member LLC ❑ Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=padnership)► Exempt payee code Of any) o` 2 Note. For a single -member LLC that Is disregarded, do not check LLC; check the appropriate box In the Ilne above for Exemption from FATCA reporting t the tax classification of the single -member owner. code (if any) 1.s ❑ Other ("a Inatruetionsl► rAupa•w.a bme u.$) u 5 Address (number, street, and apt or suite no.) Requester's name a1tl address (optional) 13417 Ventura Blvd m ti e City, state, and ZIP code Sherman Oaks, CA 91423 7 List account numbers) here (optlonag Kiel IT Enter your TIN In the appropriate box. The TIN provided must match the name given on line 1 to avoid I Social security number backup withholding. For Individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it Is your employer identification number (FIN). If you do not have a number, see How to gate 77N on page S. or Nota. if the account is In more than one name, ase the instructions for line 1 and the chart on page 4 for Employer Went'rfination number guidelines on whose number to enter. _ Certification Under penalties of perjury, I 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 I 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. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (f any) Indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding 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, contributions to an individual 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. n HerI Signature of lVW//!/a /liv]• �A/4^'A /7 �/.I®✓%frL%1 /nate► 1-1-2P17 `.2P17 Here 0.S. person► a General instrudbons V V Section references are to the Internal Revenue Code unless otherwise noted. Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release It) Is at www.lrs.gov/hv9. Purpose of Form An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer Identification number (TIN) which may be your social security number (SSN), Individual taxpayer identification number (ITIN, Morgan taxpayer Identificatlon number (ATIN), or employer identification number (EIN), to report on an Information return the amount paid to you, or other amount reportable on an Information return. Examples of Information returns include, but are not limited to, the following: • Form 1099 -INT (interest earned or paid) • Form 1099 -DIV (dividends, including those from stocks or mutual funds) • Form 1099-MISC (various types of Income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-5 (proceeds from real estate transactions) • Form 1099-K (merchant cam and third party network transactions) • Form 1098 ihalne mortgage interest), 1098-E (student loan Interest), 1008-T (tultion) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only If you are a U.S. person (Including a resident allen), to provide your correct TW. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding? on page 2. By signing the fllled-out form, you: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be Issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership Income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and 4. Certify that FATCA cadets) entered on this form (it any) Indicating that you are exempt from the FATCA reporting, is correct. See What Is FATCA repoding? on page 2 for further Information. Cat. No. 10231 X Forrn W-9 (Rev. 12-2014) CHATTA OP ID: W2 '4� R"' CERTIFICATE OF LIABILITY INSURANCE D07(MM/2017 Y) 07/27/2017 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 Kaercher Campbell & Associates 600 Corporate Pointe, Ste 1010 Culver City, CA 90230 Wendi Carpenter CONTACT E. PHONE pAx [wc. No, Ex*-_ [ UC, No E�aatL ADDRESS., EACH OCCURRENCE $ 1,000,00 INSURERS AFFORDING COVERAGE NAIC # INSURER A: Hartford Casualty Insurance Co 29424 INSURED Chattel, Inc. 13417 Ventura Blvd Sherman Oaks, CA 91423 INSURER B: Continental Casualty Company INSURER C: Hartford Fire Insurance Co 08/01/2018 RENTEDDAMA TO PREMISES occurrence $ 300,00 INSURER D: INSURER E: X Deductible $-0- 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 SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR TYPE OF INSURANCE ADDL POLICY EFF POLICY EXP LIMITS LTR POLICY NUMBER MMIDD/YYYYI IMMlDDNYYY GENERAL LIABILITY EACH OCCURRENCE $ 1,000,00 A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE 1XI OCCUR 72SBAUVO259 08/01/2017 08/01/2018 RENTEDDAMA TO PREMISES occurrence $ 300,00 MED EXP (Any one person) $ 10,00 PERSONAL & ADV INJURY $ 1,000,00 X Deductible $-0- GENERAL AGGREGATE $ 2,000,00 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ 2,000,00 POLICY 1 PRO -LOC $ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT 11000,000 Ea amMenl BODILY INJURY (Per person) $ A ANY AUTO 72SBAUVO259 08/01/2017 08/01/2018 ALL OWNEDSCHEDULED AUTOS AUTOS BODILY INJURY (Per accident) $ X HIRED AUTOS X NON -OWNED AUTOS PROPERTY DAIMAGE $ PER ACCIDENT $ X UMBRELLA LIAB X OCCUR EACH OCCURRENCE $ 1,000,00 AGGREGATE $ 1,000,00 A EXCESS LIAB I CLAIMS -MADE 72SBAUVO259 08/01/2017 08/01/2018 $ DED RETENTION $ WORKERS COMPENSATION X WCSTATU- OTH- C AND EMPLOYERS' LIABILITY Y / N .Y ANY PROPRIETOR/PARTNER/EXECUTIVE OFFICER/MEMBER EXCLUDED? ❑ (Mandatory in NH) N / A 72WECZ03095 08/01/2017 08/01/2018 LIMITS E.L. EACH ACCIDENT $ 1,000,00 E.L. DISEASE - EA EMPLOYEE $ 1,000,00 If yes, describe under DESCRIPTION OF OPERATIONS below E,L DISEASE -POLICY LIMIT $ 1,000,00 B Professional EEH114048832 11/21/2016 11/21/2017 Aggregate 2,000,00 Liability Per Claim 1,000,00 DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) The City of Santa Ana, it's officers, employees, agents, and representative are named as additional insured as their interest may appear with respects to the operations of the named insured. l7K►l1t a L7-11 t ti PJ q■J yCo CITY OF SANTA ANA Finance & Management Services Agency 20 Civic Center Plaza, M-16 (Santa Ana, CA 92702 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE © 1988-2010 ACORD CORPORATION. All rights reserved. ACORD 25 (2010/05) The ACORD name and logo are registered marks of ACORD POLICY NUMBER: 72SBAUVO259 COMMERCIAL GENERAL LIABILITY Chattel, Inc. THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -- OWNERS, LESSEES OR CONTRACTORS (FORM B) This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART. SCHEDULE Name of Person or Organization: The City of Santa Ana, it's officers, employees, agents, and representative (If no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) WHO IS AN INSURED (Section II) is amended to include as an insured the person or organization shown in the Schedule, but only with respect to liability arising out of "your work" for that insured by or for you. CG 20 10 11 85 Copyright, Insurance Services Office, Inc., 1984 ACORO° CERTIFICATE OF LIABILITY INSURANCE DATE (MM/DD/YYYY) 12/18/2018 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 CONTACT Josie Ruzette NAME: Newfront Insurance Services, LLC A/CNNo Ext: (415) 754-3635 (FAX, No: E-MAIL ADDRESS: josie.ruzette@newfrontinsurance.com 101 2nd Street INSURER(S) AFFORDING COVERAGE NAIC # Suite 525 INSURERA: Hartford EACH OCCURRENCE San Francisco CA 94105 INSURED INSURER B: Hartford INSURER C: Hartford Chattel, Inc. INSURER D: Hartford TO RENTED PREMISES Ea occurrence $ 1 000 000 INSURER E: CNA Insurance CLAIMS -MADE � OCCUR 13417 Ventura Blvd INSURER F: Sherman Oaks CA 91423 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. INSR LTR TYPE OF INSURANCE ADDL INSR SUBR WVD POLICY NUMBER POLICY EFF MMIDD/YYYY POLICY EXP MMIDD/YYYY LIMITS GENERAL LIABILITY r EACH OCCURRENCE $ 1,000,000 XDAMAGE COMMERCIAL GENERAL LIABILITY TO RENTED PREMISES Ea occurrence $ 1 000 000 CLAIMS -MADE � OCCUR MED EXP (Any one person) $ 10,000 PERSONAL & ADV INJURY $ 1,000,000 A X 57SBABK9041 2018-08-01 2019-08-01 GENERAL AGGREGATE $ 2,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGG $ 2,000,000 X POLICY PROECT LOC J $ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT Ea accident $ 1,000,000 BODILY INJURY (Per person) $ ANY AUTO B ALL OWNED SCHEDULED AUTOS AUTOS 57SBABK9041 2018-08-01 2019-08-01 BODILY INJURY (Per accident) $ PROPERTY DAMAGE Per accident $ X �/ NON -OWNED HIRED AUTOS X AUTOS X UMBRELLA LAB OCCUR EACH OCCURRENCE $ 1,000,000 AGGREGATE $ 1,000,000 C EXCESSSLLIAB CLAIMS -MADE 57SBABK9041 2018-08-01 2019-08-01 DED X RETENTION $ 10,000 $ WORKERS COMPENSATION X WC STAT D EMPLOYERS' LIABILITY ANY PROPRIETOR/PARTNER/EXECUTIVE YIN OFFICER/MEMBEREXCLUDED? ❑Y (Mandatory in NH) NIA 57WECAB9AXK 2018-08-01 2019-08-01 TORY LIMITS ER E.L. EACH ACCIDENT $ 1,000,000 E.L. DISEASE - EA EMPLOYEE $ 1,000,000 If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 1,000,000 E Errors & Omissions EEH114048832 2018-11-21 2019-11-21 $1 M Per Occur/$2M Gen Agg DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) The City of Santa Ana, its officers, employees, agents and representatives are named as additional insured as their interest may appear with respects to the operations of the named insureds. CERTIFICATE HOLDER CANCELLATION ACORD 25 (2010/05) © 1988-2010 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE City of Santa Anna THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN Finance and Management Services Agency ACCORDANCE WITH THE POLICY PROVISIONS. 20 Civic Center Plaza AUTHORIZED REPRESENTATIVE Santa Ana CA 92701 r ACORD 25 (2010/05) © 1988-2010 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD REGIONAL OFFICE INSTRUCTION SHEET POLICY NUMBER: 57 SBA BK9041 DX CHANGE NUMBER: 002 CHANGE EFF DATE: 11/28/18 ROUTING INSTRUCTIONS _SEND TO RECORDS. TRANSFER CORR IF APPLICABLE. TERMINAL ID: R001VEFA OPER INIT: RMB 12/11/18 57 SBA BK9041 DX (08/01/19) PAGE 1 POLICY FACE SHEET 41 90 INSURER: BK SENTINEL INSURANCE COMPANY, LIMITED SBA POLICY NO. 57 SBA BK9041 DX DECLARATIONS ITEMS 1. NAMED INSURED AND MAILING ADDRESS: 2. POLICY PERIOD: CHANGE NO.: 002 CHANGE EFF DATE: 11/28/18 RECORDS RETENTION - PERMANENT CHATTEL, INC 13417 VENTURA BLVD SHERMAN OAKS, LOS ANGELES CA. 91423 08/01/18 08/01/19 1 INCEPTION EXPIRATION YEAR AGENT'S CODE: 556937 AGENT'S NAME: NEWFRONT INSURANCE SVCS LLC PREVIOUS POLICY NO. 57 SBA BK8763 3. THE NAMED INSURED IS: CORP POLICY STATUS: ACTIVE LOB LEVEL OF SUPPORT: SP -S MARKET SEGMENTATION: 830 SELECT CUSTOMER AGENT SALES AGREEMENT (COMMISSION STATUS ) DIRECT ACCOUNT BILL NUMBER - 12025600 DEDUCTIBLE UMBRELLA ADDITIONAL INSURED(S) RATES/RULES O/R: 5/17/18 AUTOMATICALLY BOOKED CODING ENTRY NOT REQUIRED TRANS TYPE: ENDT CNTL#: 004 POLICY FACE SHEET TERMINAL ID: R001VEFA PAGE 2 12/11/18 57 SBA BK9041 DX (08/01/19) THE HARTFORD Select Customer Insurance Center 3600 WISEMAN BLVD. SAN ANTONIO TX 78251 Policyholder, please call us at: (866) 467-8730 Agent, please call us at: (866) 467-8730 SERVICE.TX@THEHARTFORD.COM INSURANCE ENDORSEMENT ATTACHED *** PLEASE REVIEW THE CHANGE *** Enclosed is an endorsement for your business insurance policy. Please review it at your convenience. If you have questions or need to make further changes: Policyholder, please call us at: (866) 467-8730 Agent, please call us at: (866) 467-8730 between 7 A.M. and 7 P.M. CST. The premium billing will be mailed to you separately. You can expect to receive it soon. Thank you for allowing us to service your business needs. NEWFRONT INSURANCE SVCS LLC THE HARTFORD SELECT CUSTOMER INSURANCE CENTER The Hartford Hartford Fire Insurance Company and its Affiliates One Hartford Plaza, Hartford, Connecticut 06155 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. POLICY CHANGE This endorsement changes the policy effective on the Inception Date of the policy unless another date is indicated below: Policy Number: 57 SBA BK9041 DX Named Insured and Mailing Address; CHATTEL, INC 13417 VENTURA BLVD SHERMAN OAKS CA 91423 Policy Change Effective Date: 11/28/18 Effective hour is the same as stated in the Declarations Page of the Policy. Policy Change Number: 002 Agent Name: NEWFRONT INSURANCE SVCS LLC Code: 556937 POLICY CHANGES: SENTINEL INSURANCE COMPANY, LIMITED ANY CHANGES IN YOUR PREMIUM WILL BE REFLECTED IN YOUR NEXT BILLING STATEMENT.IF YOU ARE ENROLLED IN REPETITIVE EFT DRAWS FROM YOUR BANK ACCOUNT, CHANGES IN PREMIUM WILL CHANGE FUTURE DRAW AMOUNTS. THIS IS NOT A BILL. NO PREMIUM DUE AS OF POLICY CHANGE EFFECTIVE DATE FORM NUMBERS OF ENDORSEMENTS REVISED AT ENDORSEMENT ISSUE: IH12001185 ADDITIONAL INSURED - PERSON -ORGANIZATION PRO RATA FACTOR: 1.000 THIS ENDORSEMENT DOES NOT CHANGE THE POLICY EXCEPT AS SHOWN. Form SS 12 11 04 05 T Page o o 1 Process Date: 12/11/18 Policy Effective Date: 08/01/18 Policy Expiration Date: 08/01/19 POLICY NUMBER: 57 SBA BK9041 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - PERSON -ORGANIZATION COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF LOS ANGELES 354 S SPRING ST STE 500 LOS ANGELES, CA 90013 CITY OF ORANGE 300 E CHAPMAN AVE. ORANGE, CA 92866 THE CITY OF SANTA ANA, REPRESENTATIVES 20 CIVIC CENTER PLAZA, SANTA ANA, CA 92702 ITS OFFICERS, EMPLOYEES, AGENTS, AND M-16 Form IH 12 00 11 85 T SEQ. NO. 001 Process Date: 12/11/18 Printed in U.S.A. Page 001 Expiration Date: 08/01/19 PRODUCER'S FACT SHEET NAMED INSURED: CHATTEL, INC POL #: 57 SBA BK9041 DX PRODUCER'S NAME: PRODUCER'S CODE: 556937 AGENT SALES NEWFRONT INSURANCE SVCS LLC POL EFF DATE: 08/01/18 POL EXP DATE: 08/01/19 TRANS EFF DATE: 11/28/18 DIRECT ACCOUNT BILL NUMBER - 12025600 TRANSACTION TYPE: ENDORSEMENT CHANGE NO.: 002 ENDORSEMENT PREMIUM: $0.00 NON -PREMIUM BEARING FORM TITLE SS 12 11 04 05 POLICY CHANGE IH 12 00 11 85 ADDITIONAL INSURED - PERSON -ORGANIZATION PRODUCER'S FACT SHEET PAGE 1 12/11/18 57 SBA BK9041 DX (08/01/19)