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City of Santa Ana, California Proposal for Municipal Financial Advisory Services March 12, 2020 2. Agreement Statement UFI has reviewed the Standard Agreement of this RFP in Exhibit 1 and we concur with all provisions. 3. Firm and Team Experience a. Firm Qualifications i. Company background Since 1972, UFI has provided municipal advisory services to California cities, counties, special districts, schools, community colleges, and non -profits. UFI is one of the top municipal advisory firms in the State, having led more transactions than any other firm over the past three years. We are registered as an Independent Registered Municipal Advisor (IRMA) with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC). We are staffed with 21 professionals in three California office locations: Tustin (12), Daly City (2), and Walnut Creek (7). We are assigning a total of five financial advisors to work directly on this engagement. Our financial advisory professionals have passed the MSRB Series SO Municipal Advisor Representative examination. UFI is a California -based, California -focused firm. What differentiates us from our peers is the comprehensive municipal services that we provide to our clients, making us a "one -stop shop' for financial solutions. Rather than seeking different consultants to address discrete financial issues on a piecemeal basis, clients engage our firm to provide them with services ranging from municipal advisory assignments for issuance of bonds to pension and OPEB modeling. We can produce an accurate picture of an agency's current financial status, a long-term projection of its financial performance, and a fiscal sustainability plan that includes revenue measures and expense reductions (including management of pension liabilities). We help staff evaluate and implement various financing options for priority projects (including bonds, revolving lines of credit, and State and Federal loan programs) and refinancing opportunities, and we provide post -issuance compliance services. UFI provides these services through its two main divisions: Public Finance Division supports the issuance of debt including lease revenue bonds, water and sewer revenue bonds, certificates of participation, general obligation bonds, special tax and benefit assessment bonds, tax allocation bonds, pension obligation bonds, and privately placed loans. Public Management Division' offers fiscal sustainability planning, financial forecasting, special studies, and performance improvement services, including pension & OPEB modeling. • Analytics and Compliance Group' provides services related to continuing disclosure, arbitrage rebate, and CDIAC reporting compliance. Our clients have put their trust in UFI over its 47-year history. In many cases, UFI has been on the leading edge of municipal advisory activities and public finance management. We are the only municipal advisory firm in the nation to lead a municipality through a chapter 9 bankruptcy having restructured debt and pension obligations as well as successfully issued two insured utility bonds while in bankruptcy. In anticipation of the impact of growing pension liabilities on municipal budgets, UFI created the Pension Non -MA Services 9UFI 25F-21