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HomeMy WebLinkAboutNBS GOVERNMENT FINANCE GROUP, INC. - 2017INSURANCE ON FILE A-2017-263 WORK MAY PROCEED UNT1L iN URANCEEXPIRE x CLCRKCC ' CO NCIL � GREEMENT TO PROVIDE COMPREHENSIVE DATE: OCT 18 2017 PROPOSITION 218 ASSESSMENT 6 -CJ`" THIS AGREEMENT is made and entered into this 3rd day of October, 2017 by and between NBS �u R,115Government Finance Group, Inc., a California corporation ("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 ("City"). A. On July 3, 2017, the City issued Request for Proposal No. 17-081, by which it sought a consultant to conduct a Comprehensive Proposition 21.8 Fees and Charges Compliance Assessment, B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services as described in the scope of work that is included in Exhibit A to this Agreement. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject tothe terms and conditions hercinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall perforin the services that are described in Consultant's proposal dated September 15, 2017, with Approach #1 as described therein. City shall have the option to select Approach #2 if desired. Consultant's complete proposal is attached as Exhibit A and incorporated in fiill. 2. COMPENSA'T'ION a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B. The total sum. to be expended under the term of this Agreement, including any extension periods, shall not exceed $111,970, b, Payment by City shall be made within forty-five (45) 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, Page 1 of 8 3. TERM This Agreement shall commence on the date first written above and continue through April 3, 2018, unless terminated earlier in accordance with Section 16, below. 4. CONFIDENTIALITY AND PRIVILEGE The services to be performed by Consultant under this Agreement will be under the direction and supervision of the City's Office of the City Attorney. All information and documents shared with Consultant as well as all work performed by Consultant in connection with this Agreement should be treated as strictly confidential. Moreover, all communications between Consultant and City shall be treated as protected by the attomey-client privilege and the attorney work product doctrine. Accordingly, information received by Consultant from City should be kept in a secure place, and no information about this work may be disclosed to any third party without City's prior written approval. Consultant shall provide materials directly to the City Attorney, Sonia Carvalho, or selected members of her office, as directed by the City Attorney. All such information and any written product in connection with Consultant's retention under this Agreement, shall be marked as "PRIVILEGED AND CONFIDENTIAL / ATTORNEY -WORK PRODUCT" and shall be the property of the City Attorney's Office, and shall be returned/provided to the Office of the City Attorney with all copies upon the request of the City Attorney. 5. INDEPENDENT CONSULTANT Consultant shall, during the entire term of this Agreement, be construed to be an independent consultant 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 perforans the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant prepares tinder 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 Page 2 of 8 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. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subconsultants, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrorn, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, 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. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence, Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 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. If Consultant is or employs a licensed ,professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. 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. iv. Consultant shall supply City with a fix11y executed additional insured endorsement. Page 3 of 8 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 perfonned prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, 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 negligent operations of the Consultant, its subconsultants, agents, employees, or other persons acting on its 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 Consultant and approved by the City (which approval shall not be unreasonably withheld), regarding any action by a third party challenging the authority of Consultant to enter into 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, in consultation with Consultant. Notwithstanding the foregoing, the above duty to indemnify, including the duty to and cost to defend, shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of Consultant. If it is finally adjudicated that liability is caused, by the comparative negligence or wil,lftrl misconduct of an indemnified party, then Consultant's indemnification shall be limited proportionally to the established comparative liability. 9. 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. 10. 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 Page 4 of 8 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. 11. 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. 12. 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, 13. 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. 14. 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 Page 5 of 8 agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 15, 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 assigmnent, 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. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City ianless 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. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. 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 maybe brought or arise out of, in connection with or by reason of this Agreement. 19. PROFESSIONAL LICENSES Consultant shall, throughout the torm of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder Page 6 of 8 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 pennits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement, 20, 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. 21, 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 fax 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 Fax: 714- 647-6956 With courtesy copies to: Robert Cortez Deputy City Manager City of Santa Ana 20 Civic Center Plaza P.O, Box 1988 Santa Ana, California 92702 To Consultant: NBS Government Finance Group, Inc. 32605 Temecula Parkway, Suite 100 Temecula, CA 92592 Attn: Kirn Boehler or David Ketcham Page 7 of 8 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United. States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. FA Ito of -I 9 CITY OF SANTA ANA /A,7, a Maria D. Huizar Cynthia Kurtz Clerk of the Council Interim City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney h John 46k Assistant City Attorney CONSULTANT: F Narne: N✓16-14-C[ �E�r�i✓r/� Title: e l Page 8 of 8 EXHIBIT A CONSULTANT'S PROPOSAL (INCLUDING SCOPE OF SERVICES) EXHIBIT A CONSULTANT'S PROPOSAL (INCLUDING SCOPE OF SERVICES) M. i 32605 Temecula Pkwy., Suite 100 Temecula, CA 92592 Toll free: 800.676.7516 www.nbsgov.com September 15, 2017 Robert Cortez Deputy City Manager, Project Manager City of Santa Ana, City Manager's Office 20 Civic Center Plaza, 8th Floor Reception Santa Ana, CA 92701 RE: RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment Dear Mr. Cortez, Thank you for the opportunity to submit this proposal to prepare a Comprehensive Proposition 218 Fees and Charges Compliance Assessment for the City of Santa Ana (City). We realize this is an important project for the City and our proposal offers the following benefits: Experience and Demonstrated Success. The NBS team is led by four senior project managers who each have a minimum of 10 years' experience, and are supported by seasoned analysts and consultants. When faced with several proposals from "national experts", an important question you as the client might ask is, "who will actually be working on this study?' We can assure you that our project team will be committed to this study from start to finish, and available for all meetings and presentations. ® Insightful Approach. We will commit to working with staff to ensure we understand the City's concerns to assess the current rates, fees and overhead charges, and will ensure that all perspectives are incorporated, all unique local issues are addressed, and provide an excellent result the City can be proud of. • Technically Sound Rate and Fee Assessment. Our approach to evaluating the City's rates and fees will rely on technically sound principles and well -accepted industry practices that enhance the City's legal and financial standing for its Prop 26/218 rates and fees. Our firm brings a broader range of skills to this engagement compared to competitor firms, as our sole purpose as a company is to consult California's cities on various municipal revenues, including special taxes and assessments, utility rates, impact fees, overhead cost reimbursement and user and regulatory fee programs. Pertaining to our business entity structure, NBS is a California S -Corporation. Please contact me at 800.676.7516 or via email at kboehler@ngsgov.com if you have any questions or concerns about this proposal. We would sincerely like to work with you on this project and help the City of Santa Ana move forward. Sincerely, Kim Boehler Associate Director h David Ketcham Vice President TABLE OF CONTENTS Cover Letter ................................... ... Previous Page Section1: Agreement Statement...........................................................................................1 Section2: Firm and Team Experience.....................................................................................2 Section3: Project Understanding...........................................................................................8 Section4: Relevant Project Experience.................................................................................17 Section5: Schedule..............................................................................................................18 Section6: References...........................................................................................................19 Section7: Fee...................................................................................................................... 29 Appendix............................................................................................................................. 30 Appendix A: Proposed Project Team Resumes......................................................................31 Appendix B: Attachment 3-1 Non -Collusion Affidavit...........................................................45 Appendix C: Attachment 3-2 Non -Lobbying Certification......................................................48 Appendix D: Attachment 3-3 Non -Discrimination Certification ............................................. 50 SECTION 1: AGREEMENT STATEMENT NBS accepts the terms, conditions and general form of the City of Santa Ana standard Consultant Services Agreement with the following modification(s): Update last three sentences in Section 7: 7. INDEMNIFICATION 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 Consultant and approved by the City (which approval shall not be unreasonably withheld), regarding any action by a third party challenging the validity -e# authority of Consultant to enter into 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 but shall not be entitled to settle any claim without the prior written consent of Consultant. Notwithstanding the foregoing, the above duty to indemnify, including the duty to and cost to defend, shall be limited to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. If it is finally adjudicated that liability is caused by the comparative negligence or willful misconduct of an indemnified party, then Consultant's indemnification obligation shall be reduced in proportion to the established comparative liability.to-tge atent-Ceasr+ltant's-dereicc s�--arm �,.Meet3e_E�+d+I-��sde-Sestier' O7rsridc-v-'i",e-ak�9v@iifter-rrFSity-6liai: b.�, i..^,'.:.�.'r,'^. t!;^...;t.^.nt,..gt+�Fe,a-AY KeGkICaFrSneS5-Gr-w4iifNl-miSGGR�tIGt-Gf-tiie-1::61-1£l:Fitai7t: D� 1 City of Santa Ana � y RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment NBS,Helping communities fund tomorrow. In 1996, California municipalities were struggling to appropriately implement local P14P funding tools while trying to interpret Proposition 13 and a host of other rules and regulations. Then, Proposition 218 entered the scene making municipal funding even more challenging. Seeing the potentially negative effects this could have on local communities, several experienced and concerned finance and engineering professionals gathered to create NBS. While the firm originally focused on Special Financing Districts, specifically the formation and administration of special assessments and taxes, we have evolved with our clients' needs. That evolution gave rise to a Financial Consulting practice that focuses on sustainable water and wastewater utility rate programs, cost allocation, cost recovery, and legally justified fee design. Across all practice areas, we have worked with more than 350 public agencies to date; including cities, counties, municipal utilities, and special purpose districts. Our primary areas of continual investment include the highest -quality training, software and technology. In an effort to control overhead and maximize local understanding, many team members operate out of satellite offices spanning California and reaching as far as Colorado. Financial Consulting: Utility Rate Group, Cost Allocation Plans and User Fee Studies � ��r�-�c rix.6.+�'4 vYp`vu✓dli`i. w "+y V.f�iturt�S� �i' iNX1 Established: May 13, 1996 Structure: California S -Corporation Legal Name: NBS Government Finance Group DBA: NBS Headquarters: Temecula, CA Address: 32605 Temecula Pkwy., Suite 100 Temecula, CA 92592 Regional Office: San Francisco, CA Employees: 40 Shareholders 100 % Employee Owned (ESOP) Contact: Kim Boehler Telephone: 800.6 7 6.7516 Email: kboehler@ngsgov.com Location: Temecula Office Individual Authorized to Negotiate and Execute Agreement Name: David Ketcham Title: Vice President Address: 32605 Temecula Pkwy., Suite 100 Temecula, CA 92592 Telephone: 800.676.7516 Fax: 951.296.1998 Email: dketcham@nbsgov.com This project falls in our financial consulting area where we focus primarily on cost recovery mechanisms and supporting justification for various agency revenue streams. Our areas of expertise include: m Rate studies for municipal water, sewer, storm drainage and solid waste utilities. Financial plans for public utilities. System capacity and development impact fees. » User and regulatory fees for a wide variety of local government programs and services. Overhead cost allocation analysis. C) N BV- City of Santa Ana +"� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment The lead team from NBS for the City of Santa's project is comprised of rate and fee setting experts who are recognized leaders in their field. They are often asked to teach continuing education courses and participate in workouts for troubled agencies. The City can be assured, NBS' team has an in-depth understanding of all changes to laws, codes and regulations affecting local governments, including Propositions 218 and 26. While the team members assigned to this study currently serve many municipal agencies through- out the State, we do not anticipate any difficulties in giving this project its due attention and dedication. The team presented in this proposal will be available and are fully committed to completing the study and meeting the deadlines of this project, and will be present as needed for meetings and presentations. Expertise and Continuing Education We require all professional staff to continue their education by attending professional training and personal growth seminars provided by both in-house experts and outside sources. We also frequently conduct internal training sessions to discover and discuss changes to key regulatory and governmental issues that may affect our clients. Our Publications In addition, we present a unique set of qualifications and training to support our depth of experience and understanding in the work we perform. We believe in continuing education not only for our own team members, but also for our clients and other municipal agency employees. As industry leaders, we have published two books on related industry topics that can be downloaded for free at www.nbsgov.com/publications or ordered through our office at 800.676.7516. The Special Financing Districts Primer (Revised and republished in 2015) has been credited as the best publication on SFDs in a decade by prominent industry professionals. The Rates, Fees and Charges Compendium, released 2015, has received high regard and interest from industry professionals. Many public agencies utilize our publications as resources and training tools for their own staff. Key Personnel NBS' staff of 40 professionals have extensive experience in the fields of finance, management, engineering, and local governance and combine their knowledge to produce a synergy that results in maximum success and minimum risk. We work with our clients as partners by developing an intricate knowledge of their needs and responding with strategic and timely solutions. The following is a brief overview of the NBS consulting team proposed to manage and complete the work noted for this engagement. N BS City of Santa Ana r„;, RPP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment Project Organizational Chart 0 City Stakeholders, Management and Staff Greg Clumpner Kim Boehler Nicole Kissam Project Principal IProject Manager Project Director -----------------0 — Pablo Perez i Greg Henry Greta Davis Project Principal a Utility Rate Consultant Project Manager ------- - -------s Adina McCargo I I Craig Brewer I I Kevin Gardner & Consultant Utility Rate Analyst Arielle Plourde Financial Analyst Description of Project Team for Utility Rate Analyses Tim Seufert Client Services Director Project Role and Responsibilities: Kim Boehler will be primarily responsible for the Evaluation of Enterprise Fund Rates on this project and will coordinate the work efforts of the project team and work closely with the City's project manager to discuss and review the overall approach, findings and recommendations, and will provide quality control on the project. She will coordinate analytical efforts of the project team on the Federal Clean Water Enterprise feasibility analysis, provide senior -level technical analysis and review, monitor the schedule and delivery of work products to the City's satisfaction, and be on-site for all meetings and presentations. Work Experience: Kim Boehler is a project manager who brings over 10 years of experience at NBS, in all three of our major consulting practice areas. She has a comprehensive understanding of agency funding needs through her work in utility rate and fee studies, utility financial management, special financing district administration, and overhead cost allocation analysis. For the past eight years, her work has focused exclusively on financial planning, cost -of -service analyses and rate design for water and wastewater utilities in California. Kim Boehler leads project teams on water and wastewater rate and capacity fee studies for our public agency clients. She has completed over 100 utility rate and fee studies, and often speaks at public workshops, industry conferences and educational seminars on related issues. Z City of Santa Ana N B �,� A7 RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment GREG CLUMPNER, PROJECT PRINCIPAL Role and Responsibilities: Greg Clumpner will work with Kim Boehler on the Evaluation of Enterprise Fund Rates and will take a key role in the Refuse Collection rate evaluation. Greg will also provide direction, guidance, and senior -level technical analysis and review. Greg will assist the project team in developing recommendations that will best fit the City's unique characteristics and issues. Work Experience: As the director of NBS' Utility Rate Study Practice, Greg Clumpner's 35 -year professional career has focused on cost -of -service rate studies for municipal water, sewer, recycled water and solid waste agencies. He regularly makes technical presentations at industry conferences and client workshops. His practice includes management -consulting assignments related to utility operations, system valuations, and feasibility studies. He also created and managed Foresight Consulting where for 6 years, his practice focused on water, sewer and solid waste rate analyses. Greg has completed over 350 similar studies during his career. Additionally, Greg often works with Prop 218 legal counsel and serves as an expert witness on utility rate legal challenges; he is intimately familiar with the legal constraints as well as when to solicit legal opinions to ensure rate alternatives will meet Prop 218 legal requirements. Role and Responsibilities: If the City selects Approach #2 for the Federal Clean Water Protection evaluation, Mr. Perez will support Ms. Boehler in developing recommendations on whether or not the City should pursue a dedicated funding source for the enterprise, and what funding mechanism(s) are best suited to the City's needs. He will also develop the per parcel cost estimates and will be present for meeting with City staff and the Council, as needed. Work Experience: Mr. Perez is a Director in NBS' Special District Consulting Group and has over 20 years of experience working with public agencies in California and has been at the forefront of the interpretation and implementation of Proposition 218, Proposition 26 and the formation of special financing districts. He is also actively involved in the daily management of district administration operations, the preparation of the annual special assessment levies, and related projects. Role and Responsibilities: If the City selects Approach #2 for the Federal Clean Water Protection evaluation, Ms. McCargo will support Mr. Perez and Ms. Boehler on this study, in developing the per parcel cost estimates and performing the research and analysis associated with Task 2.1.D in this study. Work Experience: Adina McCargo is a consultant with NBS where she forms and administers special financing districts and is actively involved with district formations and bond issuance/refunding analysis, feasibility studies as well as daily management of district administration operations. C)N Bb. City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment GREG HENRY, UTILITY RATE CONSULTANT Project Role and Responsibilities: Greg Henry will support the project team in data analysis and input, if needed on the tasks related to the Evaluation of the Enterprise Fund rates. Summary of Work Experience: Mr. Henry offers 6 years of experience in financial analyses, budgeting and financial and rate projections for a California municipality, as well as experience in drought planning. He serves as the primary consultant on project teams completing water and sewer utility rate studies and capacity fee analyses, including development of financial models, budget projections, establishing revenue requirements, multi-year financial plans, rate adjustment strategies, and performing cost -of -service analyses. Mr. Henry also makes presentations to City Councils, Boards and other stakeholder groups to present study outcomes and gain input on the development of financial plans and rate structures. Role and Responsibilities: If the City selects Approach #2 for the Federal Clean Water Protection evaluation, under the direction of the project manager, Mr. Brewer will support the project manager in developing the financial plan for the enterprise fund, in performing data input and other analyses as needed. Work Experience: Mr. Brewer has a Bachelor's of Science degree in Applied Mathematics and offers over two years of experience working directly with cities and special districts in California on financial analyses, large scale data analysis and database management. Description of Project Team for Cost Allocation Plan & Regulatory Fees Roles and Responsibilities: Nicole Kissam will direct the work efforts of our project team for any advisement pertaining to review of allocated overhead costs and user/regulatory fees for service. She will be fully conversant in all findings and available for public events as needed. She will work closely with the City's designated project manager to monitor the schedule and delivery of work products to the City's satisfaction. While designing and directing analytical efforts, she will also provide senior -level technical analysis as warranted. Work Experience: Ms. Kissam is a Director with NBS in the Financial Consulting Group. She has 15 years' total work experience in public sector consulting, city government, marketing, and public relations. Nicole has been a financial and management consultant to local government for the majority of her career, specializing in Full and OMB A-87 compliant cost allocation plans, user and regulatory fee analysis, impact fee analysis, financial plans, and operational improvement strategy for California agencies. Nicole holds a Bachelor of Science in Business Administration from California Polytechnic State University in San Luis Obispo. Ms. Kissam has completed similar projects as requested by the City for many agencies across California. Roles and Responsibilities: Greta Davis will lead data acquisition, data collection, and data validation efforts with City's staff, and also direct specific areas of model design and prepare technical analysis supporting the determination and justification of cost allocations, and user/regulatory fees. Greta will work actively with City staff members who oversee and perform BSCity of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment services under review in this effort. She will be fully conversant in all findings and will be onsite for progress, findings, and public events. She will present recommendations and findings to staff, and any other public bodies or public hearings, as specified in the Work Plan for this project. Work Experience: Ms. Davis offers over 25 years of experience in all facets of financial, organizational and operational consulting for local government clients. The majority of her professional experience includes development of Full Cost and OMB A-87 compliant cost allocation plans, and user fee analysis including establishment of realistic, customized fee recovery policies. Greta holds a Bachelor of Arts in Social Science, with an emphasis in Finance, from the University of California, Irvine. Ms. Davis has completed similar projects as requested by the City for many agencies across California. KEVIN GARDNER & ARIELLE PLOURDE, FINANCIAL ANALYSTS Roles and Responsibilities: Kevin Gardner and Arielle Plourde will perform large-scale data analysis and validation, design and implement cost allocation and user/regulatory fee models, and prepare technical outcomes at the direction of the Project Director and Project Manager. They will also facilitate data collection and reminders to City staff in order to keep projects moving along the agreed upon timeline for completion. Work Experience: All NBS Financial Analysts have a minimum Bachelors -level degree in Business, Finance, or Economics and between one to three years of professional work experience with NBS or in a related field. Full resumes are included in the Appendix Figure 1. Percentage of Staff Time Devoted to Project ` D3 NBS- City of Santa Ana ';� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment SECTION 3: PROJECT UNDERSTANDING NBS' Overall Understanding and Approach to the Study We understand that the City of Santa Ana is embarking on a high-level and confidential third party peer -review of its rates, fees, direct and indirect charges, and cross charges from other City agencies to its four enterprise funds: Refuse Collection, Water, Sanitary Sewer and Federal Clean Water Protection. In light of the increased scrutiny on utility rates due to recent Prop 218 rate -related court decisions, it is imperative to ensure the City's rates are in-line with generally accepted industry standards and are defensible from a legal perspective. We realize this is an important project for the City and we have developed our proposal with this in mind. Our proposed deliverables for this project include an evaluation of whether the City's current practices align with industry standards and recommended technical approaches. Where a range of acceptable practices exists, we will endeavor to objectively describe the range. Our efforts will culminate in a report of strengths, weaknesses, and opportunities for improvement and, where appropriate, recommendations for implementation. This review consists of three major work plan components: 1. Utility Rates for the Water, Sanitary Sewer, Refuse Collection and Federal Clean Water Protection Enterprise Funds 2. Direct, Indirect, and Cross Charges to the Enterprise Funds 3. Land Development and Permit Operation Fees Within the course of analysis of all Prop 218 and Prop 26 fees and charges, NBS will apply its decades of professional experience in the areas of developing utility rates, overhead cost allocation plans, evaluating Internal Service Fund charges, and establishing direct and indirect costs and charges. Our ultimate goal is to help the City ensure that all costs allocated to the enterprise funds are reasonable, are aligned with industry standards, and represent rational and defensible rate designs. NBS' review of fees and charges will also include fees charged for land development and permit operations, otherwise known as user and regulatory fees. These fees are governed primarily by Proposition 26, as well as subsequent government codes such as GC 66014 and GC 66016: In November 2010, California voters adopted Proposition 26 (Prop 26), which amended the California Constitution — prohibiting a local agency from adopting or increasing a levy, fee, or charge of any kind without voter approval unless a specific exemption contained in Prop 26 applies. If a levy, fee, or charge satisfies a specific exemption, it may be adopted by a simple majority of the local agency's legislative body. Permit fees for services such as improvement plan review, encroachment permit approval, and discretionary planning approvals, all fall under one of Prop 26's seven stated exceptions, the exception for Licenses and Permits: "A charge imposed for the reasonable regulatory costs to a local government for issuing licenses and permits, performing investigations, inspections, and audits, enforcing agricultural marketing orders, and the administrative enforcement and adjudication thereof." NB City of Santa Ana (�j RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 8 Therefore, these permit (user/regulatory) fees are not subject to Prop 26's definition of a tax. The only limitation to the fee amount is that it not exceed the estimated cost of providing the service for which the fee is charged. Although NBS will coordinate data collection and review with each City department as appropriate, we will directly be reporting to the City Manager's office, which will ultimately oversee the review of, and direction provided on all alternatives and recommendations. The final work product forthis study will be a confidential white paper directly addressed to the City Attorney, but also provided to, and coordinated with the City Manager's office. Our task plan and methodology for completing this scope of work is presented in the following section. Task Plan 1. KICK-OFF MEETING AND DATA COLLECTION NBS will hold a kick-off meeting with City staff to review and discuss the overall study objectives, questions, and concerns that need to be addressed, to confirm a mutual understanding of how the study will be conducted. A data request will be issued to City staff prior to the initial kickoff meeting that will list the data needed for consultants to begin the study. Types of data required from the City — The basic types of data and documents required from the City will include the following: • Annual operations budgets and projected capital improvement plan costs for each utility, and staffing schedules • Current fees, charges, and rate schedules for each utility • Prior utility rate studies • Prior studies supporting establishment of current user/regulatory fees • Documentation supporting inter -fund charges and overhead cost allocations • Total annual and monthly water sales, for the last three years • Summary of annual water revenue from fixed charges and volumetric rates • For refuse collection, the number of accounts by customer class (residential, commercial, etc.) and level of service (i.e., size of container and number of pickups per week) • For storm drainage, number of parcels subject to these fees and type of parcel 2. ASSESSMENT OF ENTERPRISE FUND RATES, FEES & CHARGES NBS will work with City staff to perform an evaluation of the existing rate and fee structures, direct and indirect charges, cross charges from other City agencies, and Proposition 26 and 218 validation processes to evaluate the strengths, weaknesses, and opportunities for improvement to strengthen the City's legal and financial standing'. NBS will meet with each department separately to discuss their initial perspectives on the concerns and issues that will be addressed in this study. Once an initial evaluation is complete, NBS will review the City's current practices against decades of professional experience performing cost allocation, cost of ' Since we are not attorneys, NBS does not provide legal advice or legal opinions; we assume the City Attorney's office will provide all legal review— NBS will coordinate such review with the City Attorney. (,"'3) City of Santa Ana sy�jj RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 9 service, and rate and fee analysis to provide an assessment of strengths and opportunities for the City's review. The following tasks are planned for this evaluation: 2.1. EVALUATION OF ENTERPRISE FUND RATES NBS will review the utility rates for the City's four enterprise funds: Water, Sanitary Sewer, Refuse Collection, and Federal Clean Water Protection. This review will determine whether current practices are generally consistent with industry standards and legal requirements, such as Proposition 218, and where appropriate, will discuss ranges of acceptable practices. We will provide recommendations on changes, if needed, to the City's utility rate structures, and costs shared between funds. This scope of services is not proposing to calculate new utility rates for the City; but rather, to provide experienced professional opinions aiding the City's approach in the future to developing its utility rates. The result of this effort will be an analysis of known or found improvements, which will allow City staff to plan for and incorporate changes in future utility rate setting processes. NBS will review the following information as part of this process: ® Existing rate structures — specifically rate design Budgeted revenues and expenditures 2014 Water and Sewer Rate Studies, and other similar studies available for the other enterprise funds and in particular the impacts that more recent Prop 218 court decisions may have related to the cost -basis for rates • How refuse services are provided, and potentially the cost -basis for current refuse rates, which may include reviewing Refuse Collection Service Agreements f Proposition 218 validation processes Our approach to the utility rate evaluation for the four enterprise funds, is described in the following two subtasks. 2.1.A, B and C: Water, Sanitary Sewer and Refuse Collection Rate Evaluation NBS will perform the following subtasks (i.e., A, B and C) for the Water, Sanitary Sewer and Refuse Collection rate evaluation: Conduct an Orientation Meeting with City Staff - NBS will participate in a meeting with City staff from each department, as appropriate, to discuss staff's pre -identified issues to be addressed through the course of these services and NBS' initial observations. We will also establish initial subsequent steps to continue the review and/or coordinate additional input needed from City staff will be identified. Document Existing Conditions — NBS will review the City's current utility rate schedules, rate studies, budgets, and any other supporting analyses and/or documentation supporting the City's utility rates. Acquire a broad understanding of each enterprise fund's operations, current rate structures, known issues/deficiencies in current rates, known areas for improvement, and availability of customer usage data. NBS will summarize key findings and coordinate review of this summary with City staff to ensure mutual understanding of current practices. "h„ - City of Santa Ana ''� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 10 Document Evaluation of and Recommendations Regarding Current Practices - Provide the relevant sections of a draft confidential white paper to City Manager's office documenting strengths, weaknesses, and any recommended changes to current City practices. Once City Manager's office has reviewed this document, we will facilitate a discussion of the findings and recommendations. Assume one comprehensive round of review and edit to the draft report. 2.1.D: Federal Clean Water Protection Enterprise Feasibility Analysis Background on Stormwater Funding - There is not broad consensus within the industry on how to pay for Federal Clean Water (or, storm drain, stormwater) costs, or what type of rate or fee structure should be used. Some of the funding mechanisms that have been and are currently used include sewer rates, water rates, solid waste rates, street sweeping charges, and separate storm drainage utility charges. The City currently funds this enterprise with charges from the Water, Sanitary Sewer and Refuse Collection enterprises and a series of user and regulatory fees. NBS will work with City staff to evaluate the current sources and uses of funds related to the Federal Clean Water Protection enterprise, and future NPDES permit requirement costs, and evaluate the strengths, weaknesses, and opportunities for improvement in current practice. This evaluation will also lay out potential funding options to ensure the enterprise has stable revenues in the long -run. Below there are two options for the Federal Clean Water Protection evaluation. Approach #1 In this option, NBS will take the same approach to this evaluation as noted in Task 2.1.A, B and C, for the Water, Sanitary Sewer and Refuse Collection enterprises. NBS will perform the following subtasks for the Federal Clean Water Enterprise evaluation, if the City chooses this approach: Conduct an Orientation Meeting with City Staff - NBS will participate in a meeting with City staff from the department, as appropriate, to discuss staff's pre -identified issues to be addressed through the course of these services and NBS' initial observations. We will also establish initial subsequent steps to continue the review and/or coordinate additional input needed from City staff will be identified. Document Existing Conditions — NBS will review the City's current fee schedule, budgets, revenue sources and any other analyses and/or documentation supporting how the City is currently funding this enterprise. Acquire a broad understanding of the enterprise fund's operations, current revenue sources, known issues/deficiencies, known areas for improvement, and availability of customer data. NBS will summarize key findings and coordinate review of this summary with City staff to ensure mutual understanding of current practices. 644 - City of Santa Ana p p B RFP No. 17-081 Comprehensive Pro osition 21S Fees and Char es Compliance Assessment 11 Document Evaluation of and Recommendations Regarding Current Practices - Provide the relevant sections of a draft confidential white paper to City Manager's office documenting strengths, weaknesses, and any recommended changes to current City practices. Once City Manager's office has reviewed this document, we will facilitate a discussion of the findings and recommendations. Assume one comprehensive round of review and edit to the draft report. Approach #2: In this option, NBS will take the a more detailed approach to this evaluation than is noted In Approach #1, and will include additional tasks such as: developing a financial plan and preliminary per parcel cost estimates, for a potentially new dedicated funding source. NBS will perform the following subtasks for the Federal Clean Water Enterprise evaluation, if the City chooses this approach: Conduct an Orientation Meeting with City Staff - Consultants will participate in a meeting with City staff to discuss in detail, staff's pre -identified issues to be addressed through the course of these services and NBS' initial observations. At this session, initial subsequent steps to continue the review and/or aid City staff work will be identified. Prepare Financial Plan: NBS will prepare a detailed financial plan for the Federal Clean Water Enterprise that will provide the City with a "financial road -map" for the fund. This plan will lay out funding for capital improvements, repair and replacement needs, annual operating expenses, and reserve fund replenishment. We will work with City staff to evaluate the "nexus" between Federal Clean Water Protection Costs and the benefits customers in the Water, Sanitary Sewer and Refuse Collection enterprises receive from this program. The financial plan will detail the enterprises' financial obligations and determine if any costs should be funded with a new funding source. Financial plan deliverables will include: • 10 -year financial projections model. • Summary of current and projected net revenue requirements. Review and recommend reserve fund targets, such as those for O&M and capital replacement. • Projected year-end reserve fund levels. • Calculated debt service coverage ratios (if applicable) Develop Preliminary Per Parcel Cost Estimates: NBS will develop preliminary estimates of the per parcel cost to fund the City's Federal Clean Water Enterprise, through a new dedicated funding source. We will evaluate two options for the City's consideration for funding the facilities: either a property -related fee or a special tax. The fees developed in this analysis will be preliminary estimates of the annual cost to property owners and will be based on property type (that is, single-family, multi -family, commercial, etc.). We will provide a discussion of the of the relative merits (pros and cons) of the various methods available for funding the City's drainage facilities, and our recommendation on what method best meets the City's needs. Prepare a Technical Memorandum: NBS will prepare a technical memorandum for review by City Staff that summarizes our findings and recommendations for the financial plan and funding 2 This analysis will not develop a fee based on impervious surface area, or runoff factors. If the City decides to proceed with implementing a new funding source for the Federal Clean Water Enterprise, a more detailed analysis will need to be conducted at that time which can include an evaluation of a fee based on impervious surface area and other factors, pending the availability (or development) of the required data. ^'e,� N B RFCity of Santa Ana ,,�}j P No. 17-0$1 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 12 mechanisms. Sufficient information will be provided in the report for staff, the Council and the public to review and understand the study. The technical memorandum will include: ® A discussion of the project and relevant findings Recommendations for establishing a dedicated funding source Overview of the financial plan Boundary map Overview of potential implementation tasks Proposed timeline/critical path for implementation NBS will perform a professional review of all direct and overhead allocations received by, or charged by, the enterprise funds, as well as all cross charges from City agencies allocated to the enterprise funds. This review will determine whether current practices are consistent with industry standards and provide recommendations, if needed, to the City's mechanics of sharing costs between funds, departments, divisions, or programs. NBS will also consider whether practices in place are in line with either the basic guidelines of Title 2, Code of Federal Regulations, Part 225, Cost Principles for State, Local, and Indian Tribal Governments (formerly known as OMB A-87), depending on the City's preference. This scope of services is not proposing to calculate new internal service fund rates or cross -charges for the City; but rather, to provide experienced professional opinion aiding the City's approach to maintaining and enhancing its systems independently. The result of this effort should be a time- and cost-effective analysis of known or found improvements to enable City staff's subsequent update to their own analytical tools. NBS will complete the following tasks in satisfying the core objective of this effort: 2.2.A: Conduct an Orientation Meeting with City Staff Consultants will participate in a meeting with City staff to discuss in detail, staff's pre -identified issues to be addressed through the course of these services and NBS' initial observations. At this session, initial subsequent steps to continue the review and/or aid City staff work will be identified. 2.2.13: Understand Existing Conditions Review current charges in use by or affecting the enterprise funds, including review of the City's existing supporting analyses and/or documentation supporting all direct and indirect charges to and from the utilities, or between utilities. Communication with City staff will supplement review to ensure mutual understanding of current practices before recommendations are documented. 2.2.C: Document Findings and Recommendations Provide the relevant sections of the draft confidential white paper, documenting strengths and/or recommended changes to current City practices. Distribute to City Manager's office and facilitate a discussion to finalize and support implementation. Assume one comprehensive round of review and edit to the draft report. 2.2.D: Support and Review Analytical Modifications Remain available to support City staff's implementation of proposed recommendations for a specified number of hours over conference call and/or email. k�;x„� ® City of Santa Ana ®:1 RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 13 2.3 EVALUATION OF LAND DEVELOPMENT AND PERMIT OPERATION FEES NBS will perform an experienced professional review of all land development permitting fees (user/regulatory fees) that are charged by the enterprise funds in support of development review activities. In general, the scope of services includes all fees for service that can be analyzed on a time estimate per activity basis. Taxes, penalties, fines, and fees regulated or set by the State, as well as development impact fees and utility rates would be excluded from this portion of our analysis. The following is our detailed User Fee Study Work Plan for the City's review. 2.3.A: Conduct an Orientation Meeting with City Staff Consultants will participate in a meeting with City staff to discuss in detail, staff's pre -identified issues to be addressed through the course of these services and NBS' initial observations. At this session, initial subsequent steps to continue the review and/or aid City staff work will be identified. 2.3.13: Understand Existing Conditions Review the City's current list of fees as well as the City's existing supporting analyses and/or documentation supporting fees. Acquire a broad understanding of each enterprise fund's organization, performance of core services, functions of service, staffing structure/lines of command, current fee structures and systems, known issues/deficiencies in current fees, known areas for new fees, and availability of existing time -tracking and volumetric data. Communication with City staff will supplement review to ensure mutual understanding of current practices before recommendations are documented. 2.3.C: Document Findings and Recommendations Provide the relevant sections of the draft confidential white paper, documenting strengths and/or recommended changes to current City practices. Distribute to City Manager's office and facilitate a discussion to finalize and support implementation. Assume one comprehensive round of review and edit to the draft report. 2.3.D: Support and Review Analytical Modifications Remain available to support City staff's implementation of proposed recommendations for a specified number of hours over conference call and/or email. 3. FINAL CONFIDENTIAL WHITE PAPER At the conclusion of this review, and after discussions with City Manager's office on findings and recommendations, NBS will prepare a final confidential white paper that will be addressed to the City's project manager and legal counsel. This white paper will include documentation of the strengths, weaknesses, and any recommended changes to current City practices, with regard to: • Water, Sanitary Sewer and Refuse Collection Rates • Summary of the findings and recommendations made in the Federal Clean Water Enterprise Feasibility Analysis • Direct, Indirect and Cross Charges for Enterprise Funds and other City Agencies • Land Development and Permit Operation Fees charged by the Enterprise Funds This white paper will be a comprehensive study report that encompasses all aspects of the study in a single document. This will also be the sole work product from this study and will only be provided to the City Manager's office, but will officially be addressed to the City Attorney. "`y, � City of Santa Ana �,ex}D RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 14 An executive summary and introduction will present the purpose and results of this comprehensive review of the City's enterprise fund rates, fees and direct/indirect and cross charges from other City Agencies. Tables, graphs, and charts will be used as appropriate, but the emphasis will be on providing a clear, concise and understandable paper that addresses: Overall study methodology, with reference to Industry Best Management Practices, Proposition 218 and 26. Matrix and narrative of study findings, strengths and recommendations for changes in rate and fee structures and how direct/indirect and cross charges are applied to the four enterprise funds. Appropriate figures and tables summarizing key aspects and results of the study. If it is determined in Task 2.1. D that the City should establish anew funding source (such as a new property related fee or special tax) for the Federal Clean Water Enterprise, the financial plan and preliminary per parcel cost estimates and will be included in the separate technical memo described for that task. As with the white paper, this memo will be addressed to the City Attorney and directly provided to the City Manager's office. Figure 2 below shows a sample matrix of how this assessment would support the narrative explanation of NBS' technical memorandum for the water utility. Similar matrices will be developed for the sanitary sewer and refuse utilities. Figure 2. Example of Initial Assessment Matrix Weaknesses Recommendation City Feedback i, Evaluate customer 7Ratesareed Inequities in rate characteristics: no. meters by City will evaluate Easy to administer payer classes. meter size, consumption consultants initial on patterns, and peaking factors by results of this angeserClass customer class. analysis, and /All customers are Easy to understand/ Determine cost of providing determine the subject to the same explain to customers. service to each customer class. feasibility of rates _ implementing rates Develop rates that recover the for each customer full cost of service from each class. customer class. Revenue to utility isDevelop a rate structure that City agrees and highly variable/ Bills are minimized collects more revenue from fixed directs consultants to unstable. for low water users charges. develop rates in this manner. High Percentage of Will create a need for Consider implementing drought Initial agreement from Revenue Collected larger rate increases Gives customers rates or conservation City, will determine from Volumetric in the long -run if more control over surcharges that will enhance billing system Rates deficiency is not their water bill. revenue collection as corrected. conservation increases. capability. Establish a rate stabilization City agrees and will reserve that can be used when evaluate consultants water sales are low. funding options. NBCity of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 15 4. MEETING WITH CITY STAFF AND CITY COUNCIL NBS will attend and present at one (1) meeting with City staff to review the final results of this assessment, and one (1) meeting with the City Council to review the findings and recommendations of our evaluation. Please note: the number of meetings we have proposed for this effort is a preliminary estimate of what we believe will be required to complete this study. This can be adjusted at any time as needed by City staff. N ' City of Santa Ana ,.,� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 16 The following is a sampling of California municipal agencies for whom our proposed team has completed (or been recently selected to complete) projects similar to the City's study. • Agoura Hills • Dixon • Alameda • East Palo Alto • American Canyon Fire • East Valley Water District Protection District • Emeryville • Association of Bay Area • EI Dorado Irrigation District Governments • Escondido + Arvin ® Fairfield + Avila Beach CSD . Fort Bragg • Belmont + Fountain Valley + Benicia • Greenfield • Brea • Half Moon Bay • Calaveras County • Hidden Valley Lake Water District Community Services District + California Fire & Rescue • Humboldt Community Training, Authority Services District • Camarillo • Huntington Beach • Carlsbad . Indio • Chula Vista • Lancaster Clearlake • Lincoln ® Colton • Livermore + Concord • Los Altos + Contra Costa County • Los Angeles • Cucamonga Valley • Martinez Water District • Merced • Culver City • Moraga-Orinda Fire • Desert Water Agency Protection District • Moreno Valley • Morgan Hill 9 • Napa • National City Opp Q • Palmdale a + Pasadena d0 • Patterson P'_91 ®Petaluma 4 • Rancho Santa Margarita 9 p « Redding 0 +Richmond • Riverside • Rocklin • Sacramento • Sacramento Metropolitan Fire District • Sacramento Public Library Authority • San Carlos • San Diego • San Francisco Municipal Transit Authority • San Jose • San Juan Capistrano • San Luis Obispo • Santa Clara County • Santa Cruz • Santa Paula • Sausalito • Seal Beach • Seaside • Sierra Madre • Solano Irrigation District • Solvang • Stanislaus Consolidated Fire Protection District • Sunnyvale • Taft • Thousand Oaks • Town of Atherton • Town of Colma • Town of Portola Valley • Tulare • Tuolumne Utilities District • Turlock • Tustin • Vallejo • Ventura • Victorville • Waterford • Winters Please see Section 6 References for specific project descriptions and contact information 7t� City of Santa Ana �) RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 17 SECTION 5: SCHEDULE The following is an overview of our proposed project schedule. We will discuss a detailed schedule at the kick-off meeting, along with the expected timing for individual tasks. While the project team for this study will have multiple projects In progress at the time this study will be completed, our team is fully committed to this study and will balance the priorities of this project with other work in progress. Figure 1 in our proposal provides an estimate of the number of hours required by each team member and percentage of workload for the project period. This page is intentionally formatted differently (landscape) than rest of the proposal to improve legibility of Schedule below 1 Kick-off Meeting & Data Collection 2 Assessment of Enterprise Fund Rales Fees and Charges 2.1. Evaluation of Enterprise Fund Rates 2.1.A Water � 21_13 SanitarySewer_ 2.1.D Federal Clean _Water Protection 2.2 Evaluation of Direct/i ndirectl Cross CF _i2A A OrientaLon Meeting with CityStaff 2.2B understand Existing Conditions 2.2.0 Strengths and Recom mendabons ....._..._.. ___...._.. 2 D 2 Su000rtand Review ofMNalv[ical N Fees III 2 3 A Orientation Meeting w,th Cn Staff I 2 3 B Understand Dialing Conditions 2 3 C Strengths and Recommendations 2 3 D Supportand Review ofMalybcal Modificabons 3. Prepare Final Confidential White Paper • 4 Meetings with Qty Staff and Council ! Active task work Technical Mamo or While Paper Meeting with City Staffand Council (estimated, b be scheduled as needed) 4'�)NB City No. 17 -of 0 Are ii'71 4': RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 18 Please see Attachment 4 attached with additional pages including more detailed descriptions of scope of services for each reference. 'meq - City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 19 Appendix ATTACHMENT 4 Page 1 of 3 REFERENCES CITY OF SANTA ANA RE QUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.: 17-081 List five (5) references and describe fully the services performed by your firm which demonstrate your ability to provide the services included in the scope of the proposal. Attach additional cages if required. The City reserves the right to contact each of the references listed for additional information. Reference Customer Name: City of Redding Address: 777 Cypress Avenue Redding CA 96001 Contract Amount: $153,000 Brief description of scope or services provided: Contact Individual: Brian Crane, Public Works Director Phone Number: (530) 245-7155 Facsimile Number: Not Available Year: 2016 f Previous study completed 2014 Utility Rate Program Update (further detail on each project is attached) Reference Director of Public Customer Name: City of Victorville Contact Individual: Doug Mathews, Works and Water Address: 14343 Civic Drive Victorville, CA 92393 Contract Amount: $200.000 Brief description of scope or services provided: Phone Number: (760) 243-6332 Facsimile Number: Not Available Year: 2015 to Present Water Rate Study Sewer and Recycled Water Rate and Capacity Fee Study Storm Drain Feasibility Study Reference Customer Name: City of Victorville Address: 14343 Civic Drive Contract Amount: $25,000 Contact Individual: Joe Haggard Phone Number: (760) 955-5000 Facsimile Number: Not Available Year: 2016 - Present Brief description of scope or services provided: Overhead Cost Allocation Plan • r � it � � • ' ±r • • r F 1r w •44*1 City of Santa Ana RFP 17-081 Page 27 Appendix ATTACHMENT 4 Continued REFERENCES Page 2 of 3 CITY OF SANTA ANA REQUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.: 17-081 List five (5) references and describe fully the services performed by your firm which demonstrate your ability to provide the services included in the scope of the proposal. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information. Beverli Marshall, formerly - WCMD Finance & Reference Administrative Services Director West County Wastewater Currently — General Manger of Customer Name: District (WCWD) Contact Individual: Sewer Authority Mid-Coastside Address: 1000 Cabrillo Hwy N. Half Moon Bay, CA 94019 (at Sewer Authority Mid-Coastside) Phone Number: (650) 726-0124 Facsimile Number: (650) 726-7833 Contract Amount: $180,000 Year: 2010 -Present Brief description of scope or services provided: Wastewater Rate Study (including subsequent updates) Wastewater Capacity Fee Stud User and Regulatory Fee Study Reference City of Los Angeles, Customer Name: Dept of City Planning Address: 1200 N. Spring St, Room 525B Los Angeles, CA 90012 Contract Amount: $65,000+ Brief description of scope or services provided: User and Regulatory Fee Studies Reference Customer Name: Desert Water Agency Address: 1200 S. Gene Autry Trail Palm Springs CA 92264 Contract Amount: $100,000+ Contact Individual: Jan Zatorski, Deputy Director Phone Number: (213) 978-1273 Facsimile Number: Unknown Year: 2011 - Present Contact Individual: Martin Krieger, Finance Director Phone Number: _ (760) 323-4971 Facsimile Number: Not Available Year: 2010 -Present Brief description of scope or services provided: Water, Recycled Water and Sewer Rate City of Santa Ana RFP 17-081 Page 27 Appendix ATTACHMENT 4 Continued Page 3 of 3 REFERENCES CITY OF SANTA ANA REQUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.: 17-081 List five (5) references and describe fully the services performed by your firm which demonstrate your ability to provide the services included in the scope of the proposal. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information. Reference Customer Name: Rowland Water District Address: 3021 South Fullerton Road Rowland Heights CA Contract Amount: $70,000 Brief description of scope or services provided: Water and Recycled Water Rate and Ca Reference Customer Address: Contract Amount: Brief description of scope or services provided: Reference Customer Address: Contract Amount: Brief description of scope or services provided: Contact Individual: Sean Henry, Finance Officer Phone Number: (562) 697-1726 Facsimile Number: Not Available Year: Fee Study 2016 to 2017 Contact Individual: Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: City of Santa Ana RFP 17-081 Page 27 Attachment 4 References - Additional Pages Reference #1: Customer Name: City of Redding Contact Individual: Brian Crane, Public Works Director Address: 777 Cypress Avenue, Redding, CA 96001 Phone Number: (530) 245-7155 Facsimile Number: Not Available Email: bcrane@ci.redding.ca.us Contract Amount: $153,000 Year: 2016 with Previous Study Completed in 2014 Brief description of scope or services provided: Utility Rate Program Update In 2014, NBS completed a rate study, including revenue requirements, cost -of -service analysis, and rate design for the City's water, sewer and solid waste utilities. While the overarching purpose was to sufficiently fund projected operational and capital improvement costs, a thorough review of rate design was also a primary concern. Recommended rates and impact fees from the 2014 study were adopted and implemented. In 2016, the City retained NBS to update the 2014 study for the water, sewer, and solid waste rates, with a focus on the legal concerns of Prop 218 court cases, particularly the cost -based tiers for water rates. This study also carefully considered projected consumption levels, since the City's total annual consumption has continued to decline the last several years in response to drought conditions. Another key aspect of the rate study was working with a Citizens Advisory Group that reviews and provides recommendations to the City Council. The committee's concerns included financial/rate setting policies, details of the financial plans and revenue requirements, and developing legally defensible rate design alternatives. In light of the San Juan Capistrano decision3 that placed more demanding cost -basis requirements on water rates. Based on NBS' recommendations, the City decided to switch to a uniform (single -tier) rate design rather than retain a multi -tiered rate design. In 2017, the City has again retained NBS to update their development impact fees, reflecting their continued confidence in NBS' ability to effectively complete these studies. 3 See Capistrano Taxpayers Association V. City of San Juan Capistrano, Fourth District Court of Appeal, Division three, April 18, 2016. This court ruling requires that tiered water rates demonstrate a clear "cost -basis". I BS City of Santa Ana ID RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 23 Reference #2: Customer Name: City of Victorville Contact Individual: Doug Matthews, Director of Public Works and Water Address: 14343 Civic Drive, Victorville, CA 92393 Phone Number: (760) 243-6332 Facsimile Number: Not Available Email: dmathews@ci.victorville.ca.us Contract Amount: $200,000 Year: 2015 to Present Brief description of scope or services provided: Water Rate Study, Sewer and Recycled Water Rate and Capacity Fee Study, Storm Drain Feasibility Study In 2016, NBS completed a Water Rate Study, for the City of Victorville. The main concerns addressed in the water rate study include developing a capital funding plan that includes over $55 million in rehabilitation and replacement projects, updating the water rate structure to one based on industry standards, that transitions from a consumption -based fixed charge to one that is based on meter size, and developed drought rates. A key part of this Study was working with the Board of Directors in several workshops where they reviewed rate alternatives and provided recommendations on the development of new water rates, and ultimately gaining their support to adopt new water rates and fully -fund the needs of the utility. Earlier this year, NBS completed a Storm Drain Feasibility Study to evaluate the City's costs related to its storm drain program and provide funding options, based on the specific costs that need to be funded and the City's unique needs. The ultimate recommendation of this study is to implement a special tax to supplement existing funding for the program. In addition, NBS is in the process of completing a Sewer and Recycled Water Rate and Capacity Fee Study for the City of Victorville. Main issues that are being addressed in this study are developing capital funding plan that includes over $37 million in rehabilitation and replacement projects and updating the sewer rate structure to incorporate a volumetric component to commercial sewer rates. Other issues include developing rates for the City -owned industrial wastewater treatment plant, including pretreatment program charges. N BS City of Santa Ana �-�, RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 24 Reference #3: Customer Name: City of Victorville Contact Individual: Joe Haggard, Technology Officer Address: 14343 Civic Drive, Victorville, CA 92393 Phone Number: (760) 955-5000 Facsimile Number: Not Available Email: jhaggard@victorville.ca.gov Contract Amount: $25,000 Year: 2016 to Present Brief description of scope or services provided: Overhead Cost Allocation Plan. NBS completed a full cost and OMB cost version of an overhead cost allocation plan for the City of Victorville. Reference #4: Customer Name: West County Wastewater District (WCWD) Contact Individual: Beverli Marshall, formerly - Finance and Administrative Services Director of WCWD, Currently— General Manger of Sewer Authority Mid-Coastside Address: 1000 Cabrillo Hwy N., Half Moon Bay, CA 94019 (at Sewer Authority Mid-Coastside) Phone Number: (650) 726-0124 Facsimile Number: (650) 726-7833 Email: bmarshall@samcleanswater.org Contract Amount: $180,000 Year: 2010 to Present Brief description of scope or services provided: Wastewater Rate Study (including subsequent updates), Wastewater Capacity Fee Study, User and Regulatory Fee Study NBS has been working with West County Wastewater District since 2010, on its rate and fee program. In 2012, NBS completed a Sewer Rate study for the District and has performed several subsequent updates as the Capital Improvement Program was updated to incorporate changes from the recent Master Planning effort. As part of this work, NBS developed capacity fees for the District to incorporate the new Capital Improvement Program costs. NBS also established user and regulatory fees charged by the District for reviewing, approving, and inspecting construction projects for private residential and commercial development. This fall, NBS will begin a new wastewater rate and capacity fee study for the District. Additionally, NBS administers the District's sewer service charges. Our staff calculates the annual sewer service charges for the District, places the charges on the county tax roll, and prepares and mails Proposition 218 notices when new rates are adopted. 77 City of Santa Ana _ S RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 25 Reference #5: Customer Name: City of Los Angeles, Department of City Planning Contact Individual: Jan Zatorski, Deputy Director Address: 1200 N. Spring St, Room 52513, Los Angeles, CA 90012 Phone Number: (213) 978-1273 Facsimile Number: Not Available Email: jan.zatorski@lacity.org Contract Amount: $65,000+ Year: 2011 to Present Brief description of scope or services provided: User and Regulatory Fee Studies NBS is currently under contract and nearing completion of a comprehensive review of all Department of City Planning hourly rates and fees for services. Key consulting tasks include development of a deliverable fully burdened hourly rate model, recommendation regarding a fair and equitable fee structure for specialized services, and consideration of an appropriate fund balance for off peak demand cycles. Previously, in 2013, NBS was selected by the Department to provide on-call consulting services related to development of a Case Management fee structure for development review services, as well as a comprehensive fee analysis that is still ongoing and in the process. In 2011, NBS was selected by the City of Los Angeles' Planning Department to study fully burdened hourly rates and fee structure policies related to provision of expedited project review services. Key consulting tasks include development of a deliverable fully burdened hourly rate model, recommendation regarding a fair and equitable fee structure for specialized services, and consideration of an appropriate fund balance for off peak demand cycles. Prior to joining NBS, Nicole Kissam and Greta Davis completed a comprehensive fee analysis for this Department, as well as a study of EMS costs to providing services for the Fire Department. "^y City of Santa Ana a"krRFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 26 Reference #6: Customer Name: Desert Water Agency Contact Individual: Martin Krieger, Finance Director Address: 1200 S. Gene Autry Trail, Palm Springs, CA 92264 Phone Number: (760) 323-4971 Facsimile Number: Not Available Email: martin@dwa.org Contract Amount: $100,000+ Year: 2010 to Present Brief description of scope or services provided: Water, Recycled Water and Sewer Rate Study NBS recently completed a new Water, Recycled Water and Sewer Rate Study for the Agency, and has been working with the Agency since 2010 on its utility rate program. The main concerns addressed in the 2016 study were providing more revenue stability for the potable water utility (rates were previously over 80% volumetric), ensuring rates are sufficient to support the $45 million capital improvement program over the next 5 years, maintaining sufficient reserve funds, and retaining the Agency's uniform volumetric water rate. To address recent conservation requirements, we developed drought rates for the Agency that can be implemented, if more severe drought stages occur. For the Reclaimed Water and Wastewater utilities, the key issues addressed were developing rates that fully fund utility operations, maintenance, capital replacement costs, and establishing reserve targets for these enterprises that are separate from the Agency's main potable water operation. N ��- City of Santa Ana � RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 27 Reference #7: Customer Name: Rowland Water District Contact Individual: Sean Henry, Finance Officer Address: 3021 South Fullerton Road, Rowland Heights, CA Phone Number: (562) 697-1726 Facsimile Number: Not Available Email: shenry@rowlandwater.com Contract Amount: $70,000 Year: 2016 to 2017 Brief description of scope or services provided: Water and Recycled Water Rate and Capacity Fee Study NBS recently completed a Water and Recycled Water Rate and Capacity Fee Study for Rowland Water District. When the study began, the District was projecting an operating loss and was not expected to meet its required debt coverage ratio without a rate increase. A key objective in this study was to develop potable water rates that collect a greater percentage of revenue from fixed charges to ensure long-term revenue stability for the District. Other objectives included developing cost -based tiered volumetric rates, drought rates to coincide with the District's Water Shortage Contingency and surcharges for customers in various elevations zones. For the recycled water system, the main objectives were to develop a method for allocating costs in the District's budget to the potable and recycled water systems and to establish a financial plan that achieves the District's goal to have recycled water customers bear a greater percentage of their costs. NBS supported District staff in a Board workshop to obtain approval to move forward with the Proposition 218 process and at the public hearing to adopt new rates. In this study, NBS also developed new water capacity fees, based on meter, size, to replace the District's previous acreage supply fee. The main objective was bringing the fees for new development in line with industry standards. (ry � BS City of Santa Ana ��# I V BSRFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 28 SECTION 7: FEE As requested in the RFP, the Fee Proposal has been included under a separate cover and titled as indicated. 47D) N BS City of Santa Ana ��iRFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 29 This appendix contains Appendix A: Full Resumes for Proposed Project Team Certification Forms requested in the RFP: Appendix B: Attachment 3-1 Non -Collusion Affidavit Appendix C: Attachment 3-2 Non -Lobbying Certification Appendix D: Attachment 3-3 Non -Discrimination Certification .1>' "'a�, N BS City of Santa Ana S M, +may RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 30 City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 31 GREG CLUMPNER ODNBS Project Principal mm mmorow RESUME HIGHLIGHTS 35 years of experience in financial and economic analyses Consulting practice focuses on municipal water, sewer, and recycled water utilities Completion of over 350 rate studies to date EDUCATION M.S., Agricultural/Managerial Economics, U.C. Davis, 1983 B.S., Environmental Planning, UC. Davis, 1977 PROFESSIONAL AFFILIATIONS ^ Vice -Chair, City of Davis Utility Rate Advisory Committee m Former Chairman, City of Davis Planning Commission Past President, Sacramento Economics Roundtable ^ Association of California Water Agencies (ACWA), Member m American Water Works Association (AWWA), Member RECENT SPEARING ENGAGEMENTS "You have done a great job on this project, especially with the challenges we faced. I would be happy to serve as a client reference whenever needed in the future. Please have any of your prospective clients call me.,, EL DORADO IRRIGATION DISTRICT JIM ABERCROMBIE GENERAL MANAGER [Greg Clumpner served as the Project Manager in completing a Cost -of -service Study of Water, Sewer, and Recycled Water Rates for the District] "Cadillac Desert or Ford Pinto Desert? An Update on Water Finances in California" — CSMFO, Spring Conference, March 1, 2016 "Fiscal Health vs. Pricing for Conservation" — ACWA Fall Conf., Indian Wells, CA, Dec. 2015 "What's in Your Rates? Drought? Recycled Water? Social Justice?" — AWWA/ACE 2015 National Conference, Anaheim, CA, June 2015 a "The California Drought — What's in Your Rates?" — CSMFO 2015 Annual Conf. a "Water Rates: Fairness, Equity and 'Social Justice'?", NBS Primer, 2014 ^ "The 'Perfect Storm' or the 'New Normal'? Meeting the Challenges of Maintaining Financial Viability", Utility Management Conference, Miami, February 2012 The New Financial Reality, ACWA Spring Conference, Sacramento 2011 Greg Clumpner's 35 -year professional career has focused on financial, economic, and cost -of - service rate analyses for municipal water, sewer, recycled water and solid waste agencies. He regularly presents technical papers at industry conferences and client workshops. His practice has increasingly focused on management consulting related to municipal utility operations and capital improvements. Utility Cost -of -Service Rate Studies: Mr. Clumpner has prepared more than 200 multi- year financial plans, cost -of -service analysis, and rate design studies as well as conservation -oriented water rates, funding analysis for water, sewer, and solid waste utilities. These rate studies have primarily been for California clients, although he has also completed projects in Malaysia, Sri Lanka, Egypt, and Mexico. Management Consulting & Strategic Planning: His management consulting and strategic planning experience includes system operations, financial analyses, and long- term funding strategies for municipal agencies. He also has an extensive background in system valuations of capital facilities and systems, facility acquisitions, and municipal versus private operations. N BS. City of Santa Ana �'� a� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 32 ® Project Financing/Bond Feasibility Studies: His financing/bond feasibility study experience includes successfully preparing bond feasibility reports resulting in the issuance of more than $500 million in revenue bonds to finance the acquisition or construction of municipal facilities. SAMPLE OF RELEVANT PROJECTS City of Redding, CA— Water, Sewer, and Solid Waste Rate and Impact Fee Study. NBS completed an extensive and highly visible cost -of -service study of water, sewer, and solid waste rates and system capacity charges in 2013 that addressed City policies and overall objectives in developing rate structure alternatives. A key part of this study was working with a City Council - appointed Citizens Advisory Group that reviewed rate alternatives and provided recommendations to the Council. Key tasks included preparing financial/rate setting policies, financial plans, projecting net revenue requirements, cost -of- service analyses, and alternative rate designs. NBS updated this study in 2016. Client project manager: Brian Crane, Public Works Director. Phone: 530.245.7155 bcrane@ci.redding.ca.us. City of Pasadena, Expert Witness Testimony — related to litigation against the City of Pasadena by its outside water customers that has been ongoing for several years, NBS has prepared an analysis of outside surcharges for the purpose of defending the City's against this challenge. EI Dorado Irrigation District, Placerville, CA— Water, Sewer, and Recycled Water Cost -of - Service and Rate Design Study. Greg Clumpner conducted an extensive and high -visibility cost - of -service study of water, sewer, and recycled water rates, including working with a 10 -person cost -of -service study committee and regular updates with the district board. Key tasks include reviewing existing and recommending changes to financial/rate setting policies, alternative rate design methodologies, and recommended water, sewer, and recycled water rates. Client project manager: Jim Abercrombie, EID General Manager. Phone: 530-642-4055. jmabercrombie@eid.org Valley of the Moon Water District, Sonoma, CA— Water Rate Study. This comprehensive rate study evaluated the District's rate structure along with zonal elevation charges. Water consumption data and billing records provided the basis for developing rate and cost allocation alternatives, with the intent of improving revenue stability. Client contact: Dan Muelrath, General Manager. Phone: 916.725.6873. Desert Water Agency, Palm Springs, CA — Water Rate Analysis to Address Tribal/Non-Tribal Rates. In 2012, when the District was preparing for a new budget cycle, NBS reviewed the District's internal update to the utility rate model, to ensure that the rate model was generating accurate outcomes and that the Water utility was on track to implement the planned rate increases for the next 2 years. In 2013, NBS started a specialized rate study to determine water rates for Tribal and Non -Tribal lands under a new Federal law restricting local agency charges to Tribal lands and residents. Client contact: Martin Krieger, Finance Director. Phone: 760.323.4971. martin@dwa.org Monterey Regional Water Pollution Control Agency (MRWPCA) — Ocean Outfall Capacity Lease. NBS prepared financial alternatives for leasing MRWPCA's ocean outfall to Cal -Water for the disposal of brine. (Confidential Client), CA — Ground Water Storage Valuation Analysis. To assist in their litigation case, NBS is consulting with this District to help resolve an ongoing dispute related to the value of groundwater storage. NBS' City of Santa Ana `�';� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 33 KIM BOEHLER Project Manager RESUME HIGHLIGHTS 10 years of experience a Over 90 cities, counties, and special districts served r Specialist in financial, rate and cost analysis for municipal water and sewer utilities ffi American Water Works Association (AWWA), Member t, • 'e Bachelor of Science, Business Administration and concentration in Finance, California State University, San Bernardino SPEAKING ENGAGEMENTS N BS "In my sixteen years as a Finance Officer, I have worked on numerous rate studies. We found that working with Kim Boehler and her team at NBS to be a great experience. They provide tremendous knowledge and experience in helping you develop water rates and fees that are in line with your objective. I would recommend NBS to any other agency." ROWLAND WATER DISTRICT SEAN HENRY "How Conservation, the Drought and Legal Issues Are FINANCE OFFICER Changing the Landscape for Rate Setting in California," [Kim Boehler was the project American Water Works Association Water Education manager on a water and recycled Seminar, August 2016 water rate and capacity fee study for the District.] "Conservation, the Drought and Social Justice," California Water Environment Association Annual Conference, April 2016 "Brown Lawns and the Changing Landscape of California Water Rates: Next Steps?" AWWA CA -NV Section Spring Conference, March 2016 "Water and Sewer Rates: from Defensibility to Tailor Made Rate Design," CSDA Annual Conference, September 2015 "Basic Rate Making Principles and Key Issues Affecting Rates in California," American Water Works Association Water Education Seminar, August 2015 "Recycled Water Pricing Methodologies", CWEA, May 2014 (co -presented with Greg Clumpner) "Drought Impacts and Recycled Water Pricing" and "Water and Sewer Rate Studies and Key Issues Affecting Rates in California," American Water Works Association Water Education Seminar, August 2014 "Water and Sewer Rate Studies and Key Issues Affecting Rates in California," American Water Works Association Water Education Seminar, August 2013 "Financial Viability and the "New Normal" - The Unique Challenges of California Sewer Agencies" and "Maintaining Financial Viability in the Face of the "Perfect Storm" — Meeting the Challenges in California Today," CWEA, April 2012 Kim Boehler is a project manager who brings over 10 years of experience at NBS, in all three of our major consulting practice areas. She has a comprehensive understanding of agency funding needs through her work in special financing district administration, overhead cost allocation analysis, user fee studies and utility financial management. For the past eight years, her work has focused exclusively on financial planning, cost -of -service analyses and rate design for water and wastewater utilities in California. Kim Boehler leads project teams on water and wastewater rate and capacity fee studies for our public agency clients. She has completed over 100 utility rate and N LAS' City of Santa Ana yv, RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 34 fee studies, and often speaks at public workshops, industry conferences and educational seminars on related issues. RELEVANT PROJECT EXPERIENCE Arvin Community Services District, Water Rate Study m City of Arvin, Sewer Rate Study Avila Beach Community Services District, Water and Sewer Rate and Connection Fee Study Azusa Light and Water, Water Rate Study Bellflower Mutual Water Company, Water Rate Study Calaveras County Water District, Water and Sewer Rate Study Citrus Heights Water District, Water Rate Study City of Colton Water Rate and Connection Fee Study City of Colton and Grand Terrace Sewer Rate Study Cucamonga Valley Water District, Water and Recycled Water Connection Fee Study m Cucamonga Valley Water District, Water Rate Study Culver City, Sewer Rate Study Desert Water Agency, Water, Sewer and Recycled Water Rate Study Desert Water Agency, Water Rate Analysis to Address Tribal/Non-Tribal Rates m Dixon-Solano Water Authority, Water Rate Study East Valley Water District, Water and Sewer Financial Plans m City of Fort Bragg, Water, Sewer and Storm Drain Rate Study City of Greenfield, Water and Sewer Utility Revenue Requirement Analysis Hidden Valley Lakes Community Services District, Water and Sewer Rate Study ® City of Livermore, Water Rate and Connection Fee Study « City of Los Altos, Storm Drain Master Plan Financing Analysis City of Morgan Hill, Water and Sewer Rate Study City of Pasadena, Water Rate Study City of Redding, Water, Sewer and Solid Waste Rate Study and Connection Fee Analysis Rural North Vacaville Water District, Water Rate Study City of San Carlos, Sewer Revenue Requirement Analysis City of Santa Paula, Water and Sewer Rate Study San Mateo County, Sewer Rate Study City of Sausalito, Sewer Rate Study City of Solvang, Water and Sewer Rate and Connection Fee Study City of Seal Beach, Water and Sewer Rate Study City of Stanton, Sewer Rate Study Suisun-Solano Water Authority, Water Rate Study Sussex County, Delaware, Water and Sewer Rate and Capacity Fee Study and Oversizing Credit Analysis City of Taft, Sewer and Solid Waste Rate Study City of Thousand Oaks, Water and Sewer Rate Study Twenty-nine Palms Water District, Water Rate Study City of Vallejo, Water Rate and Connection Fee Study Victorville Water District, Water Rate Study City of Waterford, Water and Sewer Rate and Connection Fee Study West County Sewer District, Sewer Rate and Connection Fee Study �a) N Bit- RFCity of Santa Ana ;� 1'V q-:� P No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 35 PABLO PEREZ C)NBS Project Principal �•P•a nmm•• •• n,•a mmo,.rn.� RESUME HIGHLIGHTS Special Financing City Expert Proposition 218 Expert • Experienced Assessment Engineer • Over 25 years of experience 11Aoil 167-4 11 [401 • Master of Arts, Political Science with a concentration in Public Policy, American Public University • Bachelor of Arts, Liberal Studies, California Baptist University PROFESSIONAL AFFILIATIONS California Society of Municipal Finance Officers (CSMFO) • California Special Districts Association (CSDA) California Municipal Treasurer's Association (CMTA) SPEAKING ENGAGEMENTS Pablo has participated in speaking panels for the CSMFO, CMTA, as well as the NBS educational seminars, speaking on topics related to the formation and administration of Special Financing Districts as well as Proposition 218 and 26 0 .' Pablo Perez is a Director with NBS where he and his staff form and administer various types of Special Financing Districts (SFD). He has over 20 years of experience, and is actively involved with City formations and bond issuance/refunding analysis as well as daily management of City administration operations. He also performs feasibility studies and related financial projects. SFD projects: Pablo has significant experience with many types of SFDs including: Community Facilities Districts (CFDs), 1972 Act Maintenance Districts, Standby and other Fees and Charges, 1915 and 1911 Act Assessment Districts, Business Improvement Districts (BIDs), Benefit Assessment Districts (BADs) and Public Safety Districts including Fire Assessments and Taxes. His involvement includes analysis of City finances as well as oversight of tasks such as audits of assessment liens, delinquency management activities, apportionment of liens, and City workouts. Financial Projects: Pablo has managed numerous projects relating to assessment and special tax Districts, including apportionments of 1915 Act liens, tax roll billing services, continuing disclosure reports, arbitrage rebate calculations, human resources consulting, fund analysis and recommendations, bond tenders, conversion of bonds, delinquency management, and special project consulting. Proposition 218: Pablo provides Proposition 218 consulting services related to the establishment or increase of fees, charges and assessments. He is an acknowledged seasoned professional in Proposition 218 compliance programs. County Data Procurement: Pablo is on a "first name basis" with many of the County assessor and auditor's staff in the State. N BS City of Santa Ana 7) �., RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 36 NICOLE KISSAM NBS Project Director, CAP & Fee Group heia......... ^ rine tomorrow RESUME HIGHLIGHTS Q Over 15 years of experience in public sector consulting, city government, marketing and public relations 4 Expertise in financial and management consulting m Specialized in cost allocation plan, user fee and rate studies for California agencies EDUCATION Bachelor of Science, Business Administration, California Polytechnic State University, San Luis Obispo PROFESSIONAL AFFILIATIONS • Association of California Water Agencies (ACWA) • American Public Works Association (APWA) California Society of Municipal Finance Officers (CSMFO) "I really appreciate all of the extra timeyou spent educating me Cand my staff) on the basis for the rates. It was extremely valuable and gives me the detain need to explain and justify any increases. Thanks again for everything. It was a pleasure working with you!" CHAD WASSON WASTEWATER MANAGER CIN OF RICHMOND [Nicole Kissam served as the Project Manager on various fin a nclaI analyses for the City.] SPEAKING ENGAGEMENTS Revenue Remedies, Pre -Conference Workshop, CSMFO 2013 Verdict on User Fees, Panel on User Fees, CSMFO 2013 Strategies for Managing Your Building Department's Budget, CBOAC, 2011 BIOGRAPHY Nicole Kissam is Director of Financial Consulting for NBS. She has over 15 years total work experience in public sector consulting, city government, marketing, and public relations. Nicole has been a financial and management consultant to local government for the majority of her career, specializing in cost allocation plans, and user fee and rate studies for California agencies. She also spent several years performing management audits to improve the operational efficiency of various municipal services, including wastewater, community development, public works, recreation and human resources. She has supported, developed, and directed financial services consulting practices for three private consulting firms offering similar services to those proposed to be completed by NBS in this document. Ms. Kissam has participated in, managed, and completed more than 100 separate consulting engagements throughout her career, from small jurisdictions with less than 10,000 population, to large jurisdictions such as the City/County of San Francisco's Building Inspection Department, and City of Los Angeles' Planning and Fire Departments. N BS. City of Santa Ana ,� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 37 RECENT NBS PROJECT EXPERIENCE Within the last three (3) years as Director of NBS' Financial Consulting practice, Nicole Kissam has managed and completed the following relevant projects to the Scope of Services proposed in this document: * Association of Bay Area Governments (ABAG), Indirect Cost Allocation Plan Review Chula Vista, Cost Allocation Plan Review and User Fee Study Analysis * Clear Lake, Cost Allocation Plan * Contra Costa County, User and Regulatory Analysis Review * Dixon, Cost Allocation Plan East Palo Alto, Cost Allocation Plan and Comprehensive Fee and Rate Study Eastvale, Development Impact Fee Study * Fresno, Fire Prevention User Fee Analysis Indio, Cost Allocation Plan and User Fee Study * Los Angeles, Expedited Review Fees for the Department of City Planning * Napa, Cost Allocation Plan and User Fee Study HISTORICAL PROJECT EXPERIENCE Petaluma, Cost Allocation Plan and Internal Service Fund Rate Review Portola Valley, Community Development User Fee Analysis Richmond, User Fee Analysis for Engineering, Code Enforcement and Medical Marijuana. w San Luis Obispo, Building Department User Fee Analysis San Carlos, Citywide User Fee Study, Police False Alarm Analysis, Sewer Financial Plan and Rate Update Recommendations Sausalito, User Fee Study (in progress) m Taft, Cost Allocation Plan and User Fee Study Turlock, Building Fee Study Sacramento Public Library Authority, Cost Allocation Plan Santa Clara County Environmental Health Department, User Fee and Fund Balance Analysis Ms. Kissam was the project manager and lead analyst for the following engagements as Vice President for the Matrix Consulting Group: Arcata, Building Fee Analysis * Atwater, Building Fee Analysis Centre City Development Corporation (San Diego), Planning Fee Analysis p Elk Grove, Overhead Cost Allocation Plan Fresno, Development Services Fee Analysis Manteca, User Fee Analysis Marin County Community Development Agency, Fee Analysis Maui County, Planning Department Fee Analysis Petaluma, Citywide Cost Allocation Plan and User Fee Analysis * Richmond, Citywide Cost Allocation Plan and User Fee Analysis for Planning and Building * City/County of San Francisco, Dept of Building Inspection Fee Analysis San Jose, Land Development / Engineering Fee Analysis * Sunnyvale, Development Services Fee Analysis Temecula, Citywide User Fee Analysis 077 - City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 38 GRETA DAVIS 0DINBS Project Manager, CAP & Fee Group RESUME HIGHLIGHTS Seasoned Professional in Cost Allocation Plans, Cost of Service/User Fee Analysis, Building Nexus Fee Studies and Fire GEMT Federal Claiming Solid track record of implemented results in assisting public entities recover additional revenue to fund programs and services Over 25 years of experience Bachelor of Arts in Social Science; Emphasis in Finance, University of California, Irvine, 1990 Risk Management Certificate, University of California, Riverside, 1992 CSMFO — California Society of Municipal Finance Officers MMASC — Municipal Management Association of Southern California League of CA Cities — Annual Conference break out session, "Fire Department EMS Cost Recovery", September 2013 NBS Workshop — Extreme Revenue (And Cost) Makeover - over 30 local jurisdictions represented, May 2012 League of CA Cities - Financial Management Seminar, "Setting User Fees in the Current Legal Environment', December 2007 Y. M kgTl Greta Davis offers over 25 years of experience in all facets of government financial, organizational and operational consulting for local government clients. A dedicated professional and industry professional with a solid track record of implemented results in assisting public entities recover additional revenue to fund programs and services. Recent projects include working with local agencies to become financially stable by re -aligning fees and increase service delivery of reduced or eliminated programs and community services. Ms. Davis continues efforts in evaluation of cost of service delivery of services and programs and establishment of realistic fee recovery policies to assist local governments with the organizational strategic and business goals and objectives. Ms. Davis has over 25 years of experience in local government services. Her range of experience includes the following: Project Management; Training and Quality Assurance Indirect Cost Rate Studies/Federal OMB A-87 Indirect Cost Allocation Plans Cost of Service/User Fee Studies/Activity Based Cost Studies Federal/State Jail Rates Federal IV -D Indirect Cost Reimbursement Agreements m Revenue Maximization, Process Re-engineering and Process Improvement Budget Analysis and Program Management, Consultation and Advice Government audit liaison on audits of indirect cost rates and cost eligibility �"'may - City of Santa Ana ,}tBiZill RFP No, 17-081 Comprehensive Proposition 218 tees and Charges Compliance Assessment 39 RECENT NBS PROJECT EXPERIENCE Within the last three (3) years as a Project Manager and Lead Consultant with NBS' Financial Consulting practice, Ms. Davis has managed and completed the following relevant projects to the scope of services proposed in this document: City of Alameda, User Fee Study City of Bell, Cost Allocation Plan City of Belmont, Indirect Cost Allocation Plan and ICRP City of Camarillo, User Fee Study City of Concord, Cost Allocation Plan and User Fee Study (in progress) s City of Chula Vista, Cost Allocation Plan Review and User Fee Study Analysis w City of Dixon, Cost Allocation Plan. City of Escondido, OMB A-87 Cost Allocation Plan and Federal GEMT Cost Reporting City of Fountain Valley, Cost Allocation Plan and User Fee Study (in progress). City of Huntington Beach, Cost Allocation Plan and User Fee Study (in progress) City of Lincoln, Cost Allocation Plan and User Fee Study (in progress) City of Napa, Cost Allocation Plan and 911 Indirect Cost Allocation Plan 4 City of National City, Full and OMB Cost Allocation Plan HISTORICAL PROJECT EXPERIENCE • City of Moreno Valley, Full and OMB Cost Allocation Plan and ICR Proposal • City of Palmdale, Cost Allocation Plan and Fully Burdened Hourly Rates • City of Riverside, Cost Allocation Plan City of Seaside, User Fee Study City of Santa Cruz, Cost Allocation Plan and User Fee Study • City of San Juan Capistrano, Cost Allocation Plan and User Fee Study • City of South San Francisco, OMB A- 87 Cost Allocation Plan and Federal GEMT Cost Reporting s Sacramento Public Library Authority, OMB A-87 Cost Allocation Plan ® Sacramento Metropolitan Fire District, Full and OMB Cost Allocation Plan and Fully Burdened Hourly Rates • San Francisco Municipal Transportation Agency, OMB A-87 Cost Allocation Plan and Rates Over the life of her career, Ms. Davis provided Cost Allocation services to the following agencies: Lancaster, Vallejo, Vista, Encinitas, Oceanside, Malibu, Dana Point, Huntington Beach, Mission Viejo, Hawthorne, Rancho Palos Verdes, Rancho Cucamonga, Grover Beach, Orange, Lynwood, Irvine, Maywood, Calexico, National City, Santee, Covina, Moreno Valley, Rancho Santa Margarita, Turlock, Tulare, Lathrop, Imperial Beach, Solana Beach, Victorville, Yucaipa, San Bernardino, Seal Beach, Los Altos Hills, Willits, Fresno, Pasadena, Bay Area Air Quality District (BAAQ), Watershed Conservation Authority (WCA), Imperial County, Butte County, Orange County, Solano Irrigation District, Olvenhain Municipal Water District, Los Angeles Metropolitan Transit District (METRO), Greater Cleveland RTA. N ` � City of Santa Ana W RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 40 ADINA MCCARGO NBB Consultant eipmg commumnes mna tomorrow RESUME HIGHLIGHTS Experienced special tax consultant Seasoned professional and project manager for district administration Nearly two decades of experience actively managing ongoing administration and annual levy calculations EDUCATION p Master of Public Administration (MPA), Public Sector Management and Leadership, California State University Northridge Bachelor of Science, Accounting, DeVry University BIOGRAPHY Adina McCargo is a senior consultant with NBS where she forms and administers special financing districts including Property -Based Business Improvement Districts, Landscape Maintenance Districts, 1913/1915 Act Assessment Districts, and Community Facilities Districts. Adina is actively involved with district formations and bond issuance/refunding analysis, as well as daily management of district administration operations. She also performs feasibility studies and related financial projects. She has worked directly with more than 75 agencies administering 300 districts. * District Formation: Adina has formed Special Financing Districts including, Community Facilities Districts (CFDs), Benefit Assessment Districts (BADs), Business Improvement Districts (BIDs) and 1972 Act Landscape and Lighting Maintenance Districts Speaking Engagements: Beyond serving for seven years on the Annual Conference Planning Committee for CSMFO, Adina has been a featured speaker at several CSMFO chapter luncheons. Proposition 218: Adina also provides Proposition 218 consulting services related to the establishment or increase of fees, charges, and assessments. District Administration: In addition to her nearly two decades of district administration expertise, Adina has trained numerous staff members and has provided consulting services related to curing troubled districts (some of which have involved judicial foreclosure), refinancing, and property -owner bond tender programs. Financial Projects: Adina performs revenue audits, special fund analysis, parcel audits, tax roll billing services, district closeouts, analyses for bond issuance, and has led the formation of various Special Financing Districts. Continuing Disclosure: While Adina has prepared and disseminated Municipal Disclosure Reports for numerous California agencies, she is currently involved with the preparation and approval of disclosure reports for 1915 Act, community facilities districts, tax allocations, and general obligation bonds. Special District Refunding: Adina has participated in several refundings of CFD and 1913/1915 Act districts and has prepared the analyses and reports as the Special Tax/Assessment consultant on these projects. N BS City of Santa Ana �„� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 41 GREG HENRY <)NBS Utility Rate Consultant ^elpl' OoMmun°leB mmmmo�ow RESUME HIGHLIGHTS 6 years of experience and knowledge of financial and economic analysis Over 3 years of hands-on work experience in a local agency setting, within water and sewer enterprise and general funds Extensive experience with analysis software, databases and spreadsheet programs Master of Science, Mathematics, University of Houston, 2004 Bachelor of Arts, Mathematics, Mississippi State University, 2002 1 As a Rate Consultant at NBS in our Utility Rate Practice, Mr. Henry has extensive experience with financial and statistical analyses and "(Greg] was not only knowledgeable and agreeable to listen, but he was also able to explain the report in lay -man's terms, when the public did not understand a concept or a particular explanation.... By the close of the meeting, everyone was in agreement that a rate adjustment was necessary for the financial well-being of the District. The party of opposition became the assembly of support." CABAZON WATER DISTRICT Elizabeth Lemus, Administration Manager [Greg served as the primary consultant in completing a Water Rate Study for the District, and modeling. His technical skills are essential to the work we perform. made several presentations to the This includes long term financial forecasting, net present value Board of Directors during the study] modeling for capital projects and budget analysis. He is an expert in manipulating utility billing software to extract and prepare data for utility rate studies. He is utilized in particular for analyzing and manipulating large and complex data sets extracted from client information systems, operating and capital budgets. In addition to his technical skills, Mr. Henry's background as math professor honed his ability to dissect and present complex information. Mr. Henry has been an asset to the project team on similar studies, where he has been able to present complex technical information in an easy to understand format for elected officials and the general public. RELEVANT PROJECT EXPERIENCE k Arvin Community Services District, Water Rate Study City of Azusa Light and Water Department, Water Rate Study Cabazon Water District, Water Rate Study City of Colton, Water Rate and Connection Fee Study m City of Colton and Grand Terrace, Sewer Connection Fee Study City of Davis Sewer, Rate Study m Montecito Water District, Water Rate Study City of Morgan Hill, Water and Sewer Rate Study Mountain House Community Services District, Water and Sewer Rate Study Napa Sanitation District, Sewer Rate Study © City of Pasadena, Water Rate Study Rowland Water District, Water Rate Study Victorville Water District, Water Rate Study ((��,� City of Santa Ana `'.,,\ It `1t BB RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 42 CRAIG BREWERNBS Utility Rate Analyst "9P 9 mm a,oma„ow RESUME HIGHLIGHTS Two years of municipal finance consulting experience. Extensive experience in large-scale data analysis, database management, and financial analysis. EDUCATION Bachelor of Science in Applied Mathematics, University of California, San Diego 1¢][+3r]€7\JCi7 Craig Brewer is an Analyst at NBS in our Utility Rate Practice. He offers two years of experience in financial analyses, special financing district administration, tax roll submittal and performing various parcel and financial audits for public agency clients. Mr. Brewer provides support to project teams completing water and sewer utility rate studies, for cities and special districts in California. Mr. Brewer performs various financial analyses, data management, and utility customer data analysis for utility rate and capacity fee studies. Mr. Brewer's technical expertise is essential to the work performed by NBS. RELEVANT CONSULTING EXPERIENCE Fiscal Consultant Reporting for Redevelopment Agencies to support repayment of bonds; includes analysis of Tax Rate Areas (TRAs), land use class make-up, top ten taxpayers, historical assessed valuation, historical appraisal changes and projection tax increment tables. Tax Rate Area and Boundary Audits using ArcGIS and secured property tax roll data Successor Agency Recognized Obligation Payments Schedule (ROPS) Audits Prepared annual tax roll submittals for various Community Facilities Districts and Assessment Districts following the Rate and Method of Apportionment B�q- City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 43 KEVIN GARDNER, ARIELLE PLOURDE NBS Financial Analysts, CAP & Fee Group "• dao, m •• r—a em+orvow RESUME HIGHLIGHTS Experienced Financial Analyst supporting cost allocation, user and regulatory fee studies. Working knowledge of public finance and governmental accounting practices and policies. Extensive experience working with analytical software, databases, and spreadsheets. EDUCATION Gardner - Bachelor of Science in Business Administration, Finance Concentration, University of California, Riverside Plourde - Bachelor of Arts in Economics, with a Concentration in Finance, City College of New York, New York NBS Financial Analysts provide support for data gathering, analysis, modeling and project tracking on User Fee Studies. RECENT RELEVANT PROJECT EXPERIENCE All NBS Analysts have between one and three years of project specific experience. Kevin Gardner and Arielle Plourde participated in the role of Financial Analyst for the following NBS engagements relevant to the proposed Scope of Work: Benicia, Citywide User Fee Study Brea, Citywide User Fee Study a County of Contra Costa, Countywide User Fee Study • County of Santa Clara, Department of Environmental Health User Fee Study • Escondido, GEMT Cost Report g Fairfield, Fire Department User Fee Study • Half Moon Bay, Cost Allocation Plan and Citywide User Fee Study • Huntington Beach, GEMT Cost Report • Indio, Cost Allocation Plan and User Fee Study • Los Angeles, Department of City Planning User Fee Study • Morgan Hill, Planning Department User Fee Study Riverside, Cost Allocation Plan and User Fee Study Sacramento, Code Compliance Fees and Penalties Study San Francisco, GEMT Cost Report San Jose, Citywide User Fee Study San Juan Capistrano, Cost Allocation Plan and User Fee Study ® San Luis Obispo, Citywide User Fee Study San Ramon Valley Fire Protection District, Fire Department User Fee Study Santa Clara, Cost Allocation Plan and User Fee Study • Santa Cruz, Citywide User Fee Study 47kCity of Santa Ana S RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 44 Please note: This Non -Collusion Affidavit noting a date of August 15, 2017 that was previously submitted within initial proposal in August 2017 is still in effect as of this revised submission date of September 15, 2017. N BS City of Santa Ana u j RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 45 APPENDIX ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.: 17-051 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall al o constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false eortificaCian! ay subject the certifier to criminal prosecution. Signed State of California County of _Sjversid_e_ Subscribed and sworn to (or affirmed) before me on this day of , 20_, by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Please see attached completed page as required by Notary Notary Public Signature Notary Public Seal City of Santa Ana RFP 17-081 Page 23 CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202 See Attached Document (Notary to cross out lines 1-6 below) See Statement Below (Lines 1-6 to be completed only by document signer[s], not Notary) Signature of Document Signer No, 1 Signature of Document Signer No. 2 (if any) I- - _— A notary public or other officer completing this certificate verifies only the Identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document, State of California County of_� SARINA CAMERON Coaur112810n N 2888188 ,z s. Notary Public • California Riverside County My Camm. Ex Iran Oct S8, 2818 Seal Place Notary Seal Above Subscribed and sworn to (or affirmed) before me on this, day of , 20J 'T, by Date Month Year (and (2) ) Names) of Signer(s) proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Signature Signature of Notary Public OPTIONAL Though this section is optional, completing this information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document t"' Title or Type of Document: (y - ) "i}� OiVa —+ Document Date: iS zof-? Number of Pages: ,,_[ Signer(s) Other Than Named Above: 02014 National Notary Association - www.NationalNotary.org • 1 -800 -US NOTARY (1-800-676-6827) Item #5910 F--AAl:j:j 4 01111 Cy Please note: This Non -Lobbying Certification noting a date of August 18, 2017 that was previously submitted within initial proposal in August 2017 is still in effect as of this revised submission date of September 15, 2017. „,)N I�- City of Santa Ana RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 48 APPENDIX ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.. 17-081 The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. 2. If any funds other than federal appropriated funds have been paid or will he paid to any person for influencing or attempting to influence any officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant loan, loan or cooperative agreement, the undersigned shall complete and subunit a "Disclosure of Lobbying Activities". This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 3l, U. S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $1.0,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal ttrat he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $I(X),000 and that all such sub recipients shall certify and disclose accordingly. Firm NBS Government Finance Group, DBA: NBS Signed and Printed Name: ,y _ David Ketcham Title Vice President Date August 18, 2017 City of Santa Ana RFP 17-081 Page 24 Please note: This Non -Discrimination Certification noting a date of August 18, 2017 that was previously submitted within initial proposal in August 2017 is still in effect as of this revised submission date of September 15, 2017. yy, , B- City of Santa Ana �`� RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment 50 APPENDIX ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS CITY OF SANTA ANA REQUEST FOR PROPOSALS COMPREHENSIVE PROPOSITION 218 FEES AND CHARGES COMPLIANCE ASSESSMENT COMPLIANCE ASSESSMENT RFP NO.: 17-081 The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965,.or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, City of Santa Ana RFP 17-081 Page 25 regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, A contractor shall not discriminate in the employment of persons upon public works on any basis listed in subdivision (a) of Section 12940 of the Government Code, as those bases are defined in Sections 12926 and 12926.1 of the Government Code, except as otherwise provided in Section 12940 of the Government Code. Every contractor for public works who violates this section is subject to all the penalties imposed for a violation of this chapter. Signed: 4 Title: Vice President Firm: NBS Government Finance Group, DBA: NBS Date: August 18, 2017 City of Santa Ana RFP 17-081 Page 26 EXHIBIT B COMPENSATION I 7 J. 411P; lAcdfr CITY OF SANTA ANA Fee Proposal. Comprehensive Proposition 218 Fees and Charges Compliance Assessment RFP No. 17-081 September 15, 2017 i J s TIW AMMY x; Y i .i. 32605 Temecula Parkway, Suite 100 Temecula, CA 92592 Toll free: 800.676.7516 (P) 951.296.1997 www.npsgov.com September 15, 2017 Robert Cortez Deputy City Manager, Project Manager City of Santa Ana City Manager's Office 20 Civic Center Plaza, 8th Floor Reception Santa Ana, CA 92701 RE: Fee Proposal — RFP No. 17-081 Comprehensive Proposition 218 Fees and Charges Compliance Assessment Dear Mr. Cortez, Thank you for considering our proposal for the City's Comprehensive Proposition 218 Fees and Charges Compliance Assessment. The table on the next page summarizes our fee proposal for this study. Please do not hesitate to contact me, at either 951.233.7050 (cell), 800.676.7516 (office) or at kboehler@nbsgov.com if you have any questions about our proposal. Sincerely, Kim Boehler Associate Director David Ketcham Vice President Our detailed project budget is shown on the following pages. Our professional fees are based on our understanding of the District's needs and the effort we believe is necessary to complete the scope of services described in our proposal. We express this honestly and transparently through our price proposal. Work will be performed on a time and materials basis, at the hourly labor rates show in the budget table below with a not to exceed fee of either $92,560 or $111,970 (depending on the approach chosen for the Federal Clean Water Protection evaluation). Two approaches are described in our scope of work for the Federal Clean Water Protection evaluation, and the City should choose the one that best meets its needs and objectives. Additional services requested, such as additional meetings or additional iterations of the analysis, can be provided based on the hourly labor rates shown in the following tables. All tasks would be mutually agreed upon by NBS and the City prior to proceeding. The following pages are intentionally formatted differently to improve legibility. C) N S RIFP 17-081 Fee Proposal 1. Kick-off Meeting & Data Collection 18.0 18.0 2.0 38.0 $8,290 2. Assessment of Enterprise Fund Rates, Fees & Charges -i-f- Evaluation of Enterprise Fund Rates 2.1.A-Water 12.0 22.0 4.0 - 38.0 $7,986 2. 1. B - Sanitary Sewer 10.0 200 40 - 34.0 $7,090 2. 1.0 - Refuse Collection ... ............... ........... ..... .... ......... ..................... ......... . .... ................ 20.0 10.0 4.0 - 34.0 $7,540 ... .... .... 2.1.D - Federal Clean Water Protection . .................... . .. ... . .. . .. . ... . .. . .... .. . ... ... .................. ....... . .. . Aqorqqch #1 12.0 22,0 . . . . .......... 34.0 $7,340 ---------- ---- Approach #2' 3801 40.0 31.0 24.0 140.0 ,,266 Task 2.1 Subtotal (vi4roach #1 forFederal door) Water) L �4fl �8 '74,0 140.0 $29,950 2, 9 Task 1.1 Subtotal (WApproach #2 for Federal Clean Water): 92.0] 50.0 240 490 0 City of Santa Ana 4DNBad RFP 17-091 Fee Proposal Consultant Labor (H I oursk, Grand Totals Comprehensive Proposition 2"' Fees and Charges Compliance Assessn , nt, continued lumpn,r, anagor enry .. 2.2 -Evaluation of Direct/ Indirect / Cross Charges 2.2.A- Conduct an Orientation Meeting with City Staff 6.0 6.0 - 12.0 $2,670 2.2.B- Understand Existing Conditions 10.0 10.0 - 20.0 $4,450 2.2.0 - Document Findings and Recommendations 12.0 12.0 - 8.0 32.0 $6,460 2.20 - Support and Review of Analytical Modifications 4.0 4.0 - - 8.0 $1,780 Tak22.80btotal 32.0 ;32.0A! 72sU - $�5,36q 2.3 - Evaluation of Land Development and Permit Operation Fees ,2.13....A Conduct an Orientation Meetm$,with City Staff 6.0 6.0 $2,670 2.3.B -Understand Existin a Conditions 16.0 160 - ,12.0 32.0 $7,120 2.3.0 - Document Findings and Recommendations 12.0 12.0 8.0 32.0 $6,460 2.3.D- Support and Review of Analytical Modifications 4.0 4.0 - - 8.0 $1,780 1aSk'?.3$uht4tal 3$.0 38:0 "$.0 $d0 $ 10,030; 3. Prepare Final Confidential White Paper 10.0 22.0 - 32.0 $6.850 4. Meetings with City Staff & Council (two total) 24.0 32.0 - 56.0 $12,280 q 'r its needs and objectives. City of Santa Ana �T, ) N RFP 1T081 Fee Proposal NBSGOVE-01 AIRATHR '°CORLY CERTIFICATE OF LIABILITY INSURANCE91119/20171912017 DAT 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 have ADDITIONAL INSURED provisions or 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 CONT ACT INSURED Services, Inc. I PHONE FAX 200 ac Nu, Eat): (868) 889.8300 aC, No: (t 858) 869-8301 NBS Government Finance Group 32606 Temecula Parkway, Suite 100 & 101 Temecula, CA 92592 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 CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALLY HE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR --- ADDL SUER LT TYPE AB INSURANCE INSD __ POLICY NUMBER ._ POLICY EFF POLICY EXP ODtYi'Y yy LIMITS Santa Ana, CA 92702-1988 A X- COMMERCIALGENERALLIAEILFY EACH OCCURRENCE 2,000,000 CLAIMS -MADE FX711 OCCUR X X OH3A431963 09124/2017 0912412016 °REAGESOERENTED a $� 2,000,000 MED EXP An one rson 10'000 PERSONAL &AOV INJURY $ 2'000'000 GEN'L AGGREGATE LIMIT APPLIES PER: AGGREGATE 4,000,000 X1 POLICY L.� jELPT LOC _GENERAL _$ PRODUCTS-COMPIOPAGG _.. 4,000,000 OTHER:.._, B AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT m EA awitle 1 _ 1,000,000 X ANY AUro X X AW3A427458 09/24/2017 09/24/2018 BODILYINJUaY OWNED SCHEDULED AIU'ro�pD ONLY AUTOS BODILY INJURY Per accitl $ _,_„ pp XTA ONLY ABIOS ON LY PROPERTY DAMAGE Per accitlent $ A X UMBRELLA UAB X OCCUR EACH OCCURRENCE 1.000,000 EXCESS UAB I I CLAIMS -MADE OH3A431963 _$ 09/2412017 0912412018 AGGREGATE $ 1,000,000 OED RETENTION$ A COMPENSATION OTh4 X SE AND EMPLOYERS'DASILITY AND EMPLOYERS' YIN X WH3A42745704 --- 09/24/2017 09/24/2018 1,000,000 ANY PROPRIETOR/PARTNER/EXECUTIVE E.L. EACH ACCIDENT $ 0pFILER/M M6ER EXCLUDED? NIA 1'000'000 (MandatoryENH) E.L. DISEASE - EA EMPLOYEE $ If yas describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE-POLICYLIMIT $ 1,000,000 C E&O/Professional Lia VCPLO65285 09/24/2017 09/24/2018 Annual Aggregate 2,000,000 C E&O/Profosslonal Lia VOPLOO6285 09/24/2017 09/24/2018 Each Wrongful Act 2,000,000 DESCRIPTION OF OPERATIONS/ LOCATIONS I VEHICLES (ACORO 101, Additional Remarks Schedule, maybe attached Irmore space is required) City of Santa Ana, its officers, employees, agents, volunteers and representatives are named additional Insured regarding General Liability. Blanket forms apply when required by written contract: GENERAL LIABILITY: Additional Insured -Special Broadening Endt: 391-1006 08 16 Additional Insured -Completed Operations: 391-1602 0816 Primary & Non -Contributory: 391.1003 0816v (Jv� ilvu (t Waiver of Subrogation: 391-1003 08 16 SEE ATTACHED ACORD 101 CERTIFICATE HOLDER CANCELLATION ACORD 26 (2016103) ©1988-2015 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 Cit of Santa Ana Y THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. 20 Civic Center Plaza (M-30) P.O. Box 1988 -- AUTHORIZED REPRESENTATIVE Santa Ana, CA 92702-1988 ACORD 26 (2016103) ©1988-2015 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD #083A431963 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. BUSINESSOWNERS LIABILITY SPECIAL BROADENING ENDORSEMENT This endorsement modifies insurance provided under the following: BUSINESSOWNERS COVERAGE FORM SUMMARY OF COVERAGES Limits Page 1. Additional Insured by Contract, Agreement or Permit Included 1 2, Additional Insured -Broad Form Vendors Included -- 2 3. Alienated Premises Included 3 4. Broad Form Property Damage - Borrows qu pment, Cua omera Goods and Use of Elevators Included 3 8. Incidental Malpractice (Employed Nurses, EMT's and Paramedics) Included 3 8. Personal and Advertising Injury - Broad Form Included 4 Included 4 Product Recall Expense Each Occurrence Limit $25,000 Occurrence 5 Product Recall Expense Aggregate Limit $50,000 Aggregate 5 Product Recall Deductible $500 5 a. Unintentional Failure to Disclose Hazards Included 6 9. Unintentional Failure to Notify Included 6 This endorsement amends coverages provided under the Businessowners Coverage Form through new coverages and broader coverage grants. This coverage Is subject to the provisions applicable to the Businessowners Coverage Form, except as provided below. The following changes are made to SECTION II LIABILITY: 1. Additional Insured by Contract, Agreement or Permit The following is added to SECTION II - LIABILITY, C. Who Is An Insured: Additional Insured by Contract, Agreement or Permit a. Any person or organization with whom you agreed in a written contract, written agreement or permit to add such person or organization as an additional insured on your policy is an additional Insured only with respect to liability for "bodily Injury", "property damage", or "personal and advertising injury" caused, In whole or in part, by your acts or omissions, or the acts or omissions of those acting on your behalf, but only with respect to: (1) "Your work" for the additional Insured(s) designated In the contract, agreement or permit; (2) Premises you own, rent, lease or occupy; or (3) Your maintenance, operation or use of equipment leased to you. b. The insurance afforded to such additional Insured described above: (1) Only applies to the extent permitted by law; and (2) Will not be broader than the insurance which you are required by the contract, agreement or permit to provide for such additional insured. (3) Applies on a primary basis if that is required by the written contract, written agreement or permit. (4) Will not be broader than coverage provided to any other insured. (5) Does not apply If the "bodily Injury", "property damage" or "personal and advertising Injury"Is otherwise excluded from coverage under this Coverage Part, Including any endorsements thereto, 391A006 08 16 Includes copyrighted materials of Insurance Services Offices, Inc., with Its permission. Page 1 of 6 (3) Any physical or chemical change In the product made Intentionally by the vendor; (4) Repackaging, unless unpacked solely for the purpose of inspection, demonstration, testing, or the substitution of parts under instruction from the manufacturer, and then repackaged in the original container; (5) Any failure to make such Inspection, adjustments, tests or servicing as the vendor has agreed to make or normally undertakes to make in the usual course of business in connection with the sale of the product; (6) Demonstration, installation, servicing or repair operations, except such operations performed at the vendor's premises in connection with the sale of the product; (7) Products which, after distribution or sale by you, have been labeled or relabeled or used as' a container, part or Ingredient of any other thing or substance by or for the vendor; (8) "Bodily injury" or "property damage" arising out of the sole negligence of the vendor for Its own acts or omisslons or those of Its employees or anyone else acting on Its behalf. However, this exclusion does not apply to: (a) The exceptions contained within the exclusion in subparagraphs (4) or (6) above; or (b) Such inspections, adjustments, tests or servicing as the vendor has agreed to make or normally undertakes to make in the usual course of business, In connection with the distribution or sale of the products, (9) "Bodily Injury" or "property damage" place before you have signed the contract or agreement with the vendor. (10)To any person or organizationIncluded as an insured by another endorsement issued by us and made part of this Coverage Part. (11)Any Insured person or organization, from whom you have acquired such products, or any Ingredient, part or container, entering Into, accompanying or containing such products. d. With respect to the insurance afforded to these vendors, the following is added to SECTION II - LIABILITY, D. Liability and Medical Expense Limits of Insurance: The most we will pay on behalf of the vendor for a covered claim is the lesser of the amount of Insurance: 1. Required by the contract or agreement described in Paragraph a.; or 2. Available under the applicable Limits of Insurance shown in the Declarations; This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. 3. Alienated Premises SECTION II - LIABILITY, B. Exclusions, 1. Applicable To Business Liability Coverage k. Damng0 to Property, paragraph (2) Is replaced by the following: (2) Premises you sell, give away or abandon, If the "property damage" arises out of any part of those premises and occurred from hazards that were known by you, or should have reasonably been known by you, at the time the property was transferred or abandoned. 4. Broad Form Properly Damage - Borrowed Equipment, Customers Goods, Use of Elevators a. The following is added to SECTION If - LIABILITY, B. Exclusions, 1. Applicable To Business Liability Coverage, k. Damage to Property; Paragraph (4) does not apply to "property damage" to borrowed equipment while at a jobsite and not being used to perform operations. Paragraph (3), (4) and (6) do not apply to "property damage" to "customers goods" while on your premises nor to the use of elevators. b. For the purposes of this endorsement, the following definition is added to SECTION It - LIABILITY, F. Liability and Medical Expenses Definitions: 1, "Customers goods" means property of your customer on your premises for the purpose of being: a. Worked on; or b. Used in your manufacturing process. c. The insurance afforded under this provision is excess over any other valid and collectible property Insurance (including deductible) available to the insured whether primary, excess, contingent or on any other basis. S. Incidental Malpractice - Employed Nurses, EMT's and Paramedics SECTION 11 - LIABILITY, C. Who Is An Insured, paragraph 2.a.(1)(d) does not apply to a nurse, 391.1006 08 16 Includes copyrighted materials of Insurance Services Offices, Inc„ with Its permission. Page 3 of 6 c. The following is added to SECTION II - LIABILITY, D. Liability and Medical Expenses Limits of insurance: Product Recall Expense Limits of Insurance a. The Limits of Insurance shown in the SUMMARY OF COVERAGES of this endorsement and the rules stated below fix the most that we will pay under this Product Recall Expense Coverage regardless of the number of: (1) Insureds; (2) "Covered Recalls" initiated; or (3) Number of "your products" withdrawn. b. The Product Recall Expense Aggregate Limit Is the most that we will reimburse you for the sum of all "product recall expenses" Incurred for all "covered recalls" initiated during the policy period. c. The Product Recall Each Occurrence Limit is the most we will pay in connection with any one defect or deficiency. of a deductible amount, you shall promptly reimburse us for the part of the deductible amount we paid. The Product Recall Expense Limits of Insurance apply separately to each consecutive annual period and to any remaining period of less than 12 months, starting with the beginning of the policy period shown in the Declarations, unless the policy period is extended after issuance for an additional period of less than 12 months. In that case, the additional period will be deemed part of the last preceding period for the purposes of determining the Limits of Insurance. d. The following Is added to SECTION II LIABILITY, E. Liability and Medical Expense General Conditions, 2. Duties In the Event of Occurrence, Offense, Claim or Suit; You must see to It that the following are done in the event of an actual or anticipated "covered recall" that may result in "product recall expense": d. All "product recall expenses" in connection with substantially the same general harmful condition will be deemed to arise out of the same defect or deficiency and considered one "occurrence". e. Any amount reimbursed for "product recall expenses" In connection with any one "occurrence" will reduce the amount of the Product Recall Expense Aggregate Limit available for reimbursement of "product recall expenses" In connection e• with any other defect or deficiency, f, If the Product Recall Expense Aggregate Limit has been reduced by reimbursement of "product recall expenses" to an amount that is less than the Product Recall Expense Each Occurrence Limit, the remaining Aggregate Limit is the most that will be available for reimbursement of "product recall expenses" in connection with any other defect or deficiency. g. Product Recall Deductible We will only pay for the amount of "product recall expenses,, which are in excess of the $800 Product Recall Deductible. The Product Recall Deductible applies separately to each "covered recall". The limits of insurance will not be reduced by the amount of this deductible. We may, or will If required by law, pay all or any part of any deductible amount, if applicable. Upon notice of our payment (1) Give us prompt notice of any discovery or notification that "your product" must be withdrawn or recalled. Include a description of "your product' and the reason for the withdrawal or recall; (2) Cease any further release, shipment, consignment or any other method of distribution of like or similar products until it has been determined that all such products are free from defects that could be a cause of loss under this Insurance. For the purpose of this endorsement, the following definitions are added to SECTION II . LIABILITY, F. Liability and Medical Expenses Degnitlons; 1. "Covered recall' means a recall made necessary because you or a government body has determined that a known or suspected defect, deficiency, inadequacy, or dangerous condition in 'your product' has resulted or will result in "bodily injury" or "property damage". 2. "Product recall expense(s)" means: a. Necessary and reasonable expenses for: (1) Communications, Including radio or television announcements or printed advertisements including stationary, envelopes and postage; 391-100609 16 Includes copyrighted materials of Insurance Services Offices, Inc., with its permission. Page 6 of 6 80113A431963 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - OWNERS, LESSEES OR CONTRACTORS - COMPLETED OPERATIONS This endorsement modifies insurance provided under the following; BUSINESSOWNERS COVERAGE FORM SCHEDULE Name Of Person Or Organization Location And Description Of Completed Operations ANY PERSON OR ORGANIZATION WHEN REQUIR AS REQUIRED BY CONTRACT (it no entry appears above, information required to complete this endorsement will be shown in the Declarations as applicable to this endorsement.) For the purpose of coverage provided by this endorsement, the following changes are made to SECTION II - LIABILITY: A. The following is added to SECTION If - LIABILITY, C. Who Is An Insured: Any person or organization shown in the Schedule above Is also an additional Insured, but only with respect to liability for "bodlly Injury" or "property damage" caused, In whole or in part, by "your work" at the location designated and described in the Schedule above, performed for that additional Insured and Included In the "products -completed operations hazard". However: 1. The insurance afforded to such additional Insured only applies to the extent permitted by law; and 2. If coverage provided to the additional Insured is required by a contract or agreement, the Insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. B. The following is added to SECTION II - LIABILITY, D. Liability And Medical Expenses Limits Of Insurance: If coverage provided to the additional insured Is required by a contract or agreement, the most we will pay on behalf of the additional insured is the amount of Insurance: 1. Required by the contract or agreement; or 2. Available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. ALL OTHER TERMS, CONDITIONS AND EXCLUSIONS REMAIN UNCHANGED, 891.1602 08 16 Includes copyrighted material of Insurance Services Office, Inc., with Its,parmiselon. Page 1 of 1 insured's rights against all those other Insurers. c, When this insurance Is excess over other Insurance, we will pay only our share of the amount of the loss, If any, that exceeds the sum of; (1) The total amount that all such other Insurance would pay for the loss in the absence of this Insurance; and (2) The total of all deductible and self-insured amounts under all that other Insurance. d. We will share the remaining loss, If any, with any other Insurance that is not described In this provision and was not bought specifically to apply in excess of the Limits of Insurance shown in the Declarations for this Coverage. e. Method of Sharing If all of the other Insurance permits contribution by equal shares, we will follow this method also, Under this approach each Insurer contributes equal amounts until It has paid Its applicable Limit of Insurance or none of the loss remains, whichever comes first. If any of the other Insurance does not permit contribution by equal shares, we will contribute by limits. Under this method, each insurer's share is based on the ratio of its applicable Limit of Insurance to the total applicable limits of insurance of all insurers. E When this Insurance Is excess, we will have no duty under Business Liability Coverage to defend any claim or "suit" that any other insurer has a duty to defend. If no other insurer defends, we will undertake to do so; but we will be entitled to the insured's rights against all those other insurers. Premiums 1. The first Named Insured shown In the Declarations: a, Is responsible for the payment of all premiums; and b. Will be the payee for any return premiums we pay. 2. The premium shown in the Declarations was computed based on rates in effect at the time the policy was Issued. On each renewal, continuation or anniversary of the effective date of this policy, we will compute the premium In accordance with our rates and rules then in effect. 3. With our consent, you may continue this policy In force by paying a continuation premium for each successive one-year period. The premium must be; a. Paid to us prior to the anniversary date; and b. Determined In accordance with paragraph 2. above. Our forms then in effect will apply. If you do not pay the continuation premium, this policy will expire on the first anniversary date that we have not received the premium. 4. Undeclared exposures or change in your business operation, acquisition or use of locations may occur during the policy period that Is not shown in the Declarations. If so, we may require an additional premium. That premium will be determined in accordance with our rates and rules then in effect. J, Premium Audit 1. This policy is subject to audit if a premium designated as an advance premium Is shown In the Declarations. We will compute the final premium due when we determine your actual exposures. 2. Premium shown in this policy as advance premium is a deposit premium only. At the close of each audit period, we will compute the earned premium for that period and send notice to the first Named Insured. The due date for audit premiums Is the date shown as the due date on the bill. If the sum of the advance and audit premiums paid for the policy period is greater than the earned premium, we will return the excess to the first Named Insured. 3, The first Named Insured must keep records of the Information we need for premium computation and send us copies at such times as we may request, K. Transfer of Rights of Recovery Against Others to Us 1, Applicable to SECTION I - PROPERTY Coverage: If any person or organization to or for whom we make payment under this policy has rights to recover damages from another, those rights are transferred to us to the extent of our payment. That person or organization must do everything necessary to secure our rights and must do nothing after loss to impair them. Sul you may waive your rights against another party in writing: 391-1003 08 16 Includes copyrighted material of Insurance Services Office, Inc., with Its permission, Page 00 of 81 r�rkyr nneeroup. AW3A427458 1001554 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. BLANKET ADDITIONAL INSURED - PRIMARY AND NON-CONTRIBUTORY This endorsement modifies Insurance provided under the following: BUSINESS AUTO COVERAGE PART A. The following is added to SECTION II - LIABILITY COVERAGE, Paragraph A.1. Who Is An Insured; Additional Insured If Required by Contract If you agree in a written contract, written agreement or written permit that a person or organization be added as an additlonal "Insured" under this Coverage Part, such person or organization is an "Insured"; but only to the extent that such person or organization qualifies as an "Insured" under paragraph A.1.c. of this Section. If you agree in a written contract, written agreement or written permit that a person or organization be added as an additional "Insured" under this Coverage Part, the most we will pay on behalf of such additional "insured" Is the lesser of: (1) The Limits of Insurance for liability coverage specified in the written contract, written agreement or written permit; or (2) The Limits of Insurance for Liability Coverage shown in the Declarations applicable to this Coverage Pert. Such amount shall be part of and not In addition to the Limits o1 Insurance shown In the Declarations applicable to this Coverage Part. Regardless of the number of covered "autos", "Insureds", premiums paid, claims made or vehicles involved In the "accident", the most we will pay for the total of all damages and "covered pollution cost or expense" combined resulting from any one "accident' Is the Limit of Insurance for Liability Coverage shown in the Declarations. B. The following is added to SECTION IV - BUSINESS AUTO CONDITIONS, Paragraph B. General Conditions, subparagraph 5. Other Insurance: Primary and Non -Contributory If you agree in a written contract, written agreement or written permit that the Insurance provided to a person or organization who qualifies as an additional "Insured" under SECTION II - LIABILITY COVERAGE, Paragraph A.1, Who Is An Insured, subparagraph Additional Insured If Required by Contract is primary and non-contributory, the following applies: The liability coverage provided by this Coverage Part is primary to any other insurance available to the additional "insured" as a Named Insured. We will not seek contribution from any other Insurance available to the additional "insured" except: (1) For the sole negligence of the additional "insured"; or (2) For negligence arising out of the ownership, maintenance or use of any "auto" not owned by the additional "insured" or by you, unless that "auto' Is a "trailer" connected to an "auto' owned by the additional "insured" or by you; or (3) When the additional "Insured" is also an additional "Insured" under another liability policy. C. This endorsement will apply only if the "accident" occurs: 1. During the policy period; 2. Subsequent to the execution of the written contract or written agreement or the issuance of the written permit; and 3. Prior to the expiration of the period of time that the written contract, written agreement or written permit requires such Insurance to be provided to the additional "Insured". D. Coverage provided to an additional "Insured" will not be broader than coverage provided to any other "insured" under this Coverage Part. ALL OTHER TERMS, CONDITIONS, AND EXCLUSIONS REMAIN UNCHANGED, Vj461-0478 12 12 Includes copyrighted material of ISO Insurance Services Office, Inc., with Its permission Page i of 1 tae?l The F-1angy Insurance Group_ WH3A427457 1001554 WAIVER OF OUR RIGHT TO RECOVER FROM OTHERS ENDORSEMENT -CALIFORNIA We have the right to recover our payments from anyone liable for an Injury covered by this policy. We will not enforce our right against the person or organization named In the Schedule, (This agreement applies only to the extent that you perform work under a written contract that requires you to obtain this agreement from us.) You must maintain payroll records accurately segregating the remuneration of your employees while engaged in the work described in the Soho uls. The additional premium for this endorsement shall be g_% of the California workers' compensation premium otherwise due on such remuneration, Schedule Person or Organization Job Description ONLY WHERE REQUIRED BY CONTRACT This endorsement changes the policy to which it is attached and is effective on the date issued unless otherwise stated, (The information below is required only when this endorsement is Issued subsequent to preparation of the policy.) Endorsement Effective 9/24/17 Policy No. W10 -A427457-04 Endorsement No, Insured NNS GOVERIOGM FINANCE GROUP Premium $ Insurance Com party THE HAN OVER INSURANCE COMPANY Countersigned By, .� lr C N4�r WC 04 03 06 (Ed. 04-84) NRRr.nvF-n1 RFIMFI AG ORO' CERTIFICATE OF LIABILITY INSURANCE ✓" DATE (MMIDDNWV) 0912712018 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 pollcy(les) must have ADDITIONAL INSURED provisions or 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 suchp endorsement(s). PRODUCER LICense # OL48969 NA FACT PHONE 619 233-8000 AIC, N.):(619)864-7106 (AIC, No, Eat): ( ) C3 Risk & Insurance Services 404 Camino Del Rio S. STE 410 San Diego, CA 92108 ADOaEEE, policy@c3insurance.com INSURERS AFFORDING COVERAGE NAICk INSURERA: Hanover Insurance Company 22292 INSURED INSURERB:Agmerica Financial Benefit Insurance Company 41840 INSURER C: Underwriters at Lloyds of London 15792 NBS Government Finance Group INSURER D: 32605 Temecula Parkway, Suite 100 Temecula, CA 92592 INSURER E INSURER F: 09/2412018 rn%/FRAnF;A rFRTWICATF NI)MRPR• RFVIRION NIIMRFRu 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 CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE 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 SUBR POLICY NUMBER POLICY EFF MMIOD/YYW POLICY EXP MMIDDIP/W LIMITS A X COMMERCIAL GENERAL LIABILITY EACH OCCURRENCE 2,000,000 CLAIMS -MADE OCCUR X X OH3A43196305 09/2412018 09/24/2019 DAMAGE TO RENTED EBEM15E5 (EP $ 2'000,000 MED EXP (Any oneperson) $ 10,000 PERSONAL &ADV INJURY $ 2'000'000 AGGREGATE LIMIT APPLIES PER POLICY F] nRa [_] LOC GENERAL AGGREGATE $ 4,000'000 GEN'L X PRODUCTS-COMPIOPAGG $ 4,000'000 OTHER: B AUTOMOBILE LIABILITY (CEeaBc:EEDtSINGLE LIMIT $ 1,000,000 aODILY INJURY Per erson $ X_ ANY AUTO X X AW3A42745805 09/24/2018 0912412019 BODILYBgODILY INJURY Per accident $ OWNED SCHEDULED AUTOS ONLY AUTOS PA,)"I My AMAGE $ -- A67D ONLY ACTNO ONL� A X UMBRELLA LIAB X OCCUR EACH OCCURRENCE $ 1,000,000 AGGREGATE $ 1,000'000 EXCESS LIAB CLAIMS -MADE OH3A43196305 09/24/2018 09/24/2019 DED RETENTION $ $ A WORKERS COMPENSATION AND EMPLOYERS' LIABILIry ANYPROPEMBEREXCLUDED? CUTIVE YIN OFFICERIMEMBER EXCLUDED? (Mandatory in NH) NIA X WH3A427457 09/24/2018 09/24/2019 XSTATUTE ERH E.L. EACH ACCIDENT 1,000,000 E.L. DISEASE -EA EMPLOYE $ 1,000,000 E.L. DISEASE -POLICY LIMIT $ 1,000,000 ryes, describe under DESCRIPTION OF OPERATIONS below C E&O/Professional Lia TPLOODOO5601 09/24/2018 09/2412019 Ea. Claim/Aggregate 2,000,000 C E&O/Professional Lia TPL000005601 09/24/2018 09/24/2019 Retention 20,000 DESCRIPTION OF OPERATIONS / LOCATIONS I VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more apace is required) City of Santa Ana, its officers, employees, agents, volunteers and representatives are named additional insured regarding General Liability. Blanketforms apply when required by written contract: GENERAL LIABILITY: Additional Insured -Special Broadening Endt: 391.10060816 Additional Insured -Completed Operations: 391.1602 0816 Primary & Non -Contributory: 391.1003 08 16 Waiver of Subrogation: 391-1003 08 16 SEE ATTACHED ACORD 101 r PPTICIr ATP Lint nPD r.ANrPI I ATInN ACORD 25 (2016103) ©1988-2015 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD M ON t� V SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE Cit of Santa Ana Y THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. 20 Civic Center Plaza (M-30) P.O. Box 1988 AUTHORIZED REPRESENTATIVE Santa Ana, CA 92702 ACORD 25 (2016103) ©1988-2015 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD M ON t� V ACC?RO' AGENCY CUSTOMER ID: NBSGOVE-01 LOC #: 1 ADDITIONAL REMARKS SCHEDULE SEIME1 Page 1 of 1 AGENCY License# OL48969 NAMED INSURED 3 Risk & Insurance Services NBS Government Finance Group 32605 Temecula Parkway, Suite 100 Temecula, CA 92592 POLICY NUMBER EE PAGE 1 CARRIER NAIC CODE EE PAGE 1 SEE P 1 EFFECTIVE DATE: SEE PAGE 1 THIS ADDITIONAL REMARKS FORM IS A SCHEDULE TO ACORD FORM, FORM NUMBER: ACORD 25 FORM TITLE: Certificate of Liability Insurance Description of Operations/LocatlonsNehicles: AUTO: Additional Insured: 461-0478 12 12 Primary & Non -Contributory: 461-0478 12 12 Waiver of Subrogation: 461-0155 9 97 WORKERS' COMPENSATION: Waiver of Subrogation: WC040306 4-84 *In the event of cancellation, 30 days notice (10 days for nonpayment) will be issued according to policy provisions. ACORD 101 (2008/01) © 2008 ACORD CORPORATION. All rights reserved. The ACORD name and logo are registered marks of ACORD