Loading...
HomeMy WebLinkAbout FULL AGENDA PACKET_2021-05-18City Council Meeting Packet May 18, 2021 CLOSED SESSION MEETING - 5:00 PM REGULAR OPEN MEETING - 5:45 PM (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92/01 3,,r! I 'm p.r•n,%mr ^; ,. . I ,,Br' e mt11 I r 9 [pf Cn— o,. "a+. ° rpr dlAr r, m ref p n:: A tttl ',gip ,`n/.. R m,n "?. R UU U 3 r� r, U tt R,. ¶ at n U p,,, U R r, tr Irnw 11 Vicente Sarmiento Mayor Thai Viet Phan Councilmember —Ward 1 Jessie Lopez Councilmember- Ward 3 Johnathan Ryan Hernandez Councilmember- Ward 5 David Penaloza Mayor Pro Tern - Ward 2 Phil Bacerra Councilmember- Ward 4 Nelida Mendoza Councilmember- Ward 6 Mayor and Council telephone: 714-647-6900 Agenda item inquiries: 714-647-6520 Sonia R. Carvalho Kristine Ridge City Attorney City Manager Daisy Gomez Clerk of the Council In compliance with the American:; with Disabilities Act (ADA), if you need special assistance to participate in this Maeting, contact Michael Ortiz. City ADA Program Coordinator, at (714) 647-5624. Notification 43 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation ran be found on the City's wehsita—wwwsan[a-ana.org/city-meatinys. City Council 1 5/18/2021 CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows. Vision - The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate Enriched and diverse culture • Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles- Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility Innovation • Transparency Code of Ethics and Conduct - At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency City Council 2 5/18/2021 Due to Governor Gavin Newsom's Executive Order and the City Council's Proclamation of Local Emergency, there will be no in -person meeting location for members of the public to attend the City Council meeting. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at,ul.vy.m/,on CTV3, available on Spectrum channel 3 and AT&T U-verse channel 99. PUBLIC COMMENTS — Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by: 1. MAILING OPTION written communications — Public comments may be mailed to: Office of the Clerk of the Council, 20 Civic Center Plaza M-30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. 2. SENDING E-MAIL OPTION — Public comments may be sent via email to the City Clerk's office at!:lrK! rr6rrsa r�l(i iir anla n .=rrc . Please note the agenda item you are commenting on in the subject line of the email. All emails received before 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. 3. PROVIDING LIVE COMMENTS OPTION — Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser.Y.:l:t .;;i ((�q J?.?uy. .::zf,)j�tr,,Ual . To join the Conference Call: Dial (669) 900-9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for i) general public comment, ii) to speak on a specific agenda item or iii) for a public hearing item. You may request to speak by dialing "9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller's phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS — You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL BY 5:00 p.m. Speakers who are not in the speaker queue by 5:00 p.m. will not be permitted to speak. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON -AGENDA ITEMS (GENERAL PUBLIC COMMEN 1) — You can provide comments byjoining Loam or the Conference Call as described in the LIVE COMMENTS OPTION above. Speaker queue will open at 4:30 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL PRIOR TO 6:00 p.m. Speakers who are not in the speaker queue by 6:00 p.m. will not be permitted to speak. City Council 3 5/18/2021 LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS — You can provide comments by joining Zoom or the Conference Call as described in the LIVE COMMENTS OPTION above. Speakers not in the queue by 6:00 p.m. will not be permitted to speak. About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball ) or download a pdf (the cloud symbol with the down arrow ). CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tom Mayor City Manager City Attorney Clerk of the Council Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza Thai Viet Phan Vicente Sarmiento Kristine Ridge Sonia R. Carvalho Daisy Gomez PUBLIC COMMENTS — Members of the public may address the City Council on Closed Session items. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: CLOSED SESSION REPORT —The City Attorney will report on any action(s) to betaken at the Regular Open Session which will begin immediately following the Closed Session. 1. CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8. Address of Property: 625 S. Cypress Avenue, Santa Ana, CA 92701 (APN# 404-102- 06) Negotiators: City Manager Kristine Ridge Negotiating Party: T.R. Customs, Owner, Taylor J. Rudd City Council 4 5/18/2021 Terms- Potential Sale of Cypress Fire Station 2. CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. City of Santa Ana v. County of Orange, et al, United States District Court Case No. SA CV 20-0069-DOG (DFMx) B. Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) C. City of Santa Ana v. County of Orange, et al., (Cross -Complaint), U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) RECESS — City Council will recess to Closed Session for the purpose of conducting regular City business. RECONVENE — City Council will reconvene to continue regular City business. City Council 5 5/18/2021 CALL TO ORDER INVOCATION Mayor Sarmiento Bob Barnett, Police Chaplain CEREMONIAL PRESENTATIONS 1. Proclamation presented by Councilmember Bacerra recognizing May 16th — 22nd, 2021 as National Public Works Week. 2. Certificate of Recognition presented by Councilmember Hernandez to Sarinana's Tamale Factory for Outstanding Contributions to the Community. 3. Certificate of Recognition presented by Councilmember Mendoza to Verenice Cuella, El Pico de Gallo Grill for Outstanding Contributions to the Community. 4. Proclamation presented by Councilmember Phan recognizing May as Asian American and Pacific Islander Heritage Month. STAFF PRESENTATIONS 5. COVID-19 Update in the Community. CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENT— Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. RECOMMENDED ACT/ON: Approve staff recommendations on the following Consent Calendar Items: 6 through 20. 6. Excused Absences Department(s): Clerk of the Council Recommended Action: Excuse the absent members. 7. Receive and File Quarterly Report of Contracts COVID-19 and non-COVID-19 Related City Council 6 5/18/2021 up to $50,000 for Non -Public Works and rip to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Seclion 421 Department(s): Finance and Management Services Recommended Action: Receive and file Quarterly Report of Contracts (COVID-19 and non-COVID-19 related) entered into between January 1, 2021 to March 31, 2021, valued at up to $50,000 for non-public works contracts and agreements, up to $250,000 for public works contracts and agreements and contracts and agreements related to COVID-19. 8. Receive and File Quarterly Report of Investments as of March 31, 2021 Department(s): Finance and Management Services Recommended Action: Receive and file. 9. Award a Purchase Order in the Amount of $45,799 to Theodore Robins Ford for one Ford Super Duty F450XL Chassis Cab (Specification No. 21-027) (General Fund) Department(s): Public Works Agency and Parks, Recreation and Community Services Agency Recommended Action: Authorize a one-time purchase and payment of a purchase order to Theodore Robins Ford for one Ford Super Duty F450XL Chassis Cab in the amount of $40,799, plus a contingency of $5,000, for a total amount not to exceed $45,799, subject to non -substantive changes approved by the City Manager and City Attorney. 10. Award a Purchase Order to Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company in an Aggregate Amount Not to Exceed $2,125,000 for a Five -Year Term for Waterworks Fittings and Supplies (Specification No. 21-012) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Award blanket purchase order contracts to Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company for waterworks fittings and supplies for a three-year period beginning May 18, 2021 and expiring May 17, 2024, with provisions for two one-year renewal periods exercisable by the City Manager and City Attorney, in an annual amount not to exceed $425,000, for a total aggregate amount of $2,125,000, subject to non -substantive changes approved by the City Manager and City Attorney. 11. Award Construction Contract to Servitek Electric, Inc. in the Amount of $446,950 for the Jerome Park Ballfield Lighting Project with an Estimated Project Delivery Cost of $555,350 (Project No. 20-7530) (Non -General Fund) Department(s): Public Works Agency and Parks, Recreation, and Community Services Agency City Council 7 5/18/2021 Recommended Action: 1. Award a construction contract to Servitek Electric, Inc., the lowest responsible bidder, in accordance with the base bid plus add alternate bids, in the amount of $446,950 for construction of Jerome Park Ballfield Lighting Project, for the term beginning May 18, 2021 and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $555,350, which includes $446,950 for the construction contract, $63,400 for contract administralion, inspection and testing, and a $45,000 project contingency for unanticipated or unforeseen work. 3. Approve an amendment to the Fiscal Year 2020-21 Capital Improvement Program to include in construction funds $100,000 from the Cannabis Public Benefit Fund for the Jerome Park Ballfield Lighting Project (No. 20-7530). 12. Approval of Historic Property Preservation Agreements Department(s): Planning and Building Agency Recommended Action: Authorize the City Manager or designee to execute the attached Mills Act agreement with the below -referenced property owners for the identified structure(s), subject to non -substantive changes approved by the City Manager and City Attorney. Prolerry Ownerfsl, Historic Property Preservation Agreement No., Address/House, Vote by HRC 1. Andres and Lynda Matzkin, 2020-11, 2042 N. Victoria Drive, 7:0:2 (Carpenter and Frazier Abstain) (Agreement No. 2021-XXX) 2. Bradley Lewis Owen and Santiago Munoz Jr., 2020-18, 824 N. Garfield Street, 6:0:3 (Carpenter, Frazier, and McLoughlin Abstain) (Agreement No. 2021-XXX) 3. Robert M. and Connie J. Yoakum, 2020-20, 520 W. Nineteenth Street, 9:0 (Agreement No. 2021-XXX) 4. Chad Barker, 2021-01, 2014 N. Flower Street, 9:0 (Agreement No. 2021-XXX) 13. Approve Fourth Amendment to the Santa Ana Police Officers Association MOU 2018-21 (General Fund and Non -General Fund) Department(s): Human Resources Recommended Action: Authorize the City Manager to execute a fourth amendment to the Memorandum of Understanding (MOU) with the Santa Ana Police Officers Association (SAPOA) for the period July 1, 2018 through December 31, 2021, modifying and delineating specific articles of the MOU subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2021- XXX). City Council 8 5/18/2021 14. Amend Agreements With GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to Increase the Shared Contract Amount by $2,500,000 for On -call Engineering, Technical, and Administrative Support Services (General and Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute amendments to the agreements with GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to increase the shared contract amount by $2,500,000, for a total shared aggregate amount not to exceed $7,500,000, for engineering, technical, and administrative support services for the remaining term of the agreement, beginning May 18, 2021, through July 15, 2022, including the two-year renewal option, if needed, subject to non -substantive changes approved by the City Manager and the City Attorney (Agreement No. 2021-XXX). 15. Approve a Professional Services Agreement with Ruby Gutierrez for Grant Assistance Services in an Amount not to Exceed $200,000 for a Two -Year Term (Non - General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute a professional services agreement with Ruby Gutierrez to provide professional services for grant assistance, in an amount not to exceed $200,000, for a two-year term beginning on May 18, 2021 and expiring on May 17, 2023, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2021-XXX). 16. Approve Agreement with Hunsaker & Associates to Provide Design Services for the Santiago Park Main Street Entrance Design Project in an Amount not to Exceed $250,000 for a Three -Year Term (Specification No. 20-2731) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Hunsaker & Associates Irvine, Inc. to provide concept design, design development, and contract documents, in the amount of $248,702, with a contingency of $1,298, for a total amount not to exceed $250,000, for a three-year term beginning May 18, 2021 and expiring May 17, 2024, with an option for two, one-year extensions, subject non - substantive changes approved by the City Manager and City Attorney (Agreement No. 2021-XXX). 17. Approve a Template Agreement for the Licensing of City -owned Real Property and Authorize the City Manager to Enter into Such Agreements Department(s): Public Works Agency Recommended Action: Approve a template license agreement for the licensing of City -owned real property and authorize the City Manager to execute such agreements, subject to non -substantive changes approved by the City Manager and City Attorney. City Council 9 5/18/2021 18. Approve the Recognition of $241,876 of General Fund Revenue for Certain Unclaimed Monies from Various City Sources Department(s): Finance and Management Services Recommended Action: Approve the recognition of $241,876 of revenue in the General Fund for certain unclaimed deposits, as allowed by stale law. 19. Receive and File Informational Report Relating to Climate Resilience Policies Department(s): City Manager Office Recommended Action: Receive and file an informational report relating to climate resilience policies. 20. Approve Installation of Memorial Plaque Honoring Charlene Hansen Department(s): Public Works Agency Recommended Action: Approve the installation of a memorial plaque in the public right-of-way at the southeast corner of Civic Center Drive and Lacy Street honoring Charlene Hansen. 21. Award a Contract to Pacific Mobile Structures, Inc. for a Modular Restroom Building at the Centennial Park Training Facility for a Five -Year Period in the Amount of $126,758 (Specification No. 21-057) (General Fund) Continued from the May 4, 2021 City Council meeting. Department(s): Police Department Recommended Action: Award a contract to Pacific Mobile Structures, Inc. for the lease of a new modular restroom building at the Centennial Park Training Facility, for the period of June 1, 2021 through May 31, 2026, in an amount not to exceed $126,758, subject to non -substantive changes approved by the City Manager and City Attorney. 22. Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Municipal Code Prohibiting Spectators at Illegal Speed Contests and Reckless Driving Exhibitions Department(s): Police Department City Council 10 5/18/2021 Recommended Action: Approve first reading of an ordinance to prohibit spectators who knowingly attend or assist with illegal speed contests and reckless driving exhibitions. If approved, Article XV, sections 36-706 through 36-710 entitled "Street Racing" will be added to the Santa Ana Municipal Code. 23. Pension Debt Refinancing Update and Underwriter Selection Department(s): Finance and Managemenl Services Recommended Action: 1. Receive and File Pension Debt Refinancing Update. 2. Approve the Selection of the following Underwritcr(s) to assist the City with refinancing its existing Pension Debt: • Bank of America Securities, Inc.- Senior Manager • Stifel Financial Corp. — Co -Manager • Ramirez & Co., Inc. — Co -Manager 24. Fiscal Year 2021-22 Budget Workshop Session Department(s): Finance and Management Services Recommended Action: Provide any additional direction to staff for the: 1. Draft Revive Santa Ana spending plan; and 2. Draft Fiscal Year 2021-2022 City budget. **END OF BUSINESS CALENDAR** COUNCILMEMBER REQUESTED ITEMS 25. Discuss and Consider Directing the City Manager to Direct Staff to Prepare a Resolution Declaring the City's Support for the Transgender and Gender Non - Conforming Community — Councilmember Hernandez 26. Discuss and Consider Directing the City Manager to Direct Staff to Agendize the Attached Santa Ana Climate and Public Health Emergency Resolution of 2021 for Council Consideration within 30 Days — Councilmember Lopez 27. Discuss and Consider Directing the City Manager to Direct Staff to Review Article XI of Chapter 36 of the Santa Ana Municipal Code and Provide Recommendations to the Council for Amendments to Implement Neighborhood -Wide Parking Districts — Councilmember Bacerra COUNCIL COMMENTS City Council 11 5/18/2021 ADJOURNMENT — Adjourn the City Council meeting. Future Items 1. Solid Waste Services Work Study Session 2. Carnegie Shelter Operator 3. Reasonable Accommodation and Group Homes Regulatory Update 4. Police Oversight Update City Council 12 5/18/2021 Finance and Management Services https://www.santa-ana.org/finance Item # 7 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Quarterly Report of Contracts AGENDA TITLE: Receive and File Quarterly Report of Contracts COVID-19 and non-COVID-19 Related up to $50.000 for Non -Public Works and up to $250,000 for Public Works Authorized by the City Manager as Permitted by Charter Section 421 RECOMMENDED ACTION Receive and file Quarterly Report of Contracts (GOVID-19 and non-COVID-19 related) entered into between January 1, 2021 to March 31, 2021, valued at up to $50,000 for non-public works contracts and agreements, up to $250,000 for public works contracts and agreements and contracts and agreements related to COVID-19. DISCUSSION Section 421 of the Charter requires the City Manager to submit a Quarterly Report (Report) to the City Council disclosing all contracts approved and executed under her authority for informational purposes. The Report is required to include the names of the contractors and the amounts of each contract along with a brief description. Section 2-748 provides the City Manager contracting authority to enter into non-public works contracts and agreements up to $50,000 and public works contracts and agreements up to $250,000. Exhibit 1 is a listing of all purchase orders and agreements (Non-COVID-19 and COVID- 19 related) entered into during the period January 1, 2021 to March 31, 2021, valued at amounts between $y00 and $50,000 for Non -Public Works and up to $250,000 for Public Works contracts and agreements. Furthermore, the Quarterly Report of Contracts includes agreements entered into with non -profits related to the Emergency Rental Assistance (ERA) Program totaling approximately $18.0 million. Specifically the non -profits will administer the ERA program on behalf of the City via their review of application, determination eligibility and administer funding to participants. The contracts are a component of the February 16, 2021 City Council approved spending Plan related to the ERA program. City Council 7-1 5/18/2021 Quarterly Report of Contracts May 18, 2021 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. 1. Quarterly Report of Contracts— January 1, 2021 — March 31, 2021 Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 7-2 5/18/2021 .o O 0 w O O O O O O O O O O ti O� O m O O O W O O ry �m m 0 ✓t O m O ✓t W O O 0 0 0 0 0 0 0 0 0 0 0 .� O �D O Q� 00 O O O CO O m O1 0 Qi M O N O O O N R O O � y N 0 0 0 0 ti ul O 00 0 0 0 M 0 Q4 r �D O1 n �/1 ✓� .� W W O n 0 00 O O �O O R .� .� 00 O N � m O O 'n n n m ��N .--i Oi N Q m m i0 in �D c4 c4 c4 c4 O T � N Y�n �n �n �n �n �n �n.n.n.n �n �nMMMMMMMMMMMMMMMMMMM�n �n �n �n T_ w H G Z U F Z o w O Z 2 ! 2 m LD � � Z W W �j Vl J W W W U O W W LO > ►/ x r> O w VWi J 4 w i j ti Z V J r W w LJ r O ✓1 W% H H W W Y r H Z V d` W w d' t W' W' O W z W N Z } 2 O Ow ---0 � `L� w O a ✓� � � Z i P ✓i � � ,n y ���..// O wU O to 00 Z-1 <Zw ZQw u^LL -s z oQ¢ a om� 00� ¢^ 2�goz�zDO1 oNa o] sOw cWU QQ wCQC d= G OZ O 2 Q H ^ 0m_= J w P +. OwwOQW=WQD�gZQ�oo0 0 U a¢ V +• +• ti¢ a w a ✓J Q in w a in a a w w eC o U QIc¢ J„ i P P P P P 0 0 0 0 0 0 .� O ✓+ O Q n 0 0 0 ✓+ O ✓+ O n p� O M O M O O� O O M P N O O O O O O O O O O O .� O �P O .� W 0 0 0 �A O R ✓1 O M N M O ti 0 0 0 0 R O p O O O O O O O O O O O N O Ir O O N O O O m O Qi N Q .� �O N ✓J n O M ✓1 O ✓1 O N P P P P P 0 0 0 0 0 0 O� O n O M p� O ✓+ n O O M �n M M p� M u� N O .� n n �n P N O O O O O O O O O O M O O� �P �/1 QJ �/1 N (`J M W N O n W n 0 0 ✓1 O R ti M O ^ M .--i N �/1 �/1 �/1 M N ti Q� N M M ti ti O ti 0 �W .--i �.--i N Oi -i .-N R O M O O L M L a N c4 c4 N c4 N Q Q1 Q u'1 c4 N N t N CA G � C� C ^ N N > Q Q Q Q O �n G U U� U¢ U U U O D U U U U U 'c > I -R Q h V T Y z p p p p l l l l �D Jl M n ^ W P .ti M N Q� n � O ill M Q Jl c-I Jl Q N c-I Ol O lD n Q N C] n n n n Ll n n n n n n n n CO CO CO CO C] W C] W W W ti ti ti ti Z ti ti ti ti ti ti ti ti ti ti ti ti O �. O O O O O O O O O O O O C7 0 0 0 0 C7 0 0 0 0 0 0 0 0 0 0 0 p C7 0 C7 0 0 O lca a w LD a a s 0 0 u ¢ O z O Z Z vi O O O Z O? W ti O p ¢ u " Z z¢¢ V O V u U W W 0Z Z ¢ LLn W W Z O W i V < w z Z H H y 5 N Z W r N 2 d r m Q U � U Q Q z 0 0 n "' O W O Q w Z Z Z ¢ 4 cc U w= r c'S c'S `t ✓ri Z i W 07$ N W W d J J w � _ m r.. W iU iU O Z% 1' ✓1 J V E `L CO �d 6 -_ 'r ¢ 0 0 �WiJ p 4 Z 0 J r Z Z u O o �, O m Z 2 w Z m z wz Z LL O= `G W �++ t l7 '{ `� J w¢ O O u O Z O .rii cc o' O� 2 N 0 0 Z J ¢ �n 1S1 a w LL a-x(D Z 0 0 in Q m Y � Z �L w ¢ ¢ QU ✓� m z x O Z u J Z N w O CY w 0 2 'cL a ✓¢i 7 5 0 Q Ou z u Z ��iJ W Q -� a uJ O CY a? O 2 Z U a 'J m U LL LL X J �' ___________________________________ U_ N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N Z r4 N M Q ul W n W Ol rl rl rl rl rl c-I c-I c-I c-I c-I N N N N N N N N N N M M M M M M M M a N 0 0 0 o n m m o 00 4 0 N In e 0 0 0 0 0 0 0 0 0 0 0 0 0 N e m 0 0 0 m m m 0 n 0 0 0 0 e 0 0 0 m n m 0 N O ti O O O O O O m O 0 0 0 0 0 0 4 N m 0 0 0 4 R w o n 0 0 0 0 n 4� n n o o m ry o m0 m ro ry o 0 0 0 0 0 0 0 0 0 0 0 o o o Om m ry ro n m o o e o m d y n n n co m r+ oo N o r+ m r+ n m o 0 0 o O m 0 0 0 0 0 0 0 rn r4 oi o m o0 0o n n o 0 00 �r m m e .� .� co N o n m 6 m o n n o o ui o m r+ �D N ui N ui ui ��ium In n m m e -+ e .� ry .� ao in e ti ti ti N N ti ti N ti N N e ti ti ti M N O T m N M M� N N M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M ljYy 00 ✓1 W T_ M h H W W Z z O O 2 U^C u Lo ¢ x O v=i Z Z ✓� ? LL x a W �j � ZZ s } W Q g Q LL O U C Z O w n = w ~ O w d a 0 O O O s m r O O Z M 2 Z O LL r O Q Z ? O O uZi C x_ O `G G w gym. O x W Z u. m Z Q= H Z z_ O z u 0= Q P H z 0 7 a a ✓i Z rv� z ¢ T O z , O w — ti z O W LL^ 4 z d ✓� ?y P Q O} V 4� 0 OA p Q Q ✓� Z V� = Z w U 'C Q Q 7 w U J '; �3uo0�gcJdz�GSz pI- 05 W m ^¢ 'T V O H j w H= w co .'T Qp 025 a Y Y Y n u 2 z Z_ a¢ JG G mO¢ O ✓iOw m 0 W wQW p¢LLJU U U U <z LL' O{LL' AQ Ou U¢?2 ?¢ <fQU?V¢Z700¢ rO z O oi W Z ai O mp 'O^ u in LL¢ LL ti ti U U J Z H ? 4 m m P P m M P ✓+ P n 0 0 0 0 0 0 0 ti 0 0 0 0 0 0 0 m V m 4 4 4 m ✓+ 4 4 n 4 4 4 P O O 0�0 O m n N P Qm+ 06 + Mrvi 0 0 0 0 0 0 0 0/0/0 0 0 0 W W 4 4 0 mm N nm n✓i hpOi 4O 4m W ✓. ✓. N. m N. O- clm . O OmO O O O O O O m ✓0 IN IN O n 0 I O L1 L1 O ti N O N ✓1 W Q N ti �S ti N tim. m. R N N c-I u'1 Q c-I c-I r4 N N r4 r4 N N Q r4 r4 3 cQ L Q 4/T 4/T 4/T U? U? UT UT UT UT UT UT UT UT UT UT UT UT aA aA aA aA aA aA aA aA aA aA aA aA U) U) U) U) U) U) U) V) V) V) V) U? L n N QN QN N N m n m .ti m P J1 4 P m J1 N M n Ol m P 4 4 M r4 Jl m n Q� M N c-I � 4 4 4 N rl N rl N M N N� M � �� N ry ry N N N N N N ry lD lD l➢ W m m m m m m U m m m m m N Jl M N m Jl l0 Jl n n N n m m m U U m m m CO CO CO U m W W M M M M M M M N M M M M M n W W n e} M I� rl rl n n rl lfl M M M N N M M M M M M N M M M 2 .ti ti ti ti ti ti ti Z ti ti ti ti ti� � ��� ti����� ti ti ti Z Z .ti ti ti ti ti ti Z .ti ti c ti N V V LV LV LV V V `V `V V V V T�OOOOOOl7OO00000 000 00 00000 pp 'U C7p00000 r a a a a a a a? a a a a a m m m m m a m m m m m m m a a a? ? a a a a a a ? a a a r r u u u r Z z J U a s O s U u LL z z ce Z Z L Z r Z z w U O = Lo Ou O O u z O z u U Qi w U 2 w z Z z zz po 2�i�o z > �w� ��00 —2mLLu t/I W W W r O J H W W 0 2 H? H O W � Z U ? 0 0 W O w O M O O v } M l7 Z O Z] w q Z C N '� z z 0= a= z O s d o U u� w¢ m z r O z w w s Z V O l7 vri = X m p U ? Q 2 w U U< r '-`'' p ✓� o U ¢ W Z G Z 1' O O Y U G H m N +S p U LL^ x r z +l Q W J UI O> Z D �_ O J 0 O w LL. w Q Z U M T u dU W m O Z Z �G W={ y U Z Z O Q W JJJJQ c{ `J LL lll'-f ,n C U Z O w m '-`'' w_ LL o Ow S U U w Z O LO m Z N U? `L z m? O O = r 5= w p O W 0 �± a 0 0 o a, — aJ n > m u u a a CY r ?? r Z ✓� m U W 0 a M M M M O{ U a i u U = N? U W W? a z ________________________________________ I U_ N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N i0 ...... n.... . . . . . . . . . . . ry ry M W W W o0 0] Qi Qi m Qi d N N N N N N N N N N N N N 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 U U U U 0 0 0 U U U U U 0 ti ti ti ti ti ti ti ti ti ti ti ti ti N N N N N N N N N N N N N N N N N N N N N N N N N N N N N o O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O O it Y O O O M O O �D O� O M O ti �D N O� n O n O ti M O Q 00 O CO Q ID O O N O O ti 0 0 0 0 M 0 m O y 0 o 00 0 0 Qi N 00 M N n N Q� n M O O N Q� n N rl 00 O n n V) M ✓I n CO O O O O n ✓1 N O u't G n ti �D Oi G n N m �D m uN a0 N h. h. h. m m O m ui ui Q m ui m ui n n mQ mn m G^ � I n M I �D e --I N N In O T m N M M� N N M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M ljYy ? Z a M CJ z i ti g OT r pa Z Z, O a O s to ¢ m N = o LD Z{ Lps n �IWI �G Zpw uZLL� �,¢nzzrOw O u �n W O o�;ct"¢umLO co _Z ZrO Z O¢ ¢O `^ Lr) c 0 pU "� x �' m U Z u= x Y -1 J D Q Z O ? o 0 �0 u O D i w O LD a u Z s Q lW'J Q LL^ v0—j u w in w d X O Z M!j Z G J¢ m ✓' W 0 Z w . Z�_ J u pa ¢ p O S o a Qr QOOw 0� z0 � 0 0? O 4 4 4 n ep P ✓+ � P .—I P m n 0 0 0 .—I O� Q m ✓+ O N Q O .—I .—I .—I 0 4 Q 4 4 m 4 4 4 4 4 4 O O N N Q� N N N O Q O r-4 M n Qi LD N M Qi Qi Qi O O —6 N M N O .—W O O 06 6 6 6 6 6 6 0 0 m O N pi 6 r-1 O� 0 0 .—I n m M ✓1 n O O m 0 0 0 0 0 ✓1 . . . . . . . . . . . . . . . . . . . . ✓t O N �L M Q� O N N --I --I M --I N w N n O u1 M ✓I .—I ✓I Q ✓I ✓I n n ✓I Q ✓I ✓I M u'1 N m c-I Q r4 N r4 Q1 N r4 3 cQ L ¢ 4/T 4/T 4/T U? U? UT UT UT UT UT UT UT UT UT UT UT UT aA aA aA aA aA aA aA aA aA aA aA aA U) U) U) U) U) U) U) V) V) V) V) Z a ¢ ¢ u W o W ¢ u ¢ ¢ ¢ V ¢ O ¢ ¢ ¢ V ¢ ¢ T UI ¢ ¢ ¢ ¢ moo m O S O O S m 5¢ S S S S O S O m m 0 5 0 5 5 5 uu al�ul��aa ua a�aaaaaaaau aa� aaaaaaal� �aaaaaa r, 0 0 m M M GI O rl � I� N P rl 01 e9 M rl Ol n W r4 O Q M m Jl lD rl Ol r4 rl Q N P W n m rl rl Ol U U m m m m m m U m U m m m m m m m m m m U m m U m m m m m m U U m Jl lD l0 Jl c-I W ry ry M M M M M M ry M ry m m m m m m m m m m N M M N m m m m m m N N M M rl QI O N n fJ N N N N N N .......... N N ...... 2 2 Z .ti ti ti ti ti ti Z .ti Z .ti ti ti ti ti ti ti ti ti ti Z ti ti Z .ti .ti .ti .ti .ti .ti Z Z .ti .O .O .P .P .P .P r?? a a a a a a¢ a¢ a a a a a a a a a a¢ a a? a a a a a a?? a m m m m m m -- u w z a U ¢ y ¢ G S J O ~ O z u w p a = O �u ¢ Oz Z 0u W ii O Q—' Q LD Q Zgu¢ U 0 O U aZN U z ' W U `czU}U� T a Ou 17 u O 0Z0mz¢ U x ZO a0 O O O LL LL vi ua IL r Z w vi 0L > LL m 2 r¢ U Z CC CO U Z cC a ✓I ✓I r¢ 0 m IL LL -, M Z m u u IL LL l7 N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N O O O O e9 rl rl rl N N N n n n n n o0 00 N N N N m Q e Q Q Q IN IN IN IN IN IN 0 0 0 0 0 0 QI rl rl rl rl rl rl rl rl - - rl rl rl rl rl rl rl -- N N N N N N N N N N N N N N N N G G U U U U r . . . . O O O G G G G G G G G o 0 0 0 0 0 0 0 0 o G O O O O O O O O O O O O O O O O O O 00 T_ Ln P O O P O N U? N d w of o N m w of O it y �no00 oo++oonoo N o mQ emmmoN N 'Sm o a M q eo m eo oaN oom o N N NO o ti Q N Q Q O " ul O M ti M N N Ol Q n M ti ti ti ti Q i0 O Ifl ti M Qt ✓, Q n Q Q ✓1 M a o0 N In m m N N N O T m N M M� N N M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M M [jYy z Z r W _ r W LL u '� U � ✓_1 Y � Z O� � w Z w 7 a m =< u r Q W N Yu u a a z l7 ✓, m '-`'' W in �~, u w O U w et `� H 3 '^ a 7 u g W z a z m 0 z v~i O u 0 Iwi, 4 w J ¢a l7 a Z W^ ¢ 4 z_ , H== ¢ m m m in = V w m a Z d w Z U °� " u w O i u H ¢ m Z O 0¢ t 0> s �" 1 0 ✓=i r 3 0 p cL m N� W IS N W S uJ;^, ¢O _ ZwuW¢Q �=? Np? wo W OWZ �Occ 000 oz = = z uo Q d Q 7 0 0 0 Q Z LL O Z D a ? d U w w ,n ¢ a u w vwi -y = -y J a ✓, ✓, � u LL 7 0 m ,n � 7¢ m a te_ 4 4 4 P P P ✓, Q� M P P P O m M O O M m ✓, n ✓, O ✓, ✓, O O ✓, n ✓, M 4 N pl 4 M 4 4 4� 0 0 0 0 0 6 Cy N M N N O O O O r V O V Ol O m r O m N O O N g N r -y O1 ✓1 O N -y r O r 0 0 0 0 0 0 Ql -y O O l? '1 N 6 0 0 0 -y l? n -y 0 00 M O O M ✓, O Ql m -y -y O W ✓1 M O R P P P P P P N N M P P pl N 01 c-I u', N 01 N u', Q r m M ep P P M LQ M LQ r4 Q m P M Q1 Q1 P m ✓1 O O O m m ti Ol N. f Ql 6 -4 nm NO OO -4 V MN. -Oy MV Nm. Mv r m Vy 4 O?l -4 Ol OO ?m ✓M, Vy ?M NO m 4 -V? nN -.i QNl 4 OO. 4 ✓1 3 cQ L Q 4/T 4/T 4/T U? U? UT UT UT UT UT UT UT UT UT UT UT UT aA aA aA aA aA aA aA aA aA aA aA aA U) U) U) U) U) U) U) V) V) V) V) Z Q Q in ✓, Q Q Q ul ul Q Q ul ul ul Q O Q p in in S S O O S L L S S L m O S O m S o O 5 5 0 5 m 0 a a LL a a LL a a a a a a a J a a a J a a a lJ = a a a lJ a a a a a= a u a= a a a n m o0 4 om �4 n Qr 61 J1 lD r Qi c-I J1 4 Ol r W r4 Jl M O N r W N r4 lD O M N Ol m M -4 Jl -4 Q, O ✓1 O O U Q, Q, Q, Q, Ol Ol U U Ol Ol Ol Ol Ol Ol Ol Ol Ol Ol Ol Ol Ol Ol U Ol Ol Ol Ol Ol Ol Ol Ol U Ol Ol Ol U Ol O] ry N M M M M M M N N M M M M M M M M M M M M M M N M M M M M M M M N M M M N M 2�� Z ti ti ti ti ti ti Z Z ti ti ti ti ti ti ti ti ti ti ti ti ti ti Z ti ti ti ti ti ti ti ti Z H ci ci Z ci r m m? a a a a a a?¢ a a a a a a a a a a a a a a? a a a a a a a a ?aaa ? a u J z u y� J N J 0 D Z ¢ O W Z r a z X y o L7 uz uu ag z �iO 30dz o wLD uu ZZzo� Go o a�,� o? o LrL m O=U OO- uL7 O O 7)w u w s Ow u e.0m2¢ n�n u o ztn O OU u 9 Y m pQ O CD � OO Z d¢ w< O 1 > m uZO t~uOOm Qg> u p Z _^ L�7c N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N d G G G G G G G G G G G ti ti ti ti ti ti ti ti N N ti ti ti ti ti ti ti ti ti ti ti N N ti ti ti m m m m m m m m m m m m m m m m m M M M M M M M M M M m m m m m m m m m m m m m 0 mo 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 00 T Ln P O O O O O ti U? I h�. l w Q 4 U N ? u J I N 1 N I = I m to N d N m? � � n W ul o L N m a u n W of o -i N m W 11 O N m W Ul o N m 2 N N N IN IN IN IN IN m m m m m m m .mi .mi ti ti ti Q Q Q Q Q Q Q Q -�i -�i -�i -�i -�i -�i -�i -�i -�i -�i `➢ `➢ `➢ LD it N w G G G G m N n G G n n G G G ro m m ro G e �o N N N G� e e G G N m ti 0 0 0 N m N m O O R R O O O 00 00 Q N O N n O N O O n R R 0 0 0 N 4eoe mrv�'rGmoororooe��°n°an°mo�"'i� ¢mrommmQN'QN'oom�.�i Nod amN�zr Do OmmmnRMONmQ Q-+oo ymamam.�.�oomn d -y 4ul N -y -y N a0 a0 N O Oi N ul O In ti ti 0 Ol e N N N N N O O T N W Z n Ln LL w ¢ t'J m w w o3 W W u` �= n m 2! a o p W O x 2 a J W J N N C p V Z_ Z_ 2 S Q QED C- x O 7 ti t uw N N w U Y Z ti o] u¢a •� 2 Z w w ?¢?_ p J rJ 0 Z uo W ate¢ Wz ��z z� T��'^� In zga wp�`-' c9zp¢ r J [C V p ✓� N N O w N W> O r N N p in N m u W S w O Z ✓d w r w �_ w¢ +. U U a w w n w n w �2 Z Z u z z tj w a v p vi l7 q d Z LL m ,n 4 x m r m m 0 alp 4z� �m a���0 ua O,m F=M c_7 c_7 .�.�� ? Z n 4 0 '-'-' U O Q U vVi a u l7 ou m m ti vri l7 `� �i -}+ O ou Z 7 in ry vZi vZi oU oU m C( IT -y O O O N n m m O O ti W O O 6 6 �/1 W Q M W O r r N N O m a n R m G cp n 00 0 0 N Qi N t: O O N �f] N 0 0 --i --i �/1 --i m O O -S ONI ti h 4 Ci Qj rv1 Q 4 4 m N W -y Qi P P N -y O ✓+ -y W 0 0 m O m W N �"� m ✓+ W 41 -4 4 N P O N n Lf cp N -4 R fJ N N -4 N N R o6 N -4 M N Li n R N P N n O � O � O � Q +n +n +n +n +rt +n +n +n +n +n +n +n +n +n +n +n +n an an an an an an � Q an .n .n .n � ~n .n .n .n •n N O N U U S S L S O L S Ld A a < CNj ¢¢ O 'C ¢ aaaaaaa aaaa as aaaaa a� c �.°i. '�aaa uuaaa u f— o c p I MLon O 0 0 m p ti � ✓1 N W W W W W W N n n n N n N n n n CQ N W W � � P -y N N N M M N N lD � m N m m m m m m N m m m N m N m m m m N m m u m m m ry m m m ry ry m m fJ fJ N N N N N N N N N N N N N N N p ti N N N N N fJ fJ fM 2 Z ,� Z ,� ,� -ti -ti Z -ti -ti C p 2 .� .� .� � .� .� .� � � .� .� a o a 00 00 0 0 0 00 o r a? a aaaaa ? a a a ? a ? a a a a ? a a r a r a a a? a a a?? a a z U o a u � _ J Z S w Z Z 3 w N Q N u 0 y u D• '-' z J u 4 O< O z0 z u w a O Z r 0 - v, u ,,� u p Z p p z� ✓wi � 4 O p ¢ O ? � Z� V� V w Q Q vui � Z Np ✓~i Y W 0 u a u u Z L' O u� D Z! N G Z ¢ M JmX Z l7 U Ev zsz N zs ✓T� UOmp mpZZZ p OZ2 Q < 1. a a U o OY J Ozzun o o o oo z O z>Ou2r w_ r? z u u w?¢ Zwm_ 2? m 0= D u 0 N LL LL N? o a m N LL __ _______ ____ __ _____ __ ___ ____ ____U N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N ry m m m R R R R IN IN IN IN IN IN IN IN IN n W W N N Qi ri m a N N N N N N N N N N N N N N N N N N N N N N N N N G ti ti m m m m m m m m m m m m m m m M M m m m m m_N N N cc O G G G G G G G G G G 00 G G G G G 00 coo Coco 0 0 0 0 O w (n O ry m R ul a io io io io io ionnnnnnnnnnoo oammmm a 0-+ v d it ry e m m o m £RoornoN a o R M M m o 1O lG0 ti ro a in N ✓1 N O Q Q 2 2 2 2 W W W W u u u u z z z z � a a ? ? Z V Q N Vl t/1 t/1 J w< t t t m ¢ ¢ ¢ ¢ L7 N Z Z Z Z Z W W W W 4 a 'Q z z z z o0 m w w w w ry ti R rn Q✓ N T o0 n n 4 IA O M w N N O �D o 00 00 lO r ✓f � R ✓1 N Q1 N [p ✓� O cti rti � R 00 W W n vi In Q Nrl U' M 3 ~ O u S a -I M N R I? O O O � N N N N O N N N N C1 4 4 4 4 F z r J N nl nl nl N Z ci ? ? ? ? rl a T 0 'O U U O r a ? ? ? ? a N N N N N N l0 ✓1 ✓1 lil lil e9 a .ti N N N N M m E E 3 V1 Q ut N Q r4 R r4 p ut N M M r4 r tp O N O N r W R n W 06 0 ✓� �➢ R M rj O M 00 p O R r r M p M t11 R a r M r nl In R N p O R p vt p p � N ✓1 M R �➢ Qi 00 O N R �9 c-i c-i Q1 O N N IL a } R O ti W O M r N ep O Oi w ti ti w a N ti t0 G R ti r ti M M� Ql R Qi � w M O N r4 Ql R N aD Ql R r u� N W ti M N M R L t0 Qi � r4 r4 m O r le � a a �— °e'p`m-0� o N O N 00 T _TV N U c 7 0 N. i 2 ti ti ti ti� ti Finance and Management Services https://www.santa-ana.org/finance Item # 8 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Periodic Quarterly Report of Investments as of March 31, 2021 AGENDA TITLE: Receive and File Quarterly Report of Investments as of March 31, 2021 RECOMMENDED ACTION Receive and file. DISCUSSION California Code Section 53646 (b) states that if a quarterly report is rendered to the legislative body, the quarterly investment report shall be submitted within 30 days following the end of the quarter covered by the report. In an effort to meet the statutory requirement, Finance & Management Services Agency ("FMSK) submits the Report via email for review and distribution to the City Council in advance. The report was emailed for distribution on April 27, 2021. The legislation specifies that this quarterly report contain the seven major elements listed below: 1. Type of investments, 2. Date of maturity, 3. Par and dollar amounts invested in each security, 4. Weighted average maturity of the investments, 5. Market value as of the date of the report, 6. Source of the market value information, and 7. Any funds, investments or programs, including loans, under the management of contracted parties. These specifications include a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. Staff performs an end -of -month expenditure analysis to comply with the expenditure requirement and a statement confirming the ability to meet this requirement in the monthly and quarter -ending Treasurer's Report. The information is in compliance with State law and the City's Investment Policy. City Council 8-1 5/18/2021 Quarterly Report of Investments May 18, 2021 Page 2 The attached Treasurer's Report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of March 31, 2021. The attached, Exhibit 2, Cash held by Bank and Cash held by Fund(s) Listing, is a new schedule of cash by funds added to the monthly and quarterly Report of Investments to enhance FMSA's reporting and transparency. The following two tables represent: (1) percentage limits set by the City's Investment Policy and State Law and shows respective City investment portfolio investment types, amounts, and percentages; and (2) the restricted cash balance as of March 31, 2021. COSA Type of investment Amounts Portfolio Policy State Law Investetl:$'. % Limits Limits% Yo Federal Farm Credit Bank (FFCB) $34,909,210 11.14% None None Federal Horne Loan Bank (FHLB) $61,649,608 19.67% None None Federal Home Loan Mortgage Corp. (FHLMC) $58,791,250 18.76% None None Federal National Mortgage Association $83,201,540 26.54% None None FNMA Local Agency Investment Fund (LAIF) $74,884,521 23.89% one None Sub -Total. $313,436,130 100% None None Cash : $57,450,422 Total: $370,886,552 Restricted Cash In $ Restricted Cash t, $2,140,023 Total $2.140,023 ? Restricted cash is held by various I rustees such as Bank of New York Mellon; US Bank; Signature bank; and State of California Condemnation Fund. Restricted Cash is segregated from cash used for daily operations. The following City investment portfolio graph represents percentages within the respective investment types as of March 31, 2021. City Council 8-2 5/18/2021 Quarterly Report of Investments May 18, 2021 Page 3 Local Agency Investment Fund (IMF) _.. 23.89,% Federal National Mortgage Association.. (FNMA) 26.54% City of Santa Ana Investment Portfolio Federal Farm Credit March 31, 2021 Bank(FFCB) Federal Home Loan Bank (FHLB) 19.67% Federal Home Loan _.. Mortgage Corp. (FHLMQ 1&76% The following two tables represent, as of March 31, 2021: (1) the aggregate Average Market Yield To Date (AMTD), and (2) the breakdown of by investment type. Aggregate: Average; Market Yield To Date Average Month To Date (AMTD) 0.840% Investments Par Value of Investments YTM % of Portfolio LAIF $74,884,521 0.357% 23.89% 0.085% Fodoral Agoncy Sccuritics $238,551,609 0.991% 76.11°/ 0.754% $313,436,130 0.840% 100.00% 0.840n/ Cash held by Bank and Cash by Fund(s) Listing (Exhibit 2) The above -referenced exhibit (Exhibit 2) includes a comparison of bank balances between each City Cash account including Investments, Cash held at a City designated financial institution; Cash on Hand, and Restricted Cash versus the Cash held by various Fund(s). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT there is no fiscal impact associated with this action. City Council 8-3 5/18/2021 Quarterly Report of Investments May 18, 2021 Page 4 EXHIBIT(S) 1. Treasurer's Report 2. Cash Held by Bank and Cash Fund(s) Listing Submitted By: Kathryn Downs, FMSA Executive Director Approved By. Kristine Ridge, City Manager City Council 8-4 5/18/2021 \} ( �7 IR ; }\ \:) �\\ \\\ \\{ f3/ {{� \!\ ;<R w £))) \ \ \2ƒ \ \~� )// \\\ \ a/{2 \j\ «}« \ow } ƒ\/\ 2! _! \ \ }\\\)\ ) z! j / e: m Eo T Q1 H a � m w $s U� zM i T U N i K N N C C d d C G E N T Q C1 > o y� m C N G G . f6 I m CO)C L 0 p N O 0 O 0 O a m � :t Q ,, R e a v) N a C. ro ,d a' ,6 n U N M1 N N N N .�.� V t G n (0 IN � y y U IN _ 0 5V 5V jV � V � y CIAfV _ f\ III IN y + '- � y + ;V 5V 5V S S O uJ 2 V �5 S LL O u cTi f\ O 6 f, ILI N 4J M N N 43 IN O 'L o V J 00 NIN P r! P il 7 P O O ) ) '.f, 10) il ) ) n 0O h V NI,In In 0 j IN LI,c IDo_ o 0 0 �_ n - 3 O J aV Q Q Q R �r N M z n n N n r=INr nti C m t� kj t� tj tj C. C. C. Ci Q Q 4 « « « ,� .� ,CI C,� .. 0 0 0 0 0 0 0 0 0 0 0 0 0 o 0 0 0 0- 0 0 0- 0 0 o c c o 0 00 m m m a) m m o ININ IN IN n.. SV h N SV SV h N SV SV h N SV SV h N SV SV N SV SV N SV SV � N SV SV h M h (c III o r- a9 r< _ 6 .P .i; N -1 - - iJ iJ L6 .f, S �3on IN IN L E F F F F F F F F F F F F F F F F F F F F N N a N N N a d N N a d N 01, �N L LL LL L L LL LL. L LL LL. L LL LL L LL LL '� L LL LL L LL LL L LL _ (n U u � 3 Q d U M rP O P. N O O O O 0 C e M 3 T Q Q Q T 3 O U u G y u < S J IS N � U Q Q Q Q Q Q Q Q Q Q Q Q.. U' Im ZE d n ... N t! h N_ N `! ` N_ N N h 11 N N^O V (z 5 _ N 54 N ,p 8 r-J N u r q N � U s io ni N y o o 0 0 0 00 0 0 0 0 T K fn i W ? �o oo o? rn O o � o O p O O 1" R Q Q n o c• n n o o n n o o � o 0 0� o. o 0 0. o 0 0 0 0 `o 0 0 0 0 0 0 0 0 0 0 0 . N N SJ N N N SV N N 5V [V h N 5V 5V h N jV 5V h N jV 5V O' �iS a r ci iJ (i :ri is d; C< i6 uh r _ 61 N 3338333 ��rr2�rrr�rt��tt�� F F F F F F F— — I I= I I I= Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Z Y N N N N N N m N N N m N N N 's . 7m co N N 's . N N N LL� LL LL LL� LL LL LL� LL LL LL� LL LL LL� LL LL LL� LL LL a u d C O n 0 U a U G N _` (D Q ' (D U' 'D U' (D TU' 'D C1 TU' 'D l� m N 0 e e W er r m a r N Q L q 'e 5 a nl m M ro m q J Q G O F I i � ° !f .......... .; } ! / --- ---�-- ! 55 § \§\� , ] [ C13 2 {� - M %�a� \ Co ° �§0 22 \) )§ Z2 ) 1000 �())})\\\) i \ }\\/} i / _ i m!;&>\:!>9 1(\\\§( } 2&:},\}(} / \/()\0,, Uu ) } Quarterly Report of Investments as of March 31, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing InveStraentS Amount Bank of New York Mellon - Investment Custodian 238,551,609 Local Agency Investment Fund (L.A.I.F) 74,881,521 Total - Investments 313,436, 130 Cash Held at City Financial Institutions) and Cash on Hand Amount General Account 46,175,635 General Liability Account 5,270,403 I louSing Account 3,731,071 Wurkcrs Cuir,pcnsatlun ACCOLInt 774,171 Santa Ana Federal Credit Union - Family Self Sufficiency (Fss-Roosina) 693,8]9 Commissary Account 197,776 Flexible SCnPli1. SpPnding AtCounl. 2.,8,.,08 Prnr)Prly Managemenl At nl 50,647 Pruperty Management - Phase 2 Accuunt 7,300 Pel lv Cs sh 9 1 1053 Total -Cash Held at City Financial Institution(s) and Cash on Nand 5 7, 4 5n,422 Restricted Cash Amount Signature Bank Streetlight Project 1,319,724 US Bank - Pension Stability Funds (Section 115 Trust with PARS) 521,789 Bank of New York Mellon - Various 120,632 US Bank - Warner Industrial Community 105,346 State of California Condemnation Fund - Right of Way Deposits 72,525 US Bank - Gas Tax Bonds 6 Total - Restricted Cash 2,140, 023 Total Cash Held City at Financial Institution(s), Cash on Hand and Restricted Cash Cash by Fund(s) - Total (see below for listing) Fund Fund description Amount 01 1 GENERAL FUND 45,537,292 0l;i CANNABIS PURI IC RFNFFIT L7,J93,915 n16 CASP CERTIFICATION & TRAINING 236,486 020 OTS-TRAFFIC OFFENDER PROGRAM 40,618 021 PRCSA CATV FUND 1,208,599 022 PRCSA FFF e, DONATION 471,410 023 INMATE WELFARE FUND 1,311,822 324 PU ATHLETIC ACTIVITIES LEAGUE (68,396) 025 IDB & EZ VOUCHER MONITORING 359,799 026 ASSET FORFEITURE FUND 135,087 027 PARKING FUND (111,144) 029 SPECIAL GAS TAX 24,441,061 030 PROP 16 BOND AC 01 2006 152,330 031 AIR QUALITY IMPR. (AB 2766) 1,476,024 U32 MtASURt M-SI Rttl CONS I RUC I ION (3, 108,9]2) u33 NEW TRANSPO SYS IMPR AREA B 540,591 u34 NEW TRANSPO SYS IMPR AREA C 1,S44,467 035 NEW TRANSPO SYS IMPR AREA F 1,554,332 U41 TRANSP SYS IMPR AREA A-2 328,6G3 042 TRANSPO SYS IMPR AREA 0 9,493 049 TRANSPO SYS IMPR AREA C-2 212,036 049 TRANSPO SYS IMPR AREA 6 9/,/31 0,91 CAPITAI 01.1TI AY FUND 5, 198,014 n53 CITY SERVICES 7,215,666 n54 SANTTARY SFWFR CAPTTAI 73,791,33R 055 SEWER CONNECTION FEE 12,069,755 05C SANITARY SFWFR SFRI/TCF r,,891,756 057 FED CLEAN WATER PROTECTION ENT 5,021,993 EXHIBIT 2 3 vs,um,.w� City Council 8-9 Pare 1 of 3 5/18/2021 Quarterly Report of Investments as of March 31, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing 05R RFSTDFNTTAI STRFFTTMPROVFMFNT 4,?66,946 059 SFI FCT STRFFT CONSTRUCTION 18,747,538 060 WATER REVENUE 12,689,965 066 ACQUISITION & CONSTRUCTION 3,576,206 067 REGIONAL TRANSP CENTER (1,770,966) 068 SANITATION FUND 6,697,793 069 REFUSE COLLECTION SERVICE 5,686,635 070 EQUIPMENT REPLACEMENT FUND 6,503,973 071 CENTRAL SERVICES (47,700) 073 BUILDING MAINT FUND 1,3SO,706 074 CIVIC CENTER MAINTENANCE (2,167,299) 075 FLEET MAINTENANCE/STORES 970,649 076 STORES t, PROPERTY CONTROL (664,660) U78 RETIREMENT SYSTEM (4,496,382) C180 LIABILITY AND PROPERTY INS FND 17,876,368 081 EMPLOYEE GROUP INSURANCE (817,069) (182 WORKLRS COMPLNSA I ION FUND 16,1S4,SSS nR3 PAYROII RFVDIVTNG 6,078,807 08S CITY YARD OPERATION 114,866 OH6 PUB WKS ENG/PRO] MGMT (912,9H3) 087 PT RETIREMENT FUND 7,2�9 U88 QUALITY SERVICE TRAINING 400,463 089 CA SFTSMTC HA7ARD PROGRAM 47,538 090 ORANGE CO SANIIAIION U1S1 2S3 1,368,068 u93 BUSINESS IMPROVEMENT DISTRICT 63,372 094 INTEREST AGENCY 988 09S POLICE COMMISSARY ACCUUNT 376,007 U'J6 SA IOURISM MARKE I ING UISI RICI 68,358 i0D SECTION 457 FIDUCIARY ADMIN 46,407 101 PUB WKS-ADMIN 6, PLANNING 3,270,755 103 PMA RE I1RtE HEAL I H INSURANCE 8,104 IL14 S61L1 RE IREE HEAL IH INSURANCE 20,239 1(16 M(;MT RFTIRFF HFAI TH INSURAN(,F 8,578 107 LIC RFTIRFF HFAI TH TNSLIRANCF ?,0;)7 109 INFO SYS STRATEGIC PLAN 12,939,270 120 FIRE FACILITIES FOND 1,800,00S 121 SPECIAL REPAIR/DEMOLITION 325,773 122 EMERGENCY (0 HEALTH GRANTS 8,1�17,532 123 WORKFORCE INVESTMENT ACT (620,731) 124 ORANGE COUNTY SSA GRANTS (82,336) 175 OFS UAST (1,716,746) 127 D.O.). GRANT FUND (59,191) 128 POLICE BLOCK GRANTS 1,138,691 130 HOME PROGRAM FEDERAL GRANT 1,178,156 133 HOUSING AUTHORITY -ISSUER FEE 2,728,000 135 COMMUNITY DEV BLOCK GRANT (1,251,715) 136 HOUSING AUTHORITY -VOUCHER HAP 1,716,499 137 HOUSING AUTHORITY- MAINSTREAM - 138 HOUSING AU I HURIIY-MS 155,/85 139 I IUUSING AUTI IURITY-NEW CUNSTR 98,443 140 HOUSING AUTHORITY -VOUCHER ADM 2,036,669 142 NSP FEDERAL GRANT 1,319,10s 143 CALHOME MFCiD HSCi LOAN :-181,/63 144 PRISON TO FMPI OYMFNT PROGRAM (375, 109) 14s RENTAL REHABILITATION GRANT 392,875 147 FEDERAL AID SAFETY PROGRAM (066,667) 142 TRAFFIC SYSTEM MGMT GRANT (4,654,853) 149 WTC ASSE55MENT DIST ST TMPRV 371.530 150 CAL LIBRARY SERVICES ACT - 152 PUBLIC LIBRARY GRANT FUND 36,856 153 LIBRARY GRANTS 42,388 154 1 TRRARY SVCS $ TFCHNOI OGY ACT 1,375 15S OCIP GRANT 36,355 157 HSG ADMIN CARES ACT COVID 19 21� 158 PLANNING GRANTS PROGRAM (108,394) 160 HSG HAP CARES ACT COVID-19 - City Council 8 — 10 Pare 2 of 3 5/18/2021 Quarterly Report of Investments as of March 31, 2021 Exhibit 2 - Cash held by Bank and Cash by Fund(s) Listing 161 PRCSA CAPITAL GRANTS (116,700) 162 FNFRGY CONSFRVATON PROGRAM 94,545 164 PUB WKS-WTR QUALITY & CONTROL (806,518) 16S OFFICE OF SAFETY GRANT 202,196 166 US DO] ASSET FORFEITURE FUND 1,132,981 167 US TREASURY ASSET FORFEITURE 142,462 169 RECREATION GRANTS FUND 339,442 170 MSS HAP CARES ACT COVID-19 (171,469) 172 NATL RECREATION TRAILS FND ACT 17,037 173 CARES ACT -COA - 174 CARES ACT - FMSA - 1/5 CARES ACI-CtSF (368,122) 176 CARES ACT - State (3,340) 1// EMERC4NCY REN I AL ASSIS I ANCE PG 9,8/6,219 179 COVID RFI IFF FUND (17, 999) 201 LOCAL DRAINAGE AREA NO 1 132 202 LOCAL DRAINAGE AREA NO 2 1,420 203 LOCAL DRAINAGE AREA NO 3 750 317 704 I OCAI DRAINAGF ARFA NO 4 1,049 205 LOCAL DRAINAGE AREA NO 5 596 206 LOCAL DRAINAGE AREA NO 6 875 207 LOCAL DRAINAGE AREA NO 7 192,960 209 LOCAL DRAINAGE AREA NO 9 728 210 LOCAL DRAINAGE AREA NO 10 17,062 211 LOCAL DRAINAGE AREA ND 11 221 212 LOCAL DRAINAGE AREA NO 12 13 213 LOCAL URA1NAGt ARIA NO 13 2,681 221 LO(_AL DRAINAOL ARLA 1 B1S,92B 222 LOCAL DRAINAGE AREA II 218,325 223 LOCAL DRAINAGE AREA III 417,364 224 LOCAL DRAINAGE AREA IV 511,253 225 LOCAL DRAINAGE AREA V 252,337 776 UCAI DRAINACFARFAVI m1, 135 301 RFC/COMM SVS 51006 311 RESIDENTIAL DEVELOP DISTRICT 1 2,888,234 '12 RESIDENTIAL DEVELOP DISTRICT 2 3,776,699 313 RESIDENTIAL DEVELOP DISTRICT 3 11,191,180 314 RtSIUtN I IAL UtVtLOP DIS I RIC 14 631,0/1 4U0 POLICE OUT LEASE REVENUE BONDS 2,989,726 403 SCAG GRANTS 750 404 COSA 2014 LEASE FINANCING 2,966,517 40L, FEDERAL HOPWA PROGRAM GRAN - 417 1NCLUSIONARY HOUSING FEE 10,436,730 41B CDA - PEEELER CAPITAL FUND 5,129,527 6 0 / HOUSING AU I HORI I Y LMIHI 3,651,(I18 6h2 2003A SERIES IAX ALLOC- BOND b 0'3 COSA S MAIN COMMI CORRIDOR - 654 2011A SFRTFS TAX Al I OC BOND 9,630 6SS 201RA SERIES TAX ALLOC BOND 11,762 6S9 200 3B SERIES ALLOC BOND 5,514 670 COSA RDA 437,405 671 COSA RDA OBLIGATION RETIREMENT 2,043,616 980 SAN]UANQUIN TRANS CORRIDOR (716) 981 EASTERN FOOTHILL TRANS CORRIDO - 991 TRAN SYS IMP AUT C-2 TUSTIN 7,160,306 992 TRAN SYS IMP ALIT AREA D-TLISTIN 11,007,019 993 WIC ASSESSMENT DISTRICT 309,360 998 TREASURERS AGENCY COLLECTIONS 223,937 999 Lawson Clearing 1,S79 Reconciling Item(s) - Various'° (48,838) Reconerting rrem(c) - varnnur. A drderenre herween C 2xicm when mmp,arrng to Li' E,LLU due, to rctul?c wv 2crrrs such as UrrNnv ofpoytry arts outstarrdrtry cfrecks; arxf dCposAs In transit City Council 8 — 11 Pare 3 of 3 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 9 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Purchase of Truck for Parks, Recreation and Community Services Agency AGENDA TITLE Award a Purchase Order in the Amount of $45,799 to Theodore Robins Ford for one Ford Super Duty F450XL Chassis Cab (Specification No. 21-027) (General Fund) RECOMMENDED ACTION Authorize a one-time purchase and payment of a purchase order to Theodore Robins Ford for one Ford Super Duty F450XL Chassis Cab in the amount of $40,799, plus a contingency of $5,000, for a total amount not to exceed $45,799, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Parks, Recreation and Community Services Agency (PRCSA) is responsible for the maintenance and repairs of City parks and facilities. The Agency, through the Public Works Fleet Services Division, requested bids for the replacement of an electric stake bed truck that is used by PRCSA Maintenance staff to address the various repair needs at City parks. PRCSA staff has experienced multiple failures with the current electric stake bed track, which cannot be relied upon to meet the needs of the Agency. Therefore, PRCSA requests replacement of the vehicle. A Notice Inviting Bids was advertised on February 23, 2021, on the City's online bid management and publication system. A summary of the bid invitation and bids received is as follows: 444 Vendors were notified 21 Santa Ana vendors were notified 11 Vendors downloaded the bid packet 3 Bids received 0 Bids received from Santa Ana vendors Three bids were received from the following vendors and opened on March 17, 2021. Vendor Location Amount South Bay Ford Lincoln Hawthorne, CA $40,865.91 Theodore Robins Ford Costa Mesa, CA $40,798.07 Transwesi Truck Center LLC Fontana, CA $45,350.54 City Council 9-1 5/18/2021 Authorize Purchase of Ford Super Duty F450XL Chassis Cab May 18, 2021 Page 2 There is no Ford dealership in Santa Ana. The bid submitted from Theodore Robins Ford is responsive to the specifications and meets the City's requirements. Staff recommends authorizing a one-time purchase order and payment to Theodore Robins Ford, for one Ford Super Duty F450XL Chassis Cab in an amount not to exceed $45,799. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funds in the amount of $45,799 are available for expenditure in the current Fiscal Year 2020-21 as follows. Fiscal Accounting Unit- Fund Accounting Unit, Amount Year Account # Description Account Description Equipment Equipment Replacement, 2020-21 07017100-66400 Replacement Machinery & Equipment $45,799 Fund Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency and Lisa Rudloff, Executive Director — Parks, Recreation, and Community Services Agency Approved By: Kristine Ridge, City Manager City Council 9-2 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 10 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Waterworks Fittings and Supplies Purchase AGENDA TITLE Award a Purchase Order to Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company in an Aggregate Amount Not to Exceed $2,125,000 for a Five -Year Term for Waterworks Fittings and Supplies (Specification No. 21-012) (Non - General Fund) RECOMMENDED ACTION Award blanket purchase order contracts to Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company for waterworks fittings and supplies for a three-year period beginning May 18, 2021 and expiring May 17, 2024, with provisions for two one-year renewal periods exercisable by the City Manager and City Attorney, in an annual amount not to exceed $425,000, for a total aggregate amount of $2,125,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency's Water Resources Division manages the delivery of water to residents, businesses, and fire hydrants in Santa Ana. To do so, the Agency maintains an extensive distribution system that includes 20 active wells, seven pumping stations and reservoirs, seven import water connections, and 450 miles of water distribution mains. In order to perform necessary maintenance and repair of the extensive water delivery system, Water Resources Division staff requires an assortment of materials and fittings. The contract for waterworks fittings and supplies is designed to provide crews with necessary, quality products at a significant savings based on quantity pricing. As the City's construction standards change, staff anticipates purchasing additional items not historically kept in inventory. In addition, the projects programmed in the current and proposed Capital Improvement Program will result in certain projects, such as replacing angle/curb stops, to be conducted at a faster pace than normal, requiring a greater inventory of materials to be kept on hand. As such, staff recommends awarding blanket purchase order contracts to three vendors; Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company for waterworks fittings and supplies. Core & Main LP and Ferguson Enterprises, LLC are located in Santa Ana. City Council 10 — 1 5/18/2021 Waterworks Fitting and Supplies Purchase May 18, 2021 Page 2 The Notice Inviting Bids was advertised on March 3, 2021, on the City's online bid management and publication system. A summary of the bid invitation and bids received is as follows- 250 Vendors were notified 111 Santa Ana Vendors were notified 6 Bids received 3 Bids received from Santa Ana vendors The bids were opened on March 25, 2021 and evaluated (Exhibit 1). The three lowest priced bids submitted by Core & Main LP, Ferguson Enterprises LLC, and Western Water Works Supply Company are responsive to the specifications and meet the City's requirements. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funds in the amount of $35,450 are available for expenditure in the current fiscal year 2020-21. Funds in the amount of $425,000 will be included in proposed budgets for future years as follows: Fiscal Year Accounting Fund Accounting Unit, Account Amount Unit -Account # Description Description Contract (3-Year Term) Water System Maintenance, 06017641-63001 Water Miscellaneous Operatinq $28,360 2020-21 Expenses (May -June) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $7,090 Expenses Water System Maintenance, 06017641-63001 Water Miscellaneous Operating $340,000 2021-22 Expenses (July -June) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $85,000 Expenses Water System Maintenance, 06017641-63001 Water Miscellaneous Operating $340,000 2022-23 Expenses (July -June) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $85,000 Expenses City Council 10 — 2 5/18/2021 Waterworks Fitting and Supplies Purchase May 18, 2021 Page 3 Accounting Fund Accounting Unit, Account Fiscal Year Amount Unit -Account # Description Description Water System Maintenance, 06017641-63001 Water Miscellaneous Operating $311,640 2023-24 Expenses (July -May) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $77,910 Expenses Renewal Options (Two 1-Year Terms) Water System Maintenance, 06017641-63001 Water Miscellaneous Operating $28,360 2023-24 Fxpenses (May -June) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $7,090 Expenses Water Meter Services, 06017641-63001 Water Miscellaneous Operating $340,000 Expenses 2024-25 (July -June) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $85,000 Expenses Water System Maintenance, 06017641-63001 Water Miscellaneous Operating $311,640 Expenses 2025-26 (July -May) Water Meter Services, 06017646-63001 Water Miscellaneous Operating $77,910 Expenses Total: $2,125,000 EXHIBIT(S) 1. Bid Results Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By. Kristine Ridge, City Manager City Council 10 — 3 5/18/2021 W:cn 3rfil ABSTRACT OF BIDS WATERWORKS FITTINGS AND SUPPLIES (21-012) BIDDER LOCATION TOTAL Core & Main LP tangelo Co. Ferguson Enterprises, LLC S&J Supply Co., Inc. Western Water Works Supply Company United Water Works, Inc. Santa Ana, CA $361,184.71 La Habra, CA $415,625.84 Santa Ana, CA $390,294.64 Santa Fe Springs, CA $497,131.42 Chino Hills, CA $362,811.60 Santa Ana, CA $430,186.13 City Council 10 — 4 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 11 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Jerome Park Ballfield Lighting Project AGENDA TITLE Award Construction Contract to Servitek Electric, Inc. in the Amount of $446,950 for the Jerome Park Ballfield Lighting Project with an Estimated Project Delivery Cost of $555,350 (Project No. 20-7530) (Non -General Fund) RECOMMENDED ACTION 1. Award a construction contract to Servitek Electric, Inc., the lowest responsible bidder, in accordance with the base bid plus add alternate bids, in the amount of $446,950 for construction of Jerome Park Ballfield Lighting Project, for the term beginning May 18, 2021 and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $555,350, which includes $446,950 for the construction contract, $63,400 for contract administration, inspection and testing, and a $45,000 project contingency for unanticipated or unforeseen work. 3. Approve an amendment to the Fiscal Year 2020-21 Capital Improvement Program to include in construction funds $100,000 from the Cannabis Public Benefit Fund for the Jerome Park Ballfield Lighting Project (No. 20-7530). DISCUSSION The two west ballfields at Jerome Park do not have sports lighting (Exhibit 1). The proposed project includes new light pole assembly with LED sports lighting, foundations, electrical conduit, and wiring. The lighting will also be designed to accommodate soccer activity on the same ballfields (Exhibit 2). Once completed, these improvements will enhance lighting levels and safety for the ballfields and help increase field reservations for both softball and soccer. City Council 11 — 1 5/18/2021 Award Construction Contract to Servitek Electric for Project 20-7530 May 18, 2021 Page 2 Public, Outreach and Contractor Participation The Notice Inviting Bids was advertised in the Orange County Register newspaper on April 15 and 22, 2021. The project was also advertised on PlanetBids from April 12, 2021 through April 28, 2021. To provide an opportunity for local vendors to submit bids, the City notified a total of 1,017 regional vendors via PlanetBids, many of which are Santa Ana based. Bids were received electronically via PlanetBids on April 28, 2021. Fifty-one vendors requested bidding documents. A total of six bids were received, only three were deemed responsive. One bid was received from a Santa Ana contractor. Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID SASE BID +ADD ALTERNATE BIDS 1 Servitek Electric Walnut $ 431,350 $ 446,950 2 Electro Construction Altadena $ 477,242 $ 566,658 Gor oration 3 Village Electric Sun Valley $ 558,240 $ 585,839 NR Thomas Solar Santa Ana Non Non -responsive responsive California Professional Non- NR Engineering La Puente Non -responsive responsive NR RFM Contracting Inc. Lake Forest Non- Non-resPori sive responsive Servitek Electric submitted the lowest responsive base bid in the amount of $431,350 (Exhibit 3). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to Servitek Electric, Inc. in the amount of the base bid plus add alternate bids totaling 5446,950 (Exhibit 4). Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes' construction management, implementation of the City's Community Workforce Agreement requirements, inspection of the Contractor's work to ensure contract compliance, workmanship, and quality and materials testing. As indicated in the Cost Analysis (Exhibit 5) and as summarized in the table below, the estimated total construction delivery cost of the project is $555,350. City Council 11 —2 5/18/2021 Award Construction Contract to Servitek Electric for Project 20-7530 May 18, 2021 Page 3 Project Item Total Construction Contract $ 446,950 Construction Administration, Inspection, Testing $ 63,400 Contingencies $ 45,000 TOTAL CONSTRUCTION DELIVERY COST $ 555,350 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER- 2019-80 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $555,350, which includes construction, contract administration, inspection, testing, design engineering, and an authorized contingency of $45,000. Funding for this project in the amount of $455,350 is budgeted and available in Community Development Block Grant (CDBG) funds from the approved Fiscal Year 2019-20 CDBG funding plan. With the approval of the amendment to the Fiscal Year 2020-21 Capital Improvement Program (Exhibit 6), the remaining funding for this project will be available by shifting $100,000 from the Santa Anita Park Improvement (Phase II) project, included in the FY 2020-21 Cannabis Public Benefit Fund (CPBF). The contract for the Santa Anita Park Improvement (Phase II) project is not expected to be awarded until after July 1, 2021 at which time funding from FY 2021-22 CPBF will be allocated to replenish funding for the project. The following table summarizes the funds budgeted for expenditure to deliver construction of this project. Accounting Fiscal Unit -Account Fund Accounting Unit, Amount Year No. Description Account No. Description Project No. PROJECT BUDGET 83 66 13518783-66220 Community CDBG Programs, 2020-21 (20- Development Improvements Other Than $455,350 Block Grant Buildin 01213020-66220 Cannabis PRCSA Youth Services, 2020-21 (20-7530) Public Benefit Improvements Other Than $100,000 Fund Building Total $555,350 1. Location Map 2. Construction Plans City Council 11 — 3 5/18/2021 Award Construction Contract to Servitek Electric for Project 20-7530 May 18, 2021 Page 4 3. Bid Proposal 4. Construction Contract 5. Cost Analysis 6. Amend CIP Sheet Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency and Lisa Rudloff, Executive Director— Parks, Recreation, and Community Services Approved By: Kristine Ridge, City Manager City Council 11 — 4 5/18/2021 Exhibit 1 SANTA ANA Project Nos. 20-7530: P` A Jerome Park Ballfield Lighting o,....CII.4 (.F,(' (West field) ..... _ (0 IJI� issm) ONLU4013 Q23jj3_jV 11AkN 1. M!Ktli�C..:Q�.i'iL.-Q&.:919 r�ou y S 999 � y � Y � a J3 �t F9 qe V �a '1 � Cl CD r1LU Uhl J CGd> w ti LU � w w IP M o [7 [� W (( � . F (� / n �♦ ? �>Xv a � ti 4 p (4 dt a" rc fi�f �Rg m9 d {v«� c O U U i (a DU 182M) DNLLH011 GIBIJ-11V8 'AWVi anowar QM1,0Z ON J.OilrOLM A E - --------- # CD7'7' cK 40 2 5 7 7 A Rf c c t -P, 7 sE L%l 9i 2s� s -0E� az az a g g- v@ o 2 f_ 4: f 7B� 1°5 ale q.2 c� Ep 8�� e ' Ee Ee 9E 9E g a ff i d a�i eg c Edype. s rig f ^t ^t •� • 3, i i prlEa �9e ig : Cssit 8 • 93?'paa xsx c° °� �g ° ° .c ca `� i 5 -- ---------------- 1 I. 4 a Is a= g �4 gg gq gq �E9414� �€ 49 E96949 E9 g 4 44's 'a P4 4 B . r f � ,- e p , �f 0 i (C)IDU 182M) DNLLHOII C)I31;J-1VI3 AWVi anowar oMI.-OZ ON JZZIMM se v4• -3-11-11-1-374rl 1413-31 111111111 1 ---------- A ®r, ZP� < c—:) C:) c j <: x zm ■ ti EF1 :5 NF ---------- cr c Ak 9 0IDU 183M DNLLHOII OI31d_1v8 AWVi anowar ,oC91-0Z'ON JZZI M �6e L _ C iS� *' Y� 'sgc I R 4C{ J a e u w e241 n u� m r t ' .i C � a CD o d � _ � p N a e K d g4 i 2 C 2 "' 1, _ llJ p • fi} :, — h _ q i s Z �Y see �`o o '€ oa a�0 a pa 0 a�oa �� is as iB sas sis osa fls fB s �oa ax x xaax a a tt 4= B 2= 6 Z ----------------- 4 4 II q I 1, u 4 to oo]] m � ono o ovEMENT m a; 0IDU 183M DNLLHOII OI31d_1v8 AWVi anowar oC91-0Z'ON lOilrOLM . sE a o .` e u< Qiy z`m� �< as =3 `l S✓.s _t� --------------------------------- _ n o cr„ eE„ N - 1 oo 03 b .o 4 I _ f e C ..I. Yp4p � 5[ C - � vi_ b gym_ SF' �h CV 9� _ _____ - - FA VEMENT f V CY as ca aaa �n oab flY ce Y °a ax x xaax a CITY OF SANTA ANA PROPOSAL EXHIBIT 3 PROJECT NO. 20-7530 JEROME PARK BALUFIELD LIGHTING (WEST FIELD) BID PROPOSAI, TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Servitek Electric, Inc. REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or hnnp sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 New Spot%sLuling System I l-S �'361,000.00 $ 361,000.00 2 F umish and Install New NhMA 312 Cabinet 1 I'S 5 15,000.00 15,000.00 .. 3 ........ Construct Concrete Footing and Install City 6 EA x a,950.00 29,700A0 P'urLn nishediglPole(WalkwayLighting) <1 Fumish and Install Wiring (2 #10 rued I #i6 1,200 LP $ GND) (Walkway I,ighung) 3.00 3.600.00 _.. 5 Furnish and Install Wiring (-I #I) (from NFMA 1,000 I-F 5.00 5.000.00 3R to Concession Stand) G Furnish and Install Wiring (I fig GNll) (lion, 250 Lk S NIMA 3R to Concession Stand) _. ....... 3.00 .. 750.00 ......... ....... 7 __ _.... As -limit Plans I LS S 4,800-00 S 4,800.00 .. 8 ..__. ........_ Corstntction Peimit 1 I S ....... $ 10,000 ... 10,1100.00 9 Ptnject Advertisement Sign I FA S 1,500.00 $ .500.00 TOTAL SASE BID (Items '1 to 9) s 431,350.00 ADD ALTERNATE BID Item Description Amount 10 2" PVC Sc11- ule 40 Conduit toff24-00 6,000.00 1 I Grade Mound to 1 lu lhwith SoceejfT.ld Ad9,600-00 Sprinkler Heads, and Seed ove Utaded Area City Council 11 — 15 5/18/2021 P-1 of P-17 CITY OF SANTA ANA PROPOSAL PROJECT NO. 20-7530 JEROME PARK BALLFIELD LIGHTING (WESTFIELD) The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). TIME FOR COMPLETION OF IMPROVEME,NTS_AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within fifty 50 working, days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,200 per calendar day. Name of Firm Signature of BIl Servitek Electric, Inc. Title Geoff Reyes, President/Secretary/Treasurer (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm_ If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof ) City Council 11 — 16 5/18/2021 P-2 ofP-17 CITY OF SANTA ANA PROPOSAL PROJECT NO. 20-7530 JEROME PARK BAI.LFIELD LIGUTING (WEST FIELD) BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service property addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm Servitek Electric, Inc. Signature of BIDDER. Title Geoff Reyes, President/Secretary/Treasurer (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-parmers composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof) City Council 11 — 17 5/18/2021 P-3 of'P-17 CITY OF SANTA ANA PROPOSAL PROJECT NO.20-7530 JEROME PARTS BALLFIELD LIGHTING (WEST FIELD) CONTRACTOR'S LICEASING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: Servitek Electric, Inc. Business Address: 385 S Lemon Ave. #243 Walnut CA 91789 Business F.-Mail Address: info@servitekelectric.com Telephone: 626-227-1650 State Contractor's License No. and Class: 1035350, C-10 License Expiration Date: 01/31/2022 State Dept. of Industrial Relations (DIR) Registration No.: 1000058315 State Dept. of Industrial Relations (DIR) Registration Expiration_L)4e: 6/30/2022 Signed: Title: Geoff Reyes, President/Secretary/Treasurer City Council 11 — 18 P-4 of P-17 5/18/2021 CITY OF SANTA ANA PROPOSAL PROJECT NO.20-7530 JEROME PARK BALL,FILL..D LIGHTING (WEST FIELD) PREVAILING WAGE COMPLIANCE, AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, 'Title H, Section 16,000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws_ The undersigned certifies that the foregoing is true and correct. Name of Firm Servitek Electric. Inc. Signature of BIDDER Title Geoff Reyes, President/Secretaryfireasurer (if an individual, so state) City Council 11 — 19 5/18/2021 P-5 of P-17 CITY OF SA1NTA AINA PROPOSAL PROJECT NO.20-7530 JEROME PARK BALLFIELD LIOH'MG (WEST FIELD) LIST OFSUB-CONTRACT, ORS Section 4100 ct. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: o Streets, highways including bridge projects: ''/e% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: '/s% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed 'below: Nance Museo Sports Lighting, LLC License #/Fxp. 7 7757: 02/ 11 2022 DIR Reg. 4/Exp. 1 00000 8 ; 6 30 22 Location 3002 Dow Avenue, Suite 504. Tustin, CA 92760 Phone 949-754-0503 x6111 Type Of Work Supplier Amount$ $271,200.00 Name Electro Construction Cor License #/Exp. 01 /31 /2022 DIR Reg. 4/Exp. 1000004159 ; 6/30/202.2 License 4 95881 Location ?25 W NN6 Phone (323 0-4141 Type Of Work �6FC nt"'tor Amount $ $ 62.000.00 Name License #/Exp. DIR Reg.#/Exp. License # _ Location _ Phone Type Of Work Amount $ Sig afore of 13i4r Name License 4/Exp. DIR Reg.#/Exp. Location Phone Typc 01' Work Amount $ Nance License #t/Fxp. DIR Reg. tt/Exp. License If Location Phone _ Type Of Work Amount $ Name License 4/Exp. DIR Reg. #/Exp. License # , Location Phone Type 01' Work Amount S City Council 11 — 20 P-8 ofP-17 5/18/2021 CITY OF S,4 NTA AN A 13ROPOSAL PROJECT NO. 20-7530 JEROME PARK BALLPIELD IdGITI-ING (WEST FIELD) RFF,EFRLNCE$ The following are the names, addresses, and telephone numbers for THRE L public agencies for which the BIDDER has performed similar work within the past three years. CONDUIT INSTALLATIONS AND REWIRING TRAFFIC SIGNAL I . City of Pomona; 505 S Garvey Avenue Pomona CA 91766 Name and Address of Owner. Ron Chan. 909-620-2286, ronald—chan@b.pomona.ca.us Name and Celephone Number of person familiar with project. $ 70,805.00 Contract Amount General Contractor Type of Work February 26, 2021 Date Completed PW 18-19-19, installation of EV Chargers 2. City of Santa Clarita 23920 Valencia Blvd.Santa Clarite CA 91355 Name and Address of owner — Michael Villegas, &61) 255-4960 mvillegas@santa-clarita.com Nance and Telephone Number of person familiar with project $176,659.00 General Contractor May 15 2019 Contract Amount Type of Work Date Completed LED Street Light Installation 3. City of Los Angles; 1149 S Broadway, Los Angeles CA 90015 Name and Address of owner. Rs Bert Tom 213-473-742fi robcn tRtl (C�lacitv_orc Name and Telephone Number of person familiar with project_ $2.350 000.00 General Contractor November 2019 Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. BONDS: Hackett Bonds and Insurance Services 9070 Irvine Center Drive, Suote 115, Irvine, CA 92618 Edward Hackett - President Office #: 949-825-6498; Cell #: 949-500-7483 ed@hackettbonds.com INSURANCE: The J. Morey Company, Inc, 800 S. Harbor Blvd, Suite 100, Anaheim, CA 92805 Veronica Castro - Account Executive 408.605.9343, rcastro@jmoreyins.com City Council 11 —21 P-9 oft'-17 5/18/2021 CITY OF SANTA ANA PROPOSAL. PROJECT NO. 20-7530 JERONI , PARK BALLF IF,LD LIGFITING (WFS-1- FIELD) ADDITIONAL'. REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. 1. Verizon Wire ess/Henkels & M_ cCoy 2840 Ficus St Pomona CA 91766 Name and Address of Owner. Jason Miranda, (909) 630-3811, jmiranda@henkels.com henkels.com Name and Telephone Number of person familiar with project. $974,000-00 Subcontractor September 2020 Contract Amount Type of Work Date Completed Electrical, Fiber Optic 2. LA City College/Hylan West; 1300 W 14th Street Lonq Beach, CA 90813 a Name and Address of wmier. Michael Bearden, (562) 435-2929 / (480) 408-9513, mbeardenCa.hvlanwest.com Name and Telephone Number of person familiar with project $ 35,000.00 Subcontractor 2019 Contract Amount Type of Work Date Completed Narne and Address of owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Hackett Bonds and Insurance Services EdwardPresident INSURANCE: The J. Morey Company, Inc. 800 S. Harbor Blvd, Suite 100, Anaheim, CA 92805 Veronica Castro - Account Executive 408.605.9343, rcastro@jrnoreyins.com City Council 11 — 22 P-'10 of P-17 5/18/2021 CITY OF SANTA ANA PROPOSAL PROJECT NO. 20-7530 JEROME, PARK BALLFIELD LIGHTING (WEST FIELD) NON-121SCRIIy11N"ATION CER'ITI"ICA'f F The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows, I. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor 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 tcrrnination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor 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 Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor 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 Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor 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. 5, The Contractor shall furnish all information and reports required by Executive Order 1I246 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 Contractor'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 Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 112,16 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. F � ( S City Council 11 — 23 5/18/2021 P-12 of P-17 CITY OF fiANTA ANA PROPOSAL PROJECTNO. 20-7530 JEROME PARK 13ALLFIELD LIGHTING (WEST FIELD) The Contractor 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 Hiles, 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 evert the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result: of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of'the United States. 8_ Pursuant to Califomia Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and arty contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chanter. Signed: 1 — Title: Geoff Reyes, PresidenUSecretary/Treasurer Firm: Servitek Electric, Inc. Date: April 27, 2021 City Council 11 — 24 5/18/2021 P-13 ofP-17 CITY OF SAN`I'A ANA PROPOSAL, PROJECT NO. 20-7530 JEROME PARK BALLFIELD LIGI3TING (WEST FIELD) STATEMENT REGARDING APPRENTICESHIP REOUIRFM} NTS The undersigned BIDDER is familiar with the requirements of Section 177 1.5of the State Labor Code regarding etnplaytnent of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3_ Contribute to the fund or funds in each craft ur trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like amount Lo4he Calif4pia Apprenticeship Council. Signed "Title: Geoff Reyes, President/Secretary/Treasurer Firm: Servitek Electric, Inc. Date: Aoril27.2021 City Council 11 — 25 5/18/2021 I'-14 ofP-17 CITY OF SANTA ANA PROPOSA➢. PROJECT NO. 20-7530 JEROM E PARK BALLFIE LD LIGHTING (WEST F'I l`I.D) STATEMENT RE(''iARDING "ANTI -KICKBACK" REOUIREMINTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he/she is otherwise entitled. Signed: Title: Geoff Reyes, President/Secretary/Treasurer Firlw Servitek Electric. Inc. Date: April 27, 2021 City Council 11 — 26 5/18/2021 P-15 ofP-17 CITY OF SAINTA AiNA PROPOSAL PROJECT NO. 20-7530 JEROME PARK BAI.,LFIELD L,IG111ING (WEST FIELD) PUBLIC CONTRAC`f' CODF SECTION 10162 OUE�'I'IONNAIRE In conformance with Public Contract Coale Section 10162, the BIDDER shall complete, under- penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any ernployee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project, because of a, violation of law or a safety regulation? Yes No J If the answer is yes, explain the circumstances in the following space_ City Council 11 — 27 5/18/2021 P-16 of P-17 CITY OF SANTA ANA PROPOSAL PRO.TFCT NO. 20-7530 JEROME PARK, BALLFIELD LIGIITING (WEST FIELD) STATF,ME'NT REGARDING CQMMUNITY WORKFORCE AGRI I MENT (C'WA) REQUIREMENTS This is to certify that the undersigned BIDDER, and subcontractors, have read and understood the CWA entered into by and between the City of Santa Ana, the Los Angeles/Orange Counties Building and Construction Trades Council, and the signatory Daft Councils and Local Unions, effective as of September 1, 2017 The CWA is available at: t;ttn://www Santa -aria vrll wa/clocumcnts'C:4UA_ The undersigned BIDDER hereby agrees to comply with all Terms and conditions of the CWA, and is capable of completing; construction of the project continuously, and without interruptions or delays. If awarded any work covered by the CWA, BIDDER will also be required to sign the Letter of Assent that appears as Attachment A to the CWA. The undersigned BIDDER has reviewed the Public Works Construction Permit and required deposit described in Section 2-2a and the Notice of Inviting Bids. Signed.: title: Geoff Reyes, Presi ent/Secretary/Treasurer Firm Servitek Electric, Inc. Date: April 27, 2021 City Council 11 — 28 5/18/2021 P-17 of P-17 CITY OF SANTA ANA PROPOSAL, PROJECT NO. 20-7530 JEROME PARK BALLFIELD LIGHTING (WEST FIELD) OWNERSHIP AFFIDAVIT STATE OF CALIF0101JIA ) COUNTY OF ORANGE ) SS- CITY (-W SANTA ANA Geoff Reyes , being duty ywom, deposes 1:11d says: Q INDI'VIOUAL That he/she id the party making ilia foregoing proposal: I AIZTNt_,RSI11P I lint helshc is a member of the co•oattnership fimt destgna0.d as: turd who has b�cn end a duly vested with tho authority to make and execuw mwumc-nts for tha �•-Ixa uership by: who consu ottc the other members of the copal Iaurs[lip CORPORATIONThat he fs or. President, Secretarv, Treasurer .................. _.... _ a. corporarim which is rnnkiug the iaregoing proposal: JOINT VfNTURL That he is of - one of the parties making the foregoing proposat as it joint venture, and the hclshc Itas been and is dilly vested with the auffioniy to execute instrwne n for an on behalf of the parties making said bid who Lwe: that such a bid is genuine and not colhtsive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the pf:oposedsomzaet„for himself or any other person. S gnature o1- idder Subscribed and sworn to before me this day of Signature of officer Administering Oath (Notary Public) 20 — City Council 11 — 29 5/18/2021 P-6 of P-17 A notary public or other officer cornpletiny this certificate verities only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or vafidity of that document. State of California County of _._L s ( ) Y &� -f 1 Subscribed and sworn to or affirmed before me on this � da of proved to me on the basis of satisfactory evidence to be the person(e) who appeared before me. A.,D ,- Pi2ADIP V. PATEL IDCOMM 2331571 p -enm NOTARY PUOUCCALIFORNIA-A — ..._ mpto' ANGELES COUNTY Signature � (Seal) )p. — My?' rm FxP Au8�t13, 207A a.-ri-vr., w.r OPTIONAL INFORMATION INSTRUCTIONS Il)e v.Uming of aq Juror mmpfeteci m Calirornn rafter Jarnnry f, 2010 must t)a in the foan ns set forth w din this ahrfat Fhars ary no excep)ions. 1f a Just rn Ina curr+flereG duos not Po90rr this form, file. notary Mulf corner 00 waN;age tly usiw� rural stamp containing the eo,'.ec[ aord'Dg o) aeachtriq a sepanafe Jurt forrn such as IMSCne with doer, contain file DFSCfI'II'TION Of Tl-IE ATTACHED DOCUMENT proper wordotg Ol A(ftlon. b, nefar( ni( "t raguife art 09r0 0/ alli[n).3fp1 fP4S1 the tlorom_nt signer rgnrdiny air fn,thfulnos- of rile content£ 01 the tlncmlr_nt Ttra - p v t'6r'">1 u5 W si d w7latif must be Srgneft Al' TEN Me oath or ar6rn'0ti0n. if 11 e tluGun)oeir 11dr r.viousl p� Y ...gipy .....'� V. �__�' -� s)gned,lt must be re-s,grxd n�fmnr otdre mlarjpuhLcdudog d.juratproca:.,_ i) illE C, J- scf pGcn C llfarfCn COC,Ilr1P.�'ij a StatB antl County information mus^ be the sinte and co,)nty where the ^ ,- (i fl?Ord?Cfp)0n 0f aE(,9u'Nd doGLn Ovtt[)nf)f n,9j � doeumant sic nets r 3 � PorSonall"� C rsd PiP-f02 lhu n0.ary ppbllr_ o Dato of notarzation must, he [ht date the signer(sj personally appeared whicil rm,rSC also he 1116 same fate the just prp(:2es is ` Nl1rT)bOr of Pages Doarnlent Date I Z�-,�7{ completed e Print the riarne:(s) of tho o *40.,irnent sit ne) s Vine. ersonac 7G1 P. �y appear a[ we. time of notarization. Signature of the notary pub,i); mist match the s gnature On file with tna AthE,4ana1, mfo) n9hrA1 ofrii e of The County Slcrrc_ , The notary seel imprasslon roust be dear and p0ot)�Qraphicaliy reproducible. Impression muse nor Cover teat or lines. If Seal impression arn.)dges. ro ;ea1 it a sufficient area permns, oUle.rwise complete a cllfe'ent just form. Addil'uonal information Is not fequere(I but eoul0 heVp Co ensure thl; just is not rnisused or ,cached ton different document. Indicate title or type of attached dOCLfnOnt, nufnber of pages and Coto. City Council - Securely i fjh tFu���rum ant to the s;gneo ooeurrlej 1,'$1202ile CITY OF SAINTA AINA PROPOSAL, PROJECT NO. 20-7530 JEROME PARK BALLFIE.LD LIGHTING (WEST FIELD) NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section '112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7t 06 the Bll)DIi.:R declares that the bid is not made in the interest of; or on behalf of; any undisclosed person, partnership, company, association, organization, to 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 share 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 other 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 statement contained in the bid are trite; 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_ BIDDERS are cautioned that. malting a false certification may subject the certifier to criminal Signed State of California County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by Geoff Reyes _ proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature Notary Public Seal City Council 11 — 31 5/18/2021 P-11 ofP-17 A notary public OF other officer completing this certificate verifies only tho dentity of the individual who signed the documen; to which this C(irtlf cafe is attalch8d, rand not tho truthfulness, acadracy, or validity of that document. State of California COurltyof 'VA-, t Subscribed and sworn to or affirmed before me on this ��' day of 20 2-I by proved to me on the basis of satisfactory evidence to be, the person) who appeared before me. i Signature (Sc ai) OPTIONAL INFORMATION PRAE?IP V. PATEL rOMM...2331571 ® t NOTARY PUDUC-CAUFOANIA -1 n -- ANGRES COUNTY [L) My T Exp August 13.2024 INSTRUCTIONS Thz viorddrq d a7 nrra[3 mmpl .J rn Ca.Vorne a3nrJanuary 7, 2015 rousf be in the form as sat f�nn Within flux Jura(, ftl=ra aru no exceptions_ f r 8 J rrar ro to cornpfeted Gees not follavr This ionn. tltp nofanj m<uf corrarr the vomiagg by usinC n! �f stamp containhfg Ufe- corwl wording or aGa^r mg a separate jrnaI form such as Ihls are wirh dear confafn the proper v,Ordnfg In Jncimoo. m, r Mary mu,t aequ;re art Gefb o afGrrn=f;pn frJrn Meg DESCRIPTION OF THE ATTACIAED DOCUME-:NT cloamtent signer rigAN;frg t o bJfMul"es of the contents G( Ore rfocumom Toe r + dv<ument mars[ be signed API'EH the Gott) or ffrrrr atm frrho dui tm7en2 was prr mfusfy U�'1"�.t.L at IOY�, �.�?�.�v✓1 y- ,rynetl.dmw'l oc re-tigrtod rr,tront of tnenoGfy perdnc nunay tii«fu a!Lfroa>rs (Tm c G(d._Srr peon of a(rar 7 e 1 f:OnJ4 )&t) State and county informwiCn must be the StatO and gpUniy Wlleta lhC- (T do or de, .rpr,Cn of atiacrea noa,noenl of,ipnu�ai oocdmeni s',ynr r(s} personally appenrCC before_ the notary pabiic. - Date of notanFatior, ruu5t ba the, (fate Inc ,gro=r(s) posonally app&a«erd which ,lust also be the sarrre dare the jurai process is tit �z -�2- Numberof P8CJ65-,ftI .__ O6CUP, nt LJatrc 1 P Completed . ............ e Print the narr.e(s) of the document S.91 0 ?who Perocnail Y apPoar at Me, lima of notariZa6on. - .......... _.....— • .Signw ure Of the notary public mast match the srGnalure on f,e with tho Addn,Onaf nfrmr,zr n office of the county cl©rk. The notary seat/ Impression Mjj t be clear and photographically reproducible. Iinpress,on rnusf not Cov(or tcext or lines, If gC'al impres$jon smudges. reseal if a SL4ffe1@6t area permits, otherwise complete a o0orent jurat form. Adct6onal information Is not requireCl btR COuld help to ffrISctre this jurat iS not misused or Quacried to a different documen;. Indicate title or typo Of attached doctoment. number of pages and date. City Council ."eCj,-_hy a11tltie[lrsetrrnent to the, signed dOCL.MSftB120L121g CITY OF SAWA ANA PROPOSAL PROJECT NO. 20-7530 JEROMk`. PARK BALITIELD I,IGPITING (WEST' FII:LD) 13.IU BOND KNOW ALL PRESFN I that, �ernccg nrecu-rc mc, , as BIDDER, and United Stitt" Fire lltsurance Company ..... ........ , as SURETY, are held and firmly bound unto the CITY OF SANI A ANA, as ACiI:,NCY, in the penal stunt of' — TEN PERCENT 10% of the Total Amount Bid— )HIIcTrti-(`i'r-------.-_---._--. ), whichis ten percent (101%) of -the total amount bid by BIDDER to AGLNCY Jim the above stated prqjcct. for the payment of which sum, BIDDER and SURhTY agree to be bound, joinily and �zcverally- firmly t.y these presents. THL CONDI'LIONS ()F THIS OBLIGATION AIRF' SUCII that, whereas BIDI)FR is about to submit a hid to AGENCY for the above -stated project, if -said hid is rciacted, or if said bid is accepted and a contract is awarded and entered into by BIDL)PR in the muster and time specified, then this obligation shall be null and void, otherwise it shall remain in frill force and effect in favor of'AGINC'Y. IN W I I -NI_ SS Wl IT REOF the parties hereto have set their names, titles, hands, and seal this .. 26th day of April '?O 21 . BIDDER* Ise. - 619 Brea Canvon Rd. SIC., City of Industrv, CA 91789 - 026-227-1650 S11RFTY* United Sh_Icy_Fire lneur{{Ry ('ors narl,Y_.-..120) Gran e 541; 1 Wilmins~tctll,.�elawart, 19811,1,.__973-490 66f10 SuoaCathed anil sworn to helore me - > 20 _. ... .. idrvard N- SEE ATTACHED this .... ........... _ day of sign time _..-. Notary t'ubGc in and l-orthe C� Crt.ntYf irl' State of rovide BIDDER1 Sl IR1. TY narne, address, and telephone nu nbcr and the name. address, and telepltotte ncuriber of authorized representative. City Council 11 — 33 P-7 of'11-17 5/18/2021 `.1:1., '4 r alllulrwl :[ lmtai I puhlio or other uJfiCe1' co�rylleXing Ilria t nrllfirarz l �.r vied Olaf r the Aden>lb �>� rha fndlvahral mho sz�,aed � umcIli to whi, 11 this ( owlt, we is ¢aac hcA. crud not Me uuthfudar n. a,'Cwa< v. ar- I afidin of char docwnenl. I Imn of 7Or7ange ,r lfp y r I) (`"5 71i I!' '1 OlI 11C111 Cr; 1➢1'i ":1 .4 I'A f , , I IOia II sl6 C. Ma"tas, Notary Public Ldward N. Hackett ��II.) hn,�.rl 1" 1 W lro the h,,,i, nl to he lb" p"j,C)IM Way, I➢JJIDijwj i,-J ,uL;r_rihal ?o the 'AIITIIl1 111,iLIT] u:nl iliAl tKktl("A h(Eecd Irr Ior 13 aI -c :nxWled OIL �ZIHIL w a(rthlal,vd 1p 1, flr#-r=!_ ;md II ,u hhiti trcn-74rc n--i�malui�rF� oli ()e nr,uuvit�nt �hr Il:rsol�or the t:nT0" t�.jlwh: h;iff of iehleh r' 0ITT-11 U -'Lf 1 )hN- uturwIIcA1 I I .I (;h W Ira 1r P1 KU. I) (h 14 AU T 1 Wilder I ohm, of rh; Nuue of (1hIolII9a 1hal du ➢o , r'OII W, Iile d I ld (:') l I L:CI . - t1 I fvl",� I4Iv hand aexl nffiris? r. ()'U it ,.Il r;f. it rl -b r.y fj ,l I � r (1U r 11Y VI)I'5I & I(➢,A,l OB' 3'ION, \ I . IA'i OIp' 1IA'I I(")A ;}I'AILI[ 11IA()1 IM- AtlI-ACIIII) OU dA11N1' Scrvlt<;k lilc;;rnc, lnc Bid Bond Flo' �n111_a(.^ r r r I u ,...rnr r ,P A4If r 116Ali ULI, -4111 ,I(r,IiR rJI .al [:.I qy INS IAI ( 143A4I X?(Y)A.IV! I ills(; H 114 1 Al Alr^t., ricti r i cam _ I 7 .i..r dt. ll..e.. pul. ,lior f r .a 1 , nar 1 s r .. . Ib:. o.. r �N11 "'Id .1, ui L u_ I iItC II IIL�[ [i5 ;r1t 41I1. -4_t .. 1 nl I�c�ll _... Ilt �r _1 5r n.. 11 , a ,zar,P J t'c ,"'n4. POW I:R 01>A71 URNLV IIV I11) STA71 S FIRE INSI RANCTS COMP'LNl' PRINCIPAL OFF U E - lit MRIS IOW N, NhW .1IiRSI:Y 06378436624) KNOWAI h AifN BY.I III 51 PRI SI A I S: I hat I An al Snd •s I Inc I I Ist Lance Company a aorurnlfnn dnly-a;;m,Zc d and dsIAm: nud,I dos I'Ity, F H d is ;laic of l )Qauaa, fYa$ nttulc, Con,ntumn nnr,l q,po m.cL and dna her chv m.lu, ti,n+lilule and alJpain(. Fdward N. Flucke�g SPOu .! d4cG�u1rY, .Ir. md' its Ina and tannin Ara,ure o la I aa, with oW paver au 1 nnhonfv het by L--Wlwd rn In, naluc., plate and strut m exeuuc. acknowltabge o aI rld,wl: fine :md at h,mds a d oud utilon^, Ell t eh and uUmf d , nmas unit t o to hnay comse of Wwq bu,urc-as m 1, rquirt, and in had IJ MA am" fire Mmuun't (I'Llp:my Illerelty :I, hilly and ro the 'asnI cvl Cat .a it a h hand"hond"a Aid btcn (1,115 c+u'alcd and aciolowlede.,d by rhz. U Ukll � elected oltictrs of I hared ,talcs I ore InnnaliC (olupony ;it its puncipal ofnee. In amount or )rnaln , nuI [,coed nsr ,levell MJlinn, Five Iluutirc; I-Iliousand Dollars (37,Sdp,pOpl. I hu P6NC1 Of Atffinu, Tuna, the act Of thes, n ❑n YI thcrehl a the bonds duel orwu ;low,n ,K,Iheall, panted tltcrem, and they barn no rluthimly [I brad I Intel] Slats Irte I rsurauu• C ump,mv enexnt m this many a and q, ell, „lent Inelcin sim"I_ l his ',ncr of Attorney revokes all previous Ikxvern of Aliorn,c5 rvsocvInd behalf,.flhc Annnnay+ ro 1-act named ahovc Anxl rv[ ura on Inns uuv JI, 2021. I hu Po"Cr I Atda-n, y I, ermncd pol,.rllllt A, .A,Efa, IV of the Hy.I aw, of Iamed Stslea I ne In,lrfaftce c (vnpany as now fn full daCu and tfftct, lad unI¢islcnt w [h Arlicic III IhcrcoC loIO;h AtAjAc, pn ,ulc. in pertuma pan. Aual !V, L, uI n of Ili'sIumcnl PscCla Is tha Bond <f flaCCIO( nla, still onr by r °solution, the ('hainn,ra of Ih,; Board PfcsidenL al'v Vu,e-Pfceident, nny A„r.hull Vic.. l ,c,idnit the Sccrcuay or Fury A,%a la,l Secratary ,hall hove pow�ton 11Chalfor the (. orporatmn. of tt) c,eCldc, 111!X rhC corporrrre .cal ov nu illy or by lac,vode ro. act,; r ,Icd;c. ,arty and do tvu any ano-ul rbiinatn n, nnnrfnl.nts InW ,Iocumenu h I,or, cr in u>ou Avon n lh rr, ra"LICS me hr hn_, ,%ahoul hnl.ung the Inrcpolog any bjaljj,"id'AalrCII, ondc rt rl ngs, recut n¢ me s. po,va4 ,11 attorney or r vnumnns of am power, c I Iu orncv.,tipulanon, Policte, A ar.uf; l ,load !case mat afcg rcka cs. iari"li.uum+IDrd a„en_) ,,gymemeut>: III w .11I ul urrt.ug. ,,arc Of more parson, ],,I auv or all of the lanpow, ouunnmed in the pn-cmhag prungraph (a), including atfxallife ;cal (If life C ,r porzval AnrdC III Olhcef,, Section i 11, 1 acsonilc Slguahucn Ibc si'nr4me ,f anp o Burr authorized by due (aoNwwwn to sign any bond,, gumwmw5, nodal ilwr , r ant nvarmt> Irpul llon , puau, of attt roc, Or rc5oc Ir m of any p.)wu, of vhoumy and policre, of utsurantn nurid by Ih L (a pnr Guinn nrc). by pnmcd dIC ur d i1th"Jimph,d '.1 othcrwna pnrducul In addition I and a, vuthianad by the Modal m Ou c ai,. I ividerlJ warrants o heck, iv , IAe, mm.anns ia,utemuus "halm to one JI1,EI er ul Innin nr y sic <ignc l by tl.; laa ndc symm. or art- Wired Inhographed or olhaui,e pu,duecd, of suds t Iticar ar olTico, uI Is col p n than ,, inall Inn n, nm In -% be mtthouzad ton .at h instrtulant, on bah ell of theCorpor anon -I lu (nqr x'aonn now c ,om.ue Io u>c ha the pure, c, liar -in Alliod di u f c nit tF vrtatuiv i t am person oI pcnnns whr iJ, ll havenoIji,m nr of ue n> of [h. C,orporanon. ItUlvVrlh,l.rildlaC (h, Iacr did h mI y WC C a,cd n, A: SUG .rl the Un1C "M such ia,ll llllrerrli WE he r,zlred. IN'A" 1 N1 ISS W IIERle IF I taped yaks 1=11C 111 Iu1111111 C(In)Iarty has ceased Ihc,m [Mrexenh to oc signed ,lid at C,1111 by Ili r, io oral, nffi;,er and de r r .il Cd thu 2_> `" da„ A Atip, 2019, f 1 P f = t perdue s.al A,crc-Irnro UNII-I- D S I A II'.S ]FIRE INSURAN( E ('OMPANY a' 1 Anthony Shrudwici Pa_cutivc Vicc l'eesideld Nt;daoCl'cnna,-Ivanis - County of Philtrddpinia ; On this 2 daq of Aug aA 2019 be Awe me t Notary public of the SIG[ � of 19110 lvrUM came the itbme named olfcer of IV atl Stoics Put Inanmea Company, to In;; personally known to he the uldryldoat and of i,a dcncl il,ai herein, and acknoWcatgcd that hr_ cNa,wal the f(uegolug insntuneld and aliised the curl of 1 ailed SI.all', I ire ]ncuumcc <.onnpany thereto by the authority n1 bus offiec. fAml➢OnfYeahh of Pelolsylvauia-Notary SCA lAmara WAIL ios, Nohny Poblit Philadelphia Coun[y %Jp ennt III iK,ion expires Asia ,,122, 2023 ( II- siou 111111 r 134NN43 -lanaru Watkilt:< (Yocary Iroblic;) L the unQrr,t,ned IdJ— or of united Soles Fire In_,oranec Company. a f n laware turpola!ion, do hereby Certify ]hill the ongin.11 Power of Aftorney of, which the Iotq!oinv is it fulL true and wrreat am, 1 %till in lotec and el feet and ha, nol. bero revoked- IN WFI NI tin WHEREOF, I have hermmrn sa myIand and anted I he corporate Baal of I Imlcd .Starts ""' Cnstrancc C noTally on fire 211lla, (,I Nlail, 2f121 UNITED STAF1;5PIRfINSURANCE, CONK' 14, E City Council tl wli nt SdrnnrtlKc r ,rdui[ — 5/18/2-021 STN1T 0 CAI:IFORN1A DEPAWI'MENTOFIItiSURANC NQ 07812 SAN F'RANCISCO Certificate of Authority Tills IS To Cf Rrn ifY '["XA'T Ftrrsuant ro lbe lnsarauc'e ( ode of the $'tme of rti(i, Unvgra ! ovs Piro fnsuianCe Cumpany of 1S. Lm I n5 ton, v), ]aeta re organized a.tuder the laws of Do I awar" , subject to its I r w 1my of hscorporalirm Or otherfunduntell al organlz"auonaf do'twielats, i., herrsby authorized rn rratns,,t wi(,K h' the Slrue, subjecr t,> all lnuvis;it's of Illis C'erri/izure, the foilowtrrg cletsses re, M r i.nt. ,cz!^ty, a Sphl c7, Pldrp iUSS, Liability, Workers' c_ern(rrt .,+_ion, Commo', CBcrrer Liab111i._v, BMIer and macMowry, Bury rrrdiic, pr rklcr, W.m and VnqricIP, AU1OMobf W, Alvwaf" and Mt Sma]. aamous 1s such classes are, now or nary hereafter be defined in the Insurantre Laws of the tinter of C¢Cifornilt. TIIIS CEIMI'rfcAFI Is arjpr esly conditioned upon the folder hereof now and hererifaer heul2 art lulf c'onrpliance with all, and nor in vQlafton of any of the aRWwbfe (carte and m,01 t e,rn,,,a rqurb, undertauahority of the taws of rlae Stare ul California os llneg as Sea h fawn w recinuen a nts are in effect and aphlit"able, anel as such laws and 1-egttiteanenrs now m , or ma; hereafter be chargved or onaend,,1 IN WRNFSS WFIERFQI=, effecrtve n; nfahr dayofr' r-^°Ylr� r GL, " =�� —, __..... , I have hereurrz,i to my bond mat caused no, ot)hUI seal in be ,Ilfaxed dege 7 ,i duyof _ rr [rh<•r= [Ct1j NOTICE: r)uatificaH9n '0, h Scan ey CA St[e nnn:6 be City Cw „nds for rnps C'ev, kttl ! ,(u of & ofled oi qo+C i'�CEryLL{0,15 GSgI{;tYR":i. Il¢PC1,R. iYifrl-I (f,.J 11 v 3 I., lhr. .... n w„ wade iu the x rY r ni. l„ rj h'rt `Y f rnik J ! rRFr m, Cor('.nW ur. ,',_pmmp[dy o lUl d H ry ili hC end ilm l.her, A -ICB ISe - -ICB ISP GBTaiI -C$LE 4/29/21. 1'35 AM l Il P22 CON -TRACTORS STATE LICENSE BOARD OContractor's License Detail for License # 1035350 DISCLAIMER: A license status check provides Information taken from the CSLB license database. Before relying on this information, you should be aware of the following limitations. , c Lo n un.Jl _< rLmL DI111 (LI f` k)II r.a1ILL pL tou u..cu, nP cy_L.m L. or I .L ,.wn.PP=ar 1 n rormurt ir nc�kjyr(cf -0n.uonuf L'.cILJOn , only con-tructmI Ccc _a mcnic repo rrm to cse z It eirclocmWAF..NId.b3)- r e r Aten; A IAIP:: Tnc(-fall:: A.r w.m rna ram<. r rt>rn na0.t r, AIPVA I, t InfA,))AT.ntIa S'At ycOcerP rIv t1PtA -r,..,nna:>. Data current as of 4/28/2021 103524 AM $L'.NI I [6 [CiC. I(IC INC 3ASS rm Om Avr,ric3 1NALN U I. LA 91 rb9 ftuanr.: PhurnN., nibor{f,�C) ii]-I GiR Entity Corporoton IssueDate oll3ul2vlR Expire Date OfflV L .! Thf4 Rcsnse v. a�i renC :uv[I >rt�•re. ALI information below should be reviewed. U LI- rl rCTPICAl Contractor's Bond Thu �Bonnwdh AMEBICal CCINfRACT069RJDEMNITy CCIMPANY. Bond NumbeC ioiu 6,13 Band Amount: I `jGn Effective Date! 01/U11201b Bond of Qualifyingindividual ThP,nellfylol'Infllvlflrl:.l CEnrrREY BRIAN REYE.`, tt,rtfflPu TI.itI (SLP own'. R I)PfCPnT nr YI(]fe(A TrBvor'. nF :Lock(Inernber;nip Inluc Lof This company; Increfo; c. Lnc Bond of 0,. ]fpng lndlvld..l V noL rerl„rted. Effective Date: 111130120111 naps://w It ev.csto.ca. 37 5/18/2021 Pape 1 of 2 I.her, A -ICB ISe - -ICB ISP DBiail -C$LE 4/29/21. 1'35 W I hi, lia_n,c has worrtue com psnsat on I i, rancc with the SFKFE -ARM GENERA- INSURANCE CUMPANV policy Number:92LI,S9462 Effective Dates U)/14/)pal Expire Date: 0livijm22 ..NL(If.kfffi:..GAIS111LA:#IiuLl.Ltlaisay Copyright it, 2021 State of California https: J1wev. cslo.ca. cJ /tYl QQW IfMjch eckl icensel l/License Detail .a spx?'-1CNcm=IU3935t) 38 5/18/2021 Page 2 of 2 4/2p121, 1:35 AM Contractor Information Legal Entity Name SERVITEK ELECTRIC, INC Legal Entity Type Corporation Slalus Activo Registration Number 10000S831S Registration effective date 7I1/2020 Registration expiration date 6I30/2022 Mailing Address 618 BREA CANYON ROAD SUITE J CITY OF INDUSTRY 9178... Physical Address 618 BREA CANYON ROAD SUI I F) CI IY OF INDUSI RY 91/8... Email Address Trade Name/DBA License Number(s) CSLB:1031)31,0 CSLB:1000058315 Legal Entity Information Corporation Number: C4070827 Federal Employment Identification Number: President Name: GEOFF REYES Vice President Name: Treasurer Name- (-�EOFF REYE.`, Secretary Name: GEOFF REYES CEO Name: GEOFF REYES Agent of Service Name: JEFF PIIAM Agent of Service Mailing Address: 575 ANTON BLVD THIRD FLOOR COSTA MESA 9262G CA United States of America Registration History Effective Date Expiration Date 11/1/2018 6/30/2019 6/13/2018 6/30/2018 7/1/2019 6/30/2020 7/1/2020 6/30/2022 ,=rpE:uoadlr.senure.fQlycg wf?c,e�rorSearch/arnrRegDetaas 11 — 39 5/18/2021 cage 1 of 2 4/29/21. 1'35 W Workers Compensation Do you lease employees No through Professional Employer Organization (PEO)?: Please provide your current workers compensation insurance information below: PEO PEO PEO PEO InformationName Phone Email Insurcd by Carricr Policy Holder Name:Servitek Electric IncInsurance Carrier:State Farm General Insurance Co Policy Number.92-GWT-4912Inception date:3/31/2020Expiration Date:3/31/2021 ''nttps:ilcadtr.secure.fQlyc itpw1?.ce�mrSearch/Pr..ntReciDetails 11 — 40 5/18/2021 page 2 of 2 CALIFORNIA CN11111"D I irfwr� r7. �. DEPAR'lMENI O TRANSPORFATiON MI R I� OI HUSM SS AND t CUNONIR' 01'i'(lR I UNITY 142.4 I till "110 1 1 SA(. R 4Mf NM( A ')5$I I I'Mw 916) 12a-1W) I-AX_ (9 V 6) 12,k I s(i? ZIY 711 November 15, 2018 1\11. Ocoffrcy Reyes Servitek t.leetric, hic. 618 19rca Canyon ROud, Suite J City of Industry. CA (WN9 Kirin 11): 45918 SLlLn ct: flDnstedrstaat� a[I (dffaee�ess 1l ntcrt'risc (t�9�i t.e.e_tut[�antit>aa fit➢tyaovaG Dean Mr. Rcycs: t am pleased to advise you that after careful rw in of your application and supporting, documentation, the Califbr nia Dcpaninn t of Than ilwation (Caltrans) has determined that your firm meets the eligibility slan(laut; to he ectuticd as a DkMlVantagOd I3u•Sincs, Flitcrpri,e ()10-_) as realuired under the 110 Depar hnent of Muslim tation's ( Adc of Rcgulation 49 (10 Parr 26, as aruendel Ibis certification is aim) recognized by all t1SDO] agencies in ( hAwnia. Your firm will be listed in the California 1 Nluhcd Celttfication Ptoeram (C `[ 1('I') database of celAcd M s under the Hollowing specific arca(s) of expertise tha¢ you have identified on file NAICS Codes, Conn of application package: NAgCS Category Codes Ocscrihtion _ 234210 Flcctrical Conrra( tors and Otiler Wiring Inntall;16011 �'.ntl n'A (tt iliC Work C98.58 ( 8604 MY C A60:2 x ..,.. _ Residential f?lewacal LlghtinZc Commcrcual Flec6tcal Sal;nal fi l.ac)h,nt}; V� on 1Vill r;'I111 un )r�li� rnfti GoI 11," tt: _ �''d (';') . f 0:r, it , ',' 'IfOi I I1 is r191� Itla, l ll'r ifl C .1 ( l• i'tf'o_ r1'III!h:I .( II, ,1 ,"(II} INv ,6(. ['S ' ( It t •3,1, tlr V°.! `W Ill ,I, 9¢,I (, %r, Iilrl/h,;f, hl��4 yrt It€r sl biro Any addawrIn and re6sianns must br submit(cd to ('altr(s,at Ebr re(rrv� and sIpplov ed City Council 11 — 41 5/18/2021 $ \| ! > 4 c c / � E CO w co k \ \&Ef - � ƒ _ k % @ ) (L e ; CL Z \ - E % 2 w\)/j\j\j\ 0 § § % ) _ LL06 0 .g q m E m k \ \ 0 0 Q 4-- 0 k k ) Ln ) 1CL ° Ul � ;)j\—- / z - \ 00 ) ] $ 2 co 12) - `$yf?f eee>% ( \ { . )j%A/A m 2/j/) o VIC % ■ VIC U C 0 O U T Is' ,` DEPARTMENT OF VETERANS AFFAIRS "i �4 Center for Verification and Evaluation n Washington DC 20420 9/21/2020 In Reply Refer To: OOVE Mr. Geoffrey B. Reyes Servitek Electric, Inc_ DUNS: 116944911 618 Brea Canyon Rd., Ste. J City of Industry, CA 91789-3022 Dear Mr. Reyes: On behalf of the U.S. Department of Veterans Affairs (VA), Center for Verification and Evaluation (CVE), I am writing to inform you that Servitek Electric, Inc. has been verified as a Service -Disabled Veteran -Owned Small Business (SDVOSB) and added to the Vendor Information Pages (VIP) at Ya:ll..1.fr;;./.1...w......w.....w.....v...i.p..v....e...l;.k.,ir::.ypv.../.. Servitek Electric, Inc. will be eligible to participate in Veterans First Contracting Program opportunities with VA. This verification is valid for three (3) years from the date of this letter. Please retain a copy of this letter to confirm Servitek Electric, Inc.'s continued program eligibility in accordance with 38 Code of Federal Regulations (CFR) § 74.12. You may reapply 120 days prior to your expiration date by logging in to your VIP profile. To promote Servitek Electric, Inc.'s verified status, you may use the following link to download the logo for use on marketing materials and business cards. N_attg;Ps_/Iwmr„vra_,_ tcwAC3EtC'?C3_I,J/r,�cxs/cyF____cxsr�i_t;Dlcaa;cl____;>,jg;fc. In addition, please access the following link for information on the next steps and opportunities for verified businesses: To ensure that Servitek Electric, Inc. is correctly listed in the Vendor Information Pages, check Servitek Electric, Inc.'s profile for the verified logo. Please notify us if the logo is not present within 72 hours of receipt of this letter. While CVE has confirmed that Servitek Electric, Inc. is presently, as of the issuance of this notice, in compliance with the regulation, Servitek Electric, Inc. must inform CVE of any changes or other circumstances that would adversely affect its eligibility. Eligibility changes not reported to CVE within 30 days could result in a referral to the Office of Inspector General (OIG), a referral to the Debarment and Suspension Committee, and the initiation of cancellation proceedings —all of which could result in Servitek Electric, Inc. being removed from the VIP Verification Program. "World Class Professionals Enabling Veteran Business Opportunities by Protecting the Vctcran Advantage - Ono Vct at a Time" e ICity Council 1 — 44 5/18/2021 Page 2 Mr. Geoffrey B. Reyes Please be advised all verified businesses may be required to participate in one or more post -verification audits at CVE's discretion. Additionally, this letter and other information pertaining to Servitek Electric, Inc.'s verification application may be subject to Freedom of Information Act (FOIA) requests. However, FOIA disclosures include exceptions regarding the personal privacy of individuals, and VA policy similarly provides limitations on the release of individual records. If Servitek Electric, Inc. receives a negative size determination from the U.S. Small Business Administration (SBA), CVE must act in accordance with 38 CFR § 74.2(e). Also note, if at any time Servitek Electric, Inc. discovers that it fails to meet the size standards for any NAILS Code(s) listed on its VIP profile, CVE requires such NAICS Code(s) be removed within five (5) business days. If the NAICS Code(s) are not removed within the allotted five (5) business days, CVE may request SBA conduct a formal size determination. In addition, CVE may initiate a referral to OIG, a referral to the Debarment and Suspension Committee, and pursue cancellation proceedings. All of the aforementioned referrals and procedures could result in Servitek Electric, Inc. being removed from the VIP Verification Program. Thank you for your service to our country and for continuing to serve America through small business ownership. Sincerely, John Perkins Center for Verification and Evaluation E Li -ago or 1 - 45 5/18/2021 S ervirek Electric, Inc Mail - Vour DNNS Lookup rtery. esT for SERVITEK E_ECTRIC, INC. 412gf2 :4:03 W c/`rvii �I�ctric Snnurvnq Pnwcr and CnmmuNGMlony Your DUNS Lookup Request for SERVITEK ELECTRIC, INC. Dun & Bradstreet <DandB@click.dandb.com> Reply -To' Dun & Bradstreet-reply@click.dandb.com> To: info c@servitekelectric.com I Ia1v.niq Irry„la.e t.a.'r, loaf tII t. ',� View it online 04/28/2021 Geoff Reyes, Thu, Apr 2g, 2021 at 3:07 AM The following is the Dun & Bradstreet D-U-N-S® number for SERVITEK ELECTRIC, INC.: D-U-N-S number: 116944911 If this is YOUR COMPANY, take advantage of Croditbuilder I", our next generation credit building solution. Get unlimited access to your business credit file Ensure you are always aware of the most current D&B information your banks, suppliers, competitors and customers are using to evaluate your business Get alerts when there are changes to your business credit file Benchmark your company's credit scores against your industry and key competitors Enhance your D&B credit scores and ratings by adding good payment history to your credit profile If you are looking for Informatlon on ANOTHER COMPANY, consider purchasing a Business Information Reports". Reduce the risk of unpaid bills by evaluating the credit risk of another company before doing business with them. '1Ttps:jjm all b&vPage 1 of 2 S erviTe',c Electric, Inc Mail - Vour 11NN3 Lookup rtery. esT for SErtVITEK E-ECTRIC, INC. 412912 :4:03 W Get a detailed snapshot of another company's credit report; available online for 6 months from initial access See a company's PAYDEXG-+> score and other D&BO ratings Access a company's payment history View company history and background information on key employees Call 1-800-700-2733, Monday through Friday, 8.00 AM to 6.00 PM local time or contact us at Dun & Bradstreet support. Sincerely, Dun & Bradstreet . ,.. 9 0: r r(n),, f; a1, ur RV4 r iu yo 4, I"l ' rw,J kr„:.: nnn In , r I'. inL(rc'tfoe o¢p:a'r 1y1, 1ta...t —,,, tfa %A/ I !..'i,, .w4!,1 Iy,n r'rnPo.t.y I t5 s I ., a a ; , r oft- -V lry,l ri... 'Irvr,(" „da I \,o C,'Y(t.. t,'v,oy le,tlIIU) ',tl G'; .`,nP ✓�. ',VaV `� ,��_�(.,<'i n)„o,. '001 tl a: 011I iv,[„1 ^.aaOVa'a7- '1250 Valley Brook Avenue, Suite -102 Lyndhurst, NJ 07071 https Page 2 of 2 1/22/2021 Enlily Overview I Sysleln for AwarO Managernenl 91913DI SAM*oov ® M Hit 1': jW.g>v "ill rnr ypluvl ol,l dmrnn S: Inid:ry, n'/13/.0.n iioni 1 nn AM lu I:001'1L Entity Dashboard F'.ntity f)vervie�a Rnlilp�4;i ;I r0liin Core Uatn As.crl inns pi it' n Rfr 'mr Sortd".CouLmd IiJ_1)1ti1 Rinpreferrerl Report pxrlucii nn Active Fm'1111 one Inarlivr I:w �l uraons FLCjldr I Faintly M mbere AA( K'141414L'R,I IAMI dW)M"' A Entin' Cn'erciew Itulily Brgisl rnliuu Bum mnrY DUNS: I M044y I I Name: Sci -ack El,, Lik. in, BOYI IIPY9l yPY: Ya.'.:. n2is nr l li C�0 n iie l ui0 Lnct ilpduted R, (Coati Ri V( xegistrution 6tnttis: _'v:nvc Aclic:Jiun U:de: E. piration Duty. a/15/20_1 FY[IUMAI, 1unmraW Arlice l:arlusiun Rerurdn`.' W r3coll Rc_vc5 ,• City Council 11 — 48 5/18/2021 httpt._llsam.yuv/SAM/payes/secu redlentity Dashbcardientity DAshnoerd EntityUverview.]sf 1 /1 1*04amIIHv 01 City of Sauta Ana Section 3 Contract Clause These Clauses are to be inserted in all contracts A. The work to be pertornted larder this contract number 20-7530 by and between the City of Santa Ana, hcs-cinanc- rcfcn-cd Io as "City" :Intl Servitek Electric, Inc. _, hu-cinancr rcfcn-cil to as "Cootacroi", is nllbjcct to the rcgUiititic urs of Sccrion 3 of ncc I lousing and Urban I)ovclkill mcnt Act of 1 L)68, as arncuded 12i1.S.('. 1701u (section :i)- The Pulxtsc of SeeLIOII 3is to ensure that crnployrriau and other econoinic opportunities generated HUD assistance or HUD -assisted projects covered by Section 3, shall, to the greatest extent leasible. be directed Lo low -and very low-income persons. B. llic parries 0.1 Ibis contract agree to coogily With HUD's ]Qgul,ttioris in 24 Cl R Part 135, Which implentenr Section 3. As evidenced by Ill circaccution orIll ls coil tracl, the panics io ihis conlrlcl. certify Thal Ihcy are under no contractual or other constraint. that WOLdd prevciit them from complying With the Part 13.5 regulations. C. The contractor agrccs to Send to each labor organization or representative of workers with which the Contractor ha,,z an agreement or orher untk rstaueliug, if any, it notico advi,ing, the labor organization or Worker9' rePrexc:ntalire of the Conh-actnr's cururuitrnents under this SCCIIOII 3 clause, and will post. emPics of the nolioc in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice- The notice shall describe the Section 3 preference, shall set torth mininlluTl number and job titles subject to hire, availability of apprenticeship and training positions, the qualificationS foi each; and the. name and location of rho pesson(s) calving applications for each of the positions: and the anticipatctl date ncc Work shall begin. D. The Contractor agrees to include a Section 3 clause in every subcontract subject to compliance with regulations in 2/1 CFR Part 135- and agrees to take appropriate action, upon a finding that the subcontractor IS in violation of Ili,:. rcglilnriurts in 24 CI R part 135. the Cuurracror will uor snbconrracr with any nIbconuacro, whcrc the (;nnu-aclor has nolico or knowledge Ihal Lhc subconn-a.aor has horn round in viulatinn of the rut iiLmons in 24 CYR Part 135. E The Contractor will certify that any vacant camployntait positions, including training positions, that arc filled (1) after the Con tractor is selected brit 11e1`01c the contract k executed, and (2) with persons other than dnose to whom Ale roindalions of 24 ('FR parr 1 35 reLlimu employrnow opporiunilics to be dir ecicd, wcrc nol tit circumvpil the Contractor's ubligatiuns under 24 ClS R parl. 135. F. Noncompliance with regulations in 2� CFR Part 135 niay resulL in sanctions, Lamlinalion of this contract for dcfalilr, and debarment or suspension from fifruic I It-.]) a sisred projects. The Contractor by this signature Aixed hereto declares under penalty ofperjury: Contractor has react City requirements and accepts all its requirenents contained therein for all of his/her operations within the City of Santa Ana. �sI It ILI c� c C'isttfractor 1035350.C-10 Contractor I icense Number eft Designation Geoff Reyes, President April 27, 2021 Print Namc and Title Date 116944911 FederalDUNS Number City Council 11 — 49 5/18/2021 EXHIBIT 2 City of Santa Ana Section 3 New Hire Calculation Form Project Name: Jerome Park Ballfield Lighting (West Field) Project Luctatlun: 2115 W McFadden Ave, Santa Ana, CA. 92704 Street City State Zip Contractor Name: Servitek Electric, Inc. C_ utin actor C ontact- ConlractorTcicphoncMiinbcr: 626-227-1650 ext 101 Conn aetorEmail Address info@servitekelectric.com Section 3 Resident Hiring Goals Trade/Craft Number of New Hires None None Total Number of New Hires: Total number of Section 3 resident new hires necessary to comply with contract: 0 L,nati�ire Apri127,2021 Siof{' nnactor Datc City Council 11 — 50 5/18/2021 EXHIBITS Contractor's Section 3 Affirmative Action Plan Jerome Park 8a11field Lighting (West Field) 20-7530 Proi"r NUmbcrand'I itic The Undersigned contractor agrees to implement the lollowing aflirmative action step, directed at increasing the UriI i7atiOn I)f lower IIIWIM rCsidcnrs and businC33 concCrn Iocarcd witlLrt d1C Con IIry of 01aII&C. 1. l akc afr111natri'l1 action io Unsure Ihat clllployccs or applicants for clarplo),mcm or training art: no[ discriminated against because of race. color, religion, sex or national origin. �. Se1ld a notice of the contractor's Section 3 com mltment to each laboro1'gani7dtioll tit' 1'ep1eSel1tati N'e of workom and p o a a copy of the notice at a conspicuous place available to employees and appl icnnts for CmploymcnI oI Irainin1g. 3. To the greatest extent feasible, make a good faith effort to recruit for employment or training lower income residents front the County, and to award contracts to business concerns which are located in or owned in substantial part by person; residin.q. in the County through Luc oC local adverlising media, signs placed at the ptoj"r circ and norificarion to conininniry organi7arions and public or privarc instivurions opci-aring Within or acrvimg the prnjM area such as Service Employmctn and Ralc%clopnl.xtl (SER), (lppotiunitics 1ndLIStrial1Zatlon Ccntcr (01C), Urban Lcat uc, Contractcd hinploymcnt Program, U.S. hinploymcnt Scrvice., Chamber of Commerce, labor unions trade associations and business concerns. 4. Maintain it file of all low-income area residents who applied for employment or Uaining either on their own of on refcnal from any source. and the action taken with respect to each area residan. 5_ Maintain it the of all business concern,, located in the County who submitted it bid for wort: on the project, and the action taken with respect to each bid. 6. Maintain records, including copies of co respondence, memoranda, etc., which document that a tfu nlative action steps have been taken. 7. Incorporate the Sc etion 3 claLUse provisions in a ll sLUhcontracts, and require suhcnmtractnr(s) to suhtnit a Section' Affirmative Action Plan. Servitek Electric. Inc. -'- Company Name gnature If o 'motor 385 S Lemon Ave. #243. Walnut. CA 91789 Ceorr Reyes Adclress: Street, City, State, Zip Printed Name 116944911 FANS Nutnhcr President Title City Council 11 - 51 5/18/2021 EXHIBIT9 City of Santa Ana Section 3 Contract Award Consideration Biddct's Name: Servitek Electric. Inc. plcasc check 111C numbered statement tilal is applicable to your business: My business qualifies as a Section 3 business concern: If you have checked statement NUMBER I please read the attached Section 3 Business Concern preference - Kidding Requirements. (please check the applicable yualillcntion for statement number 1) 51",, owned by Section 3 residents; or permanent, tall -time employees include at least 30'!. Section 3 residents; or Will subcontract more than 25"o of the dollar award of all subcontracts to be awarded to huSiness concern(.) that mca either ONIIC two preceding qualification;. Note: You are required to list all subcontractors and owner -operators in your bid statement. 2_ My business does not quality as a Section 3 business concern_ Note: Section 3 bu-iucss conccln delinitionc arc localcd lit This projcct's Contruel Documenis ifi, ations Afamial within llte 3cetion titled Section 3 Economic Opporluntltes Plan. f April 27, 2021 'ignatukgo BUN -Ns Owner Date Geoff Reyes, President Print Name City Council 11 — 52 5/18/2021 EXHIBIT 12 CITY OF SANTA ANA WOMEN OWNED/MINORITY BUSINESS OWNED ENTERPRISES (W/MBF.) GOOD FAITH EFFORTS Project Name: Jerome Park Ballfield Lighting (Wes[ Field) Project Number: 20-7530 Project location: 2115 W MCFaddCn Avo, Santa Ana, CA 92704, Unitod Status Pursuant to 24 CFR Part R5 § 85-30 (c) of Code of Fecleral Regulation:, Cirntractirr must ralce all necessary affit-rnativc steps to as.0 rc that minority business firms, wurncu's business cutapnsc., and lahor surplus finny arc used whenever possible. ConuacLoi shall submit the lollowing inlonnaLion to dentonsuate LhaL a gook laith etlori, has been made Lo comply With the ahove scctfcnl of the Code of Federal Rcgularions- Submittal of this form, in and of itself, may not provide sufficient documentation to demonstrate that goof faith effort was matte. Documentation such as copies of advertisement, letters of solicitation, telephone lugs, rejected quotes, etc. shou ld accompany this form. I. The names and dales of advertisement of each newspaper, trade papa, and rninorily-focus paper in which a request for W/MliI! participation for this projcci was placed by the biddcr: Names of Newspaper Date of Advertisement None None 2. The names and dates ofwiitten notices sent to W/MBF. soliciting bids fol this project and methods used for following up initial solicitation to determine with certainty whaher Lhc W/Mt3G were interested. Names of W/MBE Solicited Dates of Solicitation hallow -up Methods and Dates GDS Industries April 27, 2021 none - GDS Industries did not want to participate and hid The items of work which the bidder made available to W/M13F firm;, including„ where appropriate, any breaking down of the contracr5 into economically fcaSihle roirs tit f8eilitare W/MRF, parrieipation, rrnd the information lumished ro W/ViRk such as plan.. specilications, and requirements for the wai<. Items of Work: Materials Quote - 2" PVC, Panelboard, Circuit breaker, Wires Breakdown of Items: Materials Quote - 2" PVC, Panelboard, Circuit breaker, Wires information Furnished: Quantities needed City Council r 100CSrFROPSVCSriwDrortm wDu560MMD-S—ic-6nor—DOC 11 — 53 5/1 S/2021 l XH1BIT 12 (cont.) 4. Fffitrts made to assist W/MRF in obtaining honding, lines of credir or insurance, and arty rechnical assi,etnnec related ro the plan~, specifications and rcgkiirements for I.he work which was providcd to W/M llk: None 5. Any additional data to support a dcnl0nst1-ati011 of good faith effort, such as contracts with WIMBE assistance ageucies: I declare under penalty o%petleuv that Ihe./btzgoing iorJrtrtnatton it true and cortzxt to the best olirrrp ILnowledge. I nndercvntd that the Cin, )/ Sta?to A;m nndl w the C' .S- "T"rflnent of Hneising and Urban Mn"'Iftjrment neat verih, the information provided herein in connection with 11 /MGE compliance evahlationlandit activities and that failure to Jitlly and OfthfidlI' cutup/etc this fbi IN nary reUdt in CV00I00niC or other Sanction.;. M4_,nature: Name: Geo .. y Title: Date: A ,,l 27, 2021 Name of Contractor/Subcontractor: Servitek Electric, Inc. Contractor/Subcontractor Identification Number; 1035350, C-10 Address (Street, City, State, Zip): 385 S Lemon Ave. #243, Walnut, CA 91789 Business Racial/Ethnic/Gender Code: Circle the numeric code which indicates the racial/ethnic/gender character of the owners) and controller(s) of SI",, of the business. When 51u, or more is not owned and controlled by any s ingle racial/ethnicity/gender category, Cirdc the Code which seems nlest appropriate. 1 = White Amcticuts ? — Rlac'.k Americans 3 Native Americans Woman Owned Business: Circle One: 4 =His auic Atncriams 5 — Asuat. Pacrttc: Amen ianS 6 Hasidic 7etirs Council r zocsiFROPSVcs, ittDrowswD.t500MMD-SecGon3Spea DOC 11 — 54 5/18/2021 S er virek Electric, Inc Mail - City of Sta. AnaJerome Park Ballfielel Lighting (West Rain) 4/2gf2'., 3'47 AM cje'rvii APIA?ctric 50nurvnq Pnwcr and CnmmgNGMlgny City of Sta. Ana: Jerome Park Ballfield Lighting (West Field) f It>._nry,°s Servitek Electric <info@servitekelectnc.com> Wed, Apr 28, 2021 at 1:50 AM Cc: Geoff Reyes <greyes@servitekelectric.com> Bcc: MARTINEZ Everardo <emartinez@1sourcedist.com>, Arturo Padilla <apadilla@apepalmdale.com>, aaaes@earthlink.net, Lisa D'Alessio <Idalessio@ldsupply.net>, chns@bbcelectncinc.com, Gia Senigaglia <gia@gds- industries.com>, Melanie Venegas <melanie@allstarcable.com>, Liz Dang <I.ding@cbwholesaleelectric.com>, Kyle Dabruzzi <kyle@gerierationcablecorp.corn>, Briarl.Guenette e@cityelectricsupply.corn Cood morning! We are bidding on the above project tomorrow, and would like to request for quotes on the following: 1 1/4" Conduit LF 800 2" S80 Conduit LF 1300 #12 AWG LF 2700 #12 AWG (G) LF 900 48 AWG LF 8000 #10 AWG(G) LF 1500 100A, 480/277V, 3 Phase, 4 Wire, 24 Space Electrical Panelboard Ea 1 20A, 3P Circuit Breaker Ea 6 20A, 1 P Circuit Breaker Ea 1 100A, 3P Circuit Breaker (Main) Ea 1 Wiring. 2 #10 and 1 #10 GND LF 1200 Wiring. 4 #1 LF 1000 Wiring 1 #8 GND LF 250 2" PVC Schedule 40 Conduit LF 250 Thank you, Servitek Electric, Inc 626-227-1650 servilekeledric.corn Certified DVBE, DBE, SBE MARTINEZ Everardo <emartinez@1sourcedist.com> To: Servitek Electric <info@servitekelectric.com> Cc: Geoff Reyes <greyes@servitekelectric.corn> Hello, Wed, Apr 28, 2021 at 1,52 AM 'nupv))mail. goo gl a.cF1i(tK, 1P4—QQl1Oef584b&view=pt&search_msg-f%--PlGO823241130T1§?�855&slinPI=msg-f%3A'13@823WJ38@ Q2165 Page 1 of -12 S er virek Electric, Inc Mail - City of Sta. AnaJerome Park @allfielel Lighting (West Fielo) 4(2g12'., 1 47 AM Onesou,rce image001.png v �+L 7.. 16K A 5onclifi:r Gfsfnp any Geoff Reyes <greyes@servitekelectric.com> To- MARTINEZ Everardo <emartinez@lsourcedist.com> Cc: Servitek Electric <info @ servitekelectric.com> Nive Thank you, Geoff Reyes President q reyes(�servitekel ectric. corn Servitek Electric, Inc 626-227-1650 DVBE, DBE, SBE, SDVOSB servitekelectric.ca7l "Securing Power & Communication" Gia Senigaglia <gia(a)gds-industries.com> To: Servilek Electric <inlo@servilekeleclrie.corn> GDS will not be participating. Best Regards, Gia Gia Senig;aggha 1244 Keyj• tone. Way vlsla, callfornla 9-081 L Toll Free R66.431 .4567 x 100 tlircct 76I1 29S9677 Mohile 916_R17 9977 1 ax 760.2939693 wwmf lorls, industries_ corn Wed, Apr 28, 2021 at 1:53 AM Wed, Apr 28, 2021 at 2!07 AM Hops:))map.google.c4Fyalryopr±,-��Gef5E4 b&view=pt&search_msp-f%3M6982334�13U�4655&slmpl=msq-f°F.3A'I tiff 823'J38@95i154ti5 Page 4 of -12 S ervirek Electric, Inc Mail - City of Sta. AnaJerome Park Ballfielel Lighting (West Rain) 4(2gf2'., 3'47 AM �iynuaa'.. k3're eases., dna�-rj�-���e From: Servitek Electric <infr>@servitekelectric.com> Sent: Tuesday, April 27, 2021 10:51 AM Cc- Geoff Reyes <yreyes( servitekelectric.cant/ Subject: City of Sta. Ana: Jerome Park Ballfield Lighting (West Field) Good morning! GRAHAM Robert <rgra1hatn@1sourcedist.corn> To: "info@servitekelectric.com" <info@servitekelectric.com> Wed, Apr 28, 2021 at 6,00 AM Cc: FERRER Charlene R <cferrer@1sourcedist.com>, "greyes@servitekelectric.corn" <greyes@servitekelectric.corn>, MARTINEZ Everardo <emartinez@lsourcedist.com> Here is the portion of the quote that covers the Gear. Thank you, 'nupv))m ail_ googl a.:F1 FtK,ry1P4Q-QI1Oef584b&view=Pt&search_ I=msg-f%3A'18fl823wJ38@9Q2It35 Pane 5 of -12 To 11W Cily (If' EXHIBIT 15 NONCOLLUSION AFFIDAVIT 0 itle 2"j United St_ItCS CO& SCCTI011 112 and Public ('nnb-act Code Section 7106) DEPARTMENT Uf'PLi6LLC WORKS In accurtinnee With Title 23 United States Code Section 1 12 and Publ is Contract Code 7106, the bidder declares that the bid is not made in the interest of, or on bchalt of, any undisclosed poison, partnership, company, association, organization, or corporation-, that the bid is genllmc and not collusive or Shain; that the bidder has not direcly or indirectly induced orsolicilcd any other bidder to pill ill a fake orsham bid, and has nor directly or indirectly colluded, cousPircd, connived, or agreed Willi any bidder or anyone else to put in a Shan[ bid, or that anyolic shall refrain fi'ont bidding; [lint rile bidder has not in any manic', directly iviutlirecrly, Sought by agreement, communication, or conterence Willi anyone To fix the bid price of the bidder or any other 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 Tile public body awarding the contract of anyone interested in the proposed contract; that all Statements conwined in the bid are uue; and, Iltrlher. thal the bidder has not. direcly or indirectly, subniirred his ur her bid price or any breakdown thereof or the Contents thereof, nr tlivulged infin7uation or dala VClalivC lherclu, or paid, dud Will uol pay, any fcc to any enlxnalion, parnnership, tympany association, organization, bid depository, ur to any member or agent Ihercof to eflcclualc a collusive or sham bid. Servitek Electric, Inc. Name of Contractor 385 S Lemon Ave. #243, Walnut. CA 91789 Address Geoff Reyes, President 'ignatu ,j d' r e April 27. 2021 Datc City Council rzocsiFROFSVcsr ,DrORMSwD...ia0MMD-SecGon3Spea DOC 11 — 58 5/18/2021 EXHIBIT 16 FEDERAL LOBBYIST REQUIREMENTS CERTIFICATION Name of Firm: Servitek Electric, Inc. Address: 385 S Lemon Ave. 9243, Walnut $ CA tale: Zip Code: 91789 Date: April 27, 2021 Telephone: 626-227-1650 Acting onbehalf of the above -named firm as its Awholizcd Official, I make the following Certification to die Dcpaitincnt of Housing, all(] Urban Development (111I1)) and the Colmllullity Dcvclopmcllt Conninsbion, County of Los Angeles: 1) No Federal appropriated funds have been paid, by or on behalf of the above -named firm to any person for inllucncing or anenipting to influence an olliecr or employee of any agency, a Member of Congress, an officer or employee of C on_reSS or an employee of a Member of Congers in co nnection with the itwarding of any Federal contract, the making of any Federal gran, loan. or cooperative agreement, and any extension, continuation, reicwal, anlendnient, or modification thereof; and 2) If any fonds other than Federal approptialcd fund, have been paid or will be paid to any person for lnflucllcin., or attempting to infiucllcc all Officcr or employee or any agency, a Mcmbcr of Congress, an officer or employee of Congress, or in employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agroement, the above-nanicd firth shall complete and submit Standard Iorni—I'l I , "I)iticloSprc I orni to Report Lobbying" in accordance With it in (riletivns; and 3) 'the above -named firm shall require that the language of this certification be included in the award doctnnents for all sub -awards at all tiers (including subcontracts, sub -grants, and c01111acts under grants, loans_ and cooperative agreements) and that all sub -recipients shall certify and disclose accordingly. This ccrafication is a i nuciial rcpICScnu111011 oh fact upon which reliance was placed whcu thin transaction was made or entered into. Submission of this cenificanon is a prerequisite for making or entering into the transaction imposed by Section 1352 Title 31 ll-S- Code- Any person who tails to file the required certification shall be subject to a civil penalty of nor less than A 10,000 and not more than S 100,000 tirr each such failure. Authorized Official: Nanlc: Geoff Reyes fitly. President Signature: -------------- - ---- Date: April 27. 2021 City Council rzocsiFROFSVcs� ,DromswD...in0MMD-SecGon3Spea DOC 11 — 59 5/18/2021 Pruj cet Name: EXHIBIT 17 CERTIFICATION OF UNDERSTANDING AND AUTI IORILATION Jerome Park Ballfield Lighting (West Field) Project Number: 20-7530 This is to certify that the principals and the authorized payroll oflicer, below, have read and understand the. labor Standanls cln ]SVq P[rtaining TO the stlhioot Pruioct. The following person(s) is designated as the payroll officer for the undersigned and is authorized to sign1 the Sratcrt1cnt of Conlplinnec,, which will neccnnpnny our weekly ecrtified payroll repoirs for this proicct Geoff Reyes �33A1.dl.�Tficrr's Name ayroll (�ft er.��?ignaure Servitek Electric. Inc. Conn actor/Subconu actor r by _ ...................�. 1, '.'.:". S gnanu e� Geoff Reyes Printed Namc President lillc April 27, 2021 Datc 1035350, C-10 Contractor/Subconuaaor License No. 116944911 DT TNS NI111111ca' City Council ra00CS�FROFSVCS�i WDrORMS�M0.i560cAM0-Sec]o,3Spec_DOC 11 — 60 5/18/2021 C'I'I'Y OF SAN'FA ANA CONSTRUCTION CONTRACT PROJFCT NO. 20-7530 TEROME PARK BALLFIELD SPORTS LIGHTING This CONSTRUCTION CONTRACT is made and entered into this 18°i day of May, 2021 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and Servitek Electric, Tnc_ (hcicinafLet "CONTRACTOR")_ WTTNF,SSF.TH: fhe CII Y and the CONI ItACf01t, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to consuuct and complete ma good and worionanlike manner and to the satisfaction of the City Engineer ol'the CITY, the Jcrome Panic Ballficld Lighting Project (hercinaller rcl'cn-cd to as the "WORK OF IMPROVLMLNI"') identified in and in accordance with the Conract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Docutnems" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Inforntalionto Bidders • Rid Proposal • Bid Bond • Contract form • contract Bonds • General Provisions • Special Provisions Technical Provision, and Project flans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications fcn-Public Works Construction. 3. CTTY agrees to pay ruxT CONTRACT(-)Tt agrees to accept in full payment to complete the WOTLK OF TMPROVFMF.NT the sum total anuamt not to exceed Four Hundred Forty -Six Thousand Nine Hundred Filly Dollars and No Cents (S446,950.00), as Set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Lxhibit "A." The BID PROPOSAL contains a schedule of unit price(S) or lump Sum(S) based oft approximate quantities only, and the City does not expressly or by implication a€rec that the actual amount of work - will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. City Council 11 — 61 5/18/2021 -v. 09r01n-017 Page 1 of 3 C FFY OF SAN'FA A N A EXHIBIT 4 CONSTRUCTION CONTRACT PROJFCf NO. 20-7530 TERO)ME PARK BALLFIELD SPORTS LI(iHTIN6 (WEST FIELD) This CONSTRUCf1ON CONTRACT is made and entered into this 18"i day of May, 2021 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter -CTTY"), and Servnel< Electric, Tnc_ (hci Gina licr "CONTRACTOR"). WTTNESSF,TH: I he 0 1 ' and the CON I RAC I OR, for the consideration hereinafter named, mutually agree as follows: ]. CON I RAC I OR agrees to perform all the work and banish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Jeromc Par]: Balllicld Lighting (West Fictd) Project (hereinafter rctcrrcd to as the "WORK OF IMPROVLML.N7"') identified in and in accordance with the Commet Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract eonsists of the "Contract Documents" as dcfineci by dre Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • 6eneral Provisions • Special Provisions • 'I'echnical Provisions and Project flans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Worl<s Construction. 3_ ( agrees to pay and CONTRACTOR agrees to accept in full payment to complete the NVO )RTC OF IMPROVEMENT the sum total amount not to exceed Four Hundred Forty -Six ThOUNand Ninc Hundred Filly Dollars and No Cents (5446,950.00), as set forth and idernilied in the BID PROPOSAL, which is attached hereto and incorporated herein as Lxhibit "A." The BID PROPOSAL contains a sehedule of unit priec(s) or lump sum(s) based ou approximate quantities only, -iod the City does not expressly or by impl ication agree that the actual amount ofwork- will correspond therewith, bul reserves the right to increase or decrease the amount of any class or portion of the work or to onrit portions of the work as may be deemed necessary or advisable. City Council 11 — 62 5/18/2021 «w. o1,roi01117 Page ] of3 4. CONTRACTOR agrees to complete the WORK OF IMI'ROVI-.MF.NT within the time specified in the Time for Completion of Tmprovements section of the BIT) PROPOSAT. (Fahibit --A") including commencing construction within the timeframc: therein specified after issuance ofallotice. to Procecd. 5- Thc. CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 0- fl applicable, the CONTRACTOR shall adhere to the CITY'S Corrnnunity Wol"klorCC Agreement (CWA), a pre -hire collective bargaining agreenrenl, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully detciibed in the CWA. The CWA may be found on the Cily's website at: http://www,.same.-ana.orQ/pw i/documetit,,/C WA. pdf T CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One. Hundred Percent (1001/,,) of the Contract price, to guaranteee. the Iaithlid performance of the work (Performance Bond), and one in the amount of One 111.1ndred Percent (100%) of the Contract price to guarantee payment of all claim; for labor and materials furnished (payment Flon(l). This Contract shall not become el7ecrive until such hoods are supplied to and approved by the CITY. R- CONTRACTOR shall, prior to the release of the perRrrnrance kind payment bonds or the retention payment, furnish a warranty perfornnancc and paymcm bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars (5500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars (S 10,000) or Twenty Percent (20°/) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the. Wan -arty Bond anunmt shall be the greater of One Hundred Thousand Dollars (S100,000) or Ten Percent (10%) of the final contract price. 9- CONTRACTOR shall, alter award of this Contract, furnish Certificates of Liability Insurance and Worker's Curnpersalion Irsnrartce as outlined in Flit Gencral Provisions, tube approved by the CITY. 10. INDEMNIFICATION. To the fullest extcut allowed by law, CONTRACTOR and its Subcontractors hereby agree to detetld, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafler collectively referred to as "Indenutitees"), through legal counsel acceptable to CTTY, liom and against any liability, claims, actions, costs, darnaacs or losses, including reasonable costs and attorncy's tees, for injury, including death to an-y person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: fit Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier: (ii) Pp•tormance or nonperformance by CONTRACTOR or its Subcontractors of any louver tier, orally orthe of ligalions under the C:ontacl Documents; City Council 11 — 63 5/18/2021 Page 2 of 3 (iii) The construction activities of CONTRACTORZ or its Subcontractor of any lower tier, either on the project site or on other properties; (iv) The paymcni or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or oft the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section %hall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Doarmenis shall be construed to give rise to any implied right of indernnity in favor of CONTRACTOR against CITY or any other Indenwitee. IN WTTNESS WHEREOF, the parties hereto have executed this Construction r:ontract on the day and year first above. writrcn. ATTEST: DAISY GOMEZ Clcrk of the Council APPROVLD ASTO FORM: SONIA R. CARVALHO City Attorney 11y: 7-A' -f,4, 7 N FUNK Sctrior Assistant City Attorney RECOMMENDED FOR APPROVAL: NAB1L SABA, PE Itxccutive Director I'ublic. Works Agency CITY OF SANI'A ANA KRISTINE RIDGE City Managcr CONTRACTOR: Servitek Liectric, lne. NAME- Cieon H TITLE: Preside City Council 11 — 64 5/18/2021 Page 3 of 3 EXHIBIT A Vendor Name Servitek Electric. Inc Address 385 S Lemon Ave A243 Walnut. California 91789 United States Respondee Geoff Reyes Respondee Title President Phone 626-227-1650 Email infoCu?servitekelectnc. rom Vendor Type SBE, DVBF, MSF, CADIR L.Jcenne # 1035359 CADIR ;jd II?(, .A - Bid Format Elecrronlc Submitted 04/28/2021110 PM IPDTI Delivery McMod Bid Responsive Bid Sixtus Slibmvtted Confimtafion # 252003 Ranking 0 i yr. , n If. ',(_ _ Il Y10 " 4t, trt, I r rl i"1'C 10f„�.4, ill i Pile Title File Namc File Typc Jerome Park_Bid Doaoments_pdf Jerome Park —Bic] Doarments.pdf General Forms City Council 11 — 65 5/18/2021 37:IGTw.l I_. If, {+.f'rYI 3 Discount Terms No Discount ,. 0" bnrl I.-, 'ff.. f 1,111, _ , ..NII n!VA I,( .. II, r ✓✓ , r I, If, I I I,rur . JI, .v,f „N. rnu r n1,111,11 A nl il,Lr/.If IN.liI. L, N, rAa ii-f I I.,.I(,.F I'.I f�lNA 41NI t, 1etc, v, r 11 1 ,inA,�x , ,nr oo I F.. FA s n I, . rI f 1, )iG City Council 11 — 66 5/18/2021 EXHIBIT A 1r, i)II, �a�„�„ tlllti ADI)Al IL'XiNglF ('IOINI) I PAQLOt' [01A, f;AbP IffilAMOUNT) Llnli blal �31360i404V .S Iy jly� lI.Q(1 U ana Totut 54IC950 0000 City Council 11 — 67 5/18/2021 CITY OF SANTA ANA PROPOSAL PROJECT NO. 20-7530 JEROME PARK BALLFIELD LIGHTING (WESTFIELD) The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). TIME FOR COMPLETION OF IMPROVEME,NTS_AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within fifty 50 working, days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,200 per calendar day. Name of Firm Signature of BIl Servitek Electric, Inc. Title Geoff Reyes, President/Secretary/Treasurer (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm_ If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof ) City Council 11 — 68 5/18/2021 P-2 ofP-17 EXHIBIT 5 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 20-7530: JEROME PARK BALLFIELD LIGHTING (WEST FIELD) Construction Contract $ 446,950.00 Contract Administration, Inspection and Testing $ 63,400.00 Contingencies $ 45,000.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 555,350.00 EXHIBIT 6 City Council 11 — 69 5/18/2021 m s N U a. b U a g F- z O o U LY z m O t5 rw E OLU C7 a J a F 1O U m W o W LU m m o o p LLL 0 x a acaa N O N 00 r Tv, U c 0 0 U iJ Planning and Building Agency https://www.santa-ana.org/pb Item # 12 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Approval of Historic Property Preservation Agreements AGENDA TITLE: Historic Property Preservation Agreements RECOMMENDED ACTION Authorize the City Manager or designee to execute the attached Mills Act agreement with the below -referenced property owners for the identified structure(s), subject to non - substantive changes approved by the City Manager and City Attorney. Historic Property Property Owner(s) Preservation Address/House Vote by HRC A reement No. 1. Andres and Lynda 2020-11 2042 N. Victoria Drive 7:0:2 (Carpenter and Matzkin Frazier Abstain 2. Bradley Lewis 6:0:3 (Carpenter, Owen and 2020-18 824 N. Garfield Street Frazier, and Santiago Munoz McLoughlin Abstain) Jr 37 Robert M. and 2020-20 520 W. Nineteenth 9:0 Connie J. Yoakum Street 4. Chad Barker 1 2021-01 1 2014 N. Flower Street 9:0 DISCUSSION On March 25, 2021, the Historic Resources Commission (HRC) recommended that the City Council authorize the City Manager to execute the above referenced Mills Act agreements with the identified property owners for historic structure(s) in the City, subject to non -substantive changes approved by the City Manager and City Attorney. This action allows for the approval of a Historic Property Preservation Agreement (Mills Act Contract) which provides a property tax reduction whereby property owners agree to reinvest the tax savings towards the maintenance of the historic property. Additionally, the agreement prevents inappropriate alterations to the protected historic structure(s). City Council 12 — 1 5/18/2021 Approval of Historic Property Preservation Agreements May 18, 2021 Page 2 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed projects are exempt from further review. The following Categorical Exemptions will be filed for this project: • ER No. 2020-68 (2042 N. Victoria Drive) • ER No. 2021-05 (824 N. Garfield Street) • ER No. 2021-02 (520 W. Nineteenth Street) • ER No. 2020-62 (2014 N. Flower Street FISCAL IMPACT The Historic Property Preservation Agreement will reduce the Property Tax revenue account 01102002-50011 to the City by an estimated $2,811.01 annually noted below, for a period of not less than ten years. HPPA No. Address Estimate Exhibit No. 2020-01 2042 N. Victoria Drive $735.55 1-2 2020-18 824 N. Garfield Street $394.94 3-4 2020-20 520 W. Nineteenth Street $769.46 5-6 2021-01 2014 N. Flower Street $911.06 7-8 Total for All Properties: $2,811.01 EXHIBIT(S) 1. Mills Act Agreement— 2042 N. Victoria Drive 2. HRC Staff Report— 2042 N. Victoria Drive 3. Mills Act Agreement — 824 N. Garfield Street 4. HRC Staff Report — 824 N. Garfield Street 5. Mills Act Agreement— 520 W. Nineteenth Street 6. HRC Staff Report— 520 W. Nineteenth Street 7. Mills Act Agreement — 2014 N. Flower Street 8. HRC Staff Report — 2014 N. Flower Street Submitted By: Minh Thai, Executive Director of Planning and Building Agency Approved By: Kristine Ridge, City Manager City Council 12 — 2 5/18/2021 HILLS, I CT n GREEMENT 2042 North Vir[oria Drive Santa Ana. C 1 92706 RECORDING REQUESTED BY AND WIII'N RI:CORDFD MAII.TO: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Attn: Clerk of the Council HELL ILLCORDING PURSUANT 10 CiMLICNMLNICOOL 5 27383 TTTSTORTC PROPERTY PRESFRVATTCIN AGREEMENT This Historic Property Preservation Agreement ("Agreement"") is made and entered into by anti between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and Taws of the of the State of California (hereinater referred to as `Ci(y), and Andres Malzkin and Lynda Malzkin, husband and wife as Commmnily Property with Right of Survivorship, (hereinafter collectively referred to as "Owner'), owner of real property located at 2042 North Victoria Drive, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the Cit_v of Santa Ana is authorized by California Government Code Section 50280 ct seq. (known as the "Mitts Act") to enter into contacts with owners of qualified historical properties to provide for appropriate use; maintenance, rehabilitation and restoration such that these historic properties lCtain their historic character and inicurity. B. The Owncr possesses fie title in and to that ecrtain qualified real propa'ty_ together with associated structures and improvernenis thereon, located at 2042 North Victoria Drivc, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Properly'. C_ The Historic Property is officially designated on the Santa Ana Register of listorical Properties pursuant to the requirements of Chapicr 30 of the Santa Ana Municipal Code. D. City and Owner, for their mihntal benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Properly in order to enhance and maintain its value as a cultural and historical resource litr Owner- and for the wnumurit_y; to prevent inappropriate alterations to the Histoiie Property and to ensure that repairs, additions, new building, and other changes are appropri:-tte; and to ensure that rehabilitation and maintenance are carried out in an Cxemplary manner_ City Council I 12 — 3 5/18/2021 Exhibit 1 HILLS, I CT n GREEMENT 2042 North Virloria prior Santa Ana. C 1 92706 E. Owner and City intend to carry Out the pur3wses of Caliluntia Government Code, Chapter I , Part 5 of Division I ofTitle 5, Article 12, Section 50280 et seq., which will enable the Historic Properly to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1 -9, Sec- 439 et seq-, Chapter 3 Part 2 ol'Division I of the California Tax and RCVemte Code. NOW, THEREFORE. the City of Santa Ana and the Owner of the historic Property agree as follows - Effective Date and Terms of Agreement. This Agreement shall be effective and connnence on May 19, 2021, and shall remain in effect to[- a lean of Len (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial tern will automatically be extended as provided in Calilirrnia Government Code Sections 50290 through 50290 and in Section 2, below. 2. Renewal. a- F.ach year nn the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year tern of this Agrccrlicnt unless written notice of nonrenewat is served as provided herein. b. 11' the Owner Or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of notn•enewal of the Agreement ou the other Party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner al least sixty (cif)) clays prior to the annual renewal dale, one (I ) year shall automatically be added to the term of tlrc Agreement as provided herein- C. Within 30 days from receipt of City's notice of norilenewal, the Owner ilia -y file a written protest of City's decision of nomenewal. The City may, at any titre prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nom-enewal in any year, the Agreement shall remain in ellect for the balance of the teen then retraining, either liutn its original cxeeu11011 ur 1i0111 the last renewal of the Agrcctnett, whichcvcr may apply. 3. Standards and Conditions for Historic Property. During the teen of this Agreement, the historic Property shall be subject to the following conditions, rcquirc nrcnts and restrietions- a. Owner shall maintain the IIistoric Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features described in the "Historical Property Description" attached hereto, marked as Exhibit Q, notably the gcnand archilcetural lbinr, style, materials, design, scale, proportions, Orgarli7atiUn of WIndOWS, (loots, and other openings, textures, details, nlass, roof title, porch and other aspects of the appearance of the exterior 10 the Salislitelion Of the City. City Council z 12 — 4 5/18/2021 HILLS, I CT n GREEMENT 2042 North Vir[oria Drive Santa Ana. CA 92706 b. All changes to the I Iistoric Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Ut?ice of Historic Preservation of the State Department of Parks and. Recreation, namely the IT-S. Secretary of the Interior's Standards and Cluidclincs Ibr Historic Presc nation Projcets- Thcse guidelines arc attached hereto, marked as Lxhibit C, and ineorporatcd ltcrein by this refercnec. Owner shall continually maintain the I istoric Properly in the same or better condition. c. A vice corridor enabling the ucncral public to scc the Historic Property from the public rigtu-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with ally new structrue, such as walls, tenses or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following arc prohibuc l: do nolnion ol'the Historic Property or destruction of character -defining tcatures of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the historic Resources Commission; paving of yard surface; exterior alterations or additions unless approved by the Historic RCSUtn-CC.s Commission and such alterations arc in keeping with the Secretary of [ntcrior's Standards; deteriorating, dilapidated or unrepaired su-uctures such aS ILirCCS, rook, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as ears, appliances, or hu niture; and other' unsightly by decoration, stntettire or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic inspection by prior appointnenl, as needed or at least every live (5) years after the initial inspection, of the interior and exterior of the Historic Property by representatives of the City of Santa Ana, the Courgy Assessor, the State Department of Parks and Rcercation, and the State Board of Lqualmnion, to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to filrnish the City with any and all infonnation requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 5. CarrlelldhOn. I . The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280. et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City detennines that the Owner have failed to restore or rehabilitate the property in the niauuel specified in Section 3 of this Agreement. if a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. I'his cancellation fee shall be a percentage (currenlly set al twelve and one-half (12 V) percent by Government Code Section 50286) of the current fair market value of the City Council s 12 — 5 5/18/2021 HILLS, I CT AGREEMENT 2042 North Vir[oria Drive Saata Ana. CA 92706 properly at the lime of the cancellation, as determined by the county as�e�sUr, Without regard to arty restriction imposed pursuant to this Aorecmcnt. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building O11icial more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled immediately bccausc, in cttcet, the historic value of the strveture will have been destroyed- No fce shall bc imposed in the case of destruction by acts of God or natural disaster. C. I the historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this A4p•e0111e11t, this Agreement shall he cancelled and no fee imposed, as sped tied in Government Code Section 50288. 6. Enforcement of Agreement. I In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, City may specifically enforce, or enjoin the breach of. the terms of the Agreement- In the event of a default, under the provisions to cancel the Agreement by Owner, the City shall give written notice to Owner by registered or certified mail, and it such a violation is not corrected to the reasonable satisfaction of the City Manager or designee within thirty (30) day; thereafter, or if not corrected within such a reasonable tinge a cony he required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to Cure the breach or default may be commenced within thirty (30) clays and shall thereafter be diligently pursued err completion by Owner), then City may, without fiuthcr notice, dcclarc it default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of Owner growing out of the germs of this Agreement, apply to any court, stale or - federal, for injunctive relief against any violation by 0"ner or apply for such relief as may be appr'oprlatc- b. City does not waive any claim of default by the owner if City does not enforce or cancel this A-u cement- All other remedies at law or, in equity which are not otherwise provided for in thil Agreement or in City's regulations governing historicc properties are available to City to pursue in the even that there is a breach of this Agreement. No waiver by City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. I . Owner hereby subjects the Historic Property, located at 2042 North Victoria Drive, Assessor Parcel Number. 002-111-37, and more particularly described in Exhibit A, in Thu City of Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreement. h- City and Owner hereby declare their sped fie. intent that the covenant,, conditions and restrictions as set forth herein shall be deemed covenants running with the land and shall pass co and be binding upon Owner's successors and assigns in title or interest to the Historic Property. Fvery ionlracl, deed, or other instrument hereinaller executed, covering or conveying City Council 12 — 6 5/18/2021 HILLS, I CT AGREEMENT 2042 North Vir[oria Drive Santa Ana. CA 92706 the I Iiswric Properly or any portion thereof, shall conclusively be held to have been CYCCnted, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, conditions and restrictions are set forth in such txnuract, deed, or other 111strument- 8. No Compensation. Owner shall not receive any payment from City in consideration of the obligation unposed under this Agreement, it being reconnized that the consideration for the execution of this Ageement is the substantial publicc benefit to be derived therefrom and the advantage that will accrue to Owner as a result of the etteet upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required b-y the terms of this Agreement shall be sent TO the address of the respective parries as specified below or at other addresses that may be Later specified by the parties hereto - City: City of Santa Ana 20 Civic Center PIa7a (M-30) Santa Ana, C'A 92702 Attn- Clerk of the COnneil Owners: Andres and Lynda Matzkin 2042 North Victoria Drive Santa Ana, CA 92706 10. General Provisions. I , None of the terms, provisions', or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of'their heirs, successors, or assigns, nor shall such Icons, provisions or conditions cause them to be considered joint ventures or members Ofnyjoint enterprise. h- The Owner agrees to and shall indemnify and hold the ('try and its elected and appointed officials, ol'liccrs, agents, and employees harmless from liability for damage or claims 1br damage for personal injuries, including death, and claims for property damage which tna-y arise from the direct or indirect use or operations of the Owner or those of his or her contractor. Subcontractor, agent, employee, or other peNon acting on his or her behalf which relates to the use, operation, anti maintenance of the Historic Property. The Owner hereby agrees to anti shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, of alleged to have been caused by, reason ofthe Owner's activities in conncetion with the Historic Property. City Council S 12 — 7 5/18/2021 HILLS, I CT n GREEMENT 2042 North Vir[oria DrAv Santa Ana. CA 92706 C. This hold harmless provision applies to all dautagc, and claims for darnages sutfered, or alleged to have been suffered, and costs of detense incurred, by reason of the operations referred to in this Agreement regardless of whether or not City prepared, supplied, or approved the plans, sped fiCations or other documents Ibr the Historic Propelty- d. All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whahcr by operation of law on in any manner wltatsocvcr- e. In the event legal proceedings arc brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding nray recover all reasonable atlontcy's fees to be fixed by the court, in addition to court costs and Other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any cotut of competent jurisdiction, or by subsequent preemptive legislation, the validity and enlbrceabilit-y of the remaining provisions, or portion, thcraof. shall not be effected thereby. k. l his Agreement shall be construed and governed in accordance with the laws of the Sidle ofCalill rnia, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agrccmcnt to be recorded in the office. of the. County RCCOr"dcr- of the C:ouirty of Orange. 12. Amendments. This Agreement may be amended, in whole or in part, only by a writtcu recorded instrument excctrted by the parties hereto. 13, H'.tfective Date This Agreement shall be effective on the clay and year first written above in Section I - {Signature page lirllows City Council 12 — 8 5/18/2021 ATTEST: DAISY GIIML"Z Clerk of the Council OWNE14 Date: Datc: APPROVED AS TO FORM: SONIA C'ARVALHO City Attorney By: J01- M. FUNK Assistant City Attorney HILLS, I CT AGREEMENT 2042 North Haorla Drive Santa Ana. CA 92706 CITY OF SANTA ANA KRISTINE R1DGL City Manager By: ANDRLS MATZKIN By LYNDA MATZKIN RECOMMENDED FOR APPROVAL: MIN 11 '1'11A1 I-:xecutice Director Planning and Building Agency City Council 12 — 9 5/18/2021 HILLS, I CT .1 GREEMENT 2042 North Vir[oria Drive Santa Ana. CA 92706 EXHIBIT A I F.GAI. DESCRIPTION THE LAND REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBED AS FOLLOWS: COMMENCING AT THE NORTHEAST CORNER OF LOT 35 OF TRACT NO. 7RR, AS SHOWN ON A MAP THEREOF RECORDED IN BOOK 23, AT PAGE 49 OF MISCELLANEOUS MAPS, RECORDS OF ORANGE COUNTY, AND RUNNING THENCE SOUTHERLY, ALONG THE LAST BOUNDARY OF SAID TRACT NO. 788,185 FEET TO 'I'III( SOUI'II LINIt OF ' IIF LAND CONVI(YFI) TO CAI1,I1: I(. HORTON, FF AI.., I{FCOI{DF:D OCIOBFIL 4, 1947 IN BOOK 1559, Al PAGF: 132 OF OFFICIAI, RF:C0IZDS_, BEING THE TR17E POINT OF BEGINNING OF THE LAND HEREIN DESCRIBED; RUNNING THENCE SOUTHERLY, ALONG THE EAST BOUNDARY OF SAID TRACT NO. 788, 45.89 PELT TO THE NORT11LAST CORNER OF LOT 27 OF SAID TRACT NO. 7xx: THENCE EASTERLY, ALONG THE EASTERLY EXTENSION OF THE NORTH LINE OF SAID LOT 27,12 FELT TO THE EAST LINE OF T11E LAND CONVEYED TO THOMAS E IIANIGAN AND WII;I(, BY I)FF.P RItCORI)I;I) JUNI- 13, 1952, IN BOOK 2343, A I- PAGI( 104 OF OFFICIAL I?FCOILDS; THENCE SOUTHERLY ALONG SAID EASE LINE 39 936 FEET TO THE SOUTH LINE OF THli LAND CONVEYED TO G. EMMETT RA1TT AND WIFE, BY DEED RECORDED OCTODLIt 27, 1930 1N BOOK 423, AT PAGE 445 OF OFFICIAL RE(:OI )S; THENCE EASTERLY ALONG SATD SOTJTTT LINE., 198 FEET, MORE OR LESS TO THE CENTER LINE OF VICTORIA DRIVE, 80 FEET IN WIDTH, AS ESTABLISHED BY DECREE RECORDED 1N JUNE 14, 1927, 1N BOOK 13, AT AGE 364 OF OFFICIAL RECORDS: THENCE. NORTHERLY, ALONG SAID CENTER LINE, 92.826 FEET TO THE. SOUTH LINE OF SAID LAND CONVEYED TO CALLIE E. HORTON ET. AL; THLNCL WESTERLY ALONG SAID SOUTH LINE, 210 FEET, MORE OR LESS I-0 THE 'HtUE POLNT OF BEGINNING. Assessor's Parcel Number: 002-111-37 City Council s 12 — 10 5/18/2021 EXECUTIVE SUMMARY Hamilton-Schoppert House 2042 North Victoria Drive Santa Ana, CA 92706 NAME ADDRESS Hamilton-Schoppert House REF. NO. 2042 North Victoria Drive CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1956 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT NIA NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FUR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric El Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional During the Great Depression through the immediate postwar years, the Minimal Traditional home rose in popularity as the preferred style for middle-class housing in the United States. This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic -eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terms, the Minimal Traditional horse satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low-cost, rninirnurn house that the majority of Arneriran wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). In a reflection of the Tudor and English Revival styles they mimic, Minimal Traditional homes are typically rectangular in plan and one-story in height, often with a front -gabled wing and prominent attached chimney. In contrast with the preceding styles, the Minimal Traditional home is capped with a low or intermediate pitch root with a hipped or side gable. Sheathing materials include stucco, brick, or wood, often accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The eaves and rake, of the Minimal Traditional home are typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes display decorative wood shutters and porch -roof supports. By the 1950s. the Minimal Traditional home was replaced by the Ranch House as the style of choice for middle-class housing and large tract -house developments. (McAlester, pp. 476-78). The Harnitlon-Schopper[ House qualifies for listing in the Santa Ana Register of Hislorical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style, dating from the second period of development on North Victoria Lane. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an early and intact example of the Minimal Traditional style in the Floral Park neighborhood, 'is a good example of period architecture." EXPLANATION OF CODES: California Reoister Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses hiqh artistic values. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. Exhibit B State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary #_ HRI # Trinomial_ NRHP Status Reviewer rce name(s) or number (assianed by recorder) P1. Other Identifies *P2. Location: ❑Not for Publication ■Unrestricted 'a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: Marrh 3. 2015 'e. Address 2042 North Victoria Drive City Santa Ana Zip 9270fi 'e. Other Locational Data: Assessor's Parcel Number 002-111-37 '123a. Description: (Denrnhe rennurre and Ilfi InBlnr elp.menIfi. Indtirle de,gr1, IrIBtP.rIBIti, LOrlrillinn, allerHlinrl S, LLP, tiP.11inq, Brin bO11ridwiPfi) Located in Floral Park, this is a two-story single-family residence constructed in a Minimal Traditional style. Asymmetrical in design. the house exhibits a gable -and -wing roof design. with a low-pitched side gable capping a two-story section on the South and a cross gable topping the one-story north wing. The too( exhibits wide. overhanging. open eaves at the first floor along the Side (north and south) elevations and at the second floor, along the front (east) and rear (west) elevations. Very shallow eaves characterize the first floor along the front (east) elevations and at the second floor- along the side (north and south) elevations. The roof is covered in contemporary asphalt shingle roofing. and the exterior wdlls dre clad io smooth stucco accented by areas of brick veneers on the primary elevation and horizontal wood clapboard siding on the first floor gable ends. Gentcrcd on the front elevation, a small entry portico is shcltcred by a shod roof sot pn simple wood porch supports with triangular braces to each side. The entry features a wide, six -panel, wood door with two half -height sidelights flanking the doorway and a dtvlded-light metal rasament pirthrre window adeyront to the entry dnnr. The northern and southern gertions of the front elevation each teahrre large, divided -light, steal casement windows. Along the north, south, and west elevations, the building incorporates a series of divided -light steel windows, including casement, four -over -four sashes, and comer windows with corner supports. An exterior brick chimney attached to the side (south) elevation rises above the roof noyoltne. The property is landscaped with a mature tree. a lawn. low vegetation and a decorative walkway at the front setback. The driveway leads to a one-story, stucco -clad. one -car garage. built at the same time as the residence dnd connected by a breezeway. Tire house appears intact and is irr good condition. *P3b- Resource Attributes: (list attributes and codes) HP2. Single-Farnlly Residence 'P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other P5b. Photo: (view and dale) East elevation. view west September 2020 'P6_ Date Constructed/Age and Sources: ■historic 1 H5F✓ City of Santa Ana Building Prr'mits 'P7. Owner and Address: Andres and I ynda Mahkin 2042 North Victoria Drive Sege Ana. CA 92706 'P8. Recorded by: Pedro Gornez 20 Givir Gcntcr Plaza M-20 Santa Ana, CA 92702 *Pg. Date Recorded: March 25, 2021 *P10. Survey Type: Intensive Survey Update 'P11. Report Citation: (Cite survey rupurt and uthur suurcus, ur uttur "nund") None *Attachments: ONone ❑Location Map ❑Sketch Map ■Conlinualion Sheel ■Building. Struclure, and Objecl Record ❑Arch. ❑ArtifaCttlir",L 74l�otograph Record ❑ Other (1 2 — 2 11 S 2021 APR 523A (1195) *Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of :3 'NRHP Status Code 5S3 'Resource Name or #' Hamilton-Srhoppert Housr. B1. Historic Name: Hatnllton-Schoppert House B2. Common Name: Same 83. Original Use: Single -Family Residence B4. Present Ilse' Single -Family Residence *B5. Architectural Style: Minimal Traditional *BG. Construction History: (Construction date. alterations. and date of alterations): Constructed 1956. $30.000. January 21, 1957. Addition of storage room to gamgo for D.C. Hamilton. $400. .hoary 14, 2015. Remove bathtub and install walk-in bathtub. May 27, 2020. Tear off existing roof, resheath. and install comp roofing. $12.570. *B7. Moved? ■No OYes OUnknown DateOriginal location' *138. Related Features* None. B9a. Architect. Unknown b. Builder. V.J. Anderson *810. Significance: Theme Residential Arrhitecture Area Santa Ana Period of Significance! 1956 Property Type! Single -Family Residenca Applicable Criteria* C/3 (nI5Po15F ITpnr1snCB In tBrnns of histonCAl or sn-hitpritirel rnntBSt a defined by there A, rip. rind, art gp..ogmphlr s,op1 ... AlRn arid rP IntP.grlty) The Hamilton-Schoppert House is architecturally significant as an intact and characteristic example of the Minimal Traditional style, daling from the second period of development on North Victoria Lane. ll was built in 1956 by V.J. Anderson and the firs( known residents were Dwight C. and Frances L. Harnilton. Mr. Hdrnillurt was bum in loved in 1905. wds d U.S. Marine Corps radio operator for the steamship. "Ruth Alexander: "President of the CeittLlryToastmasters and Assistant Trust Officer for the First National Bank. Mrs_ Hamilton was born in 1907, was a teacher at Hoover School, and was on the board of the Santa Ana Community Players, a local theatre group- Mc and Mrs. Hamilton remained at the property until it was sold to William V and Anna J. Schoppert in 1974. Mr Schoppert was a U.S. Marine Corps Staff Sergeant during WWII. After returning from the war Mr. Schoppert dedicated himself to Inc famting of strawberries. According to city directories, Mr. and Mrs. Schoppert remained at the propotiy Until Mc SCnopperl's death. (See Continuation Sheet 3 of 3.) B11. Additional Resource Attributes: (List attributes and codes) *B12. References: City of Santa Ana Building Pemilts Santa Ana History Room Collection. Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: 'B14. Evaluator: Leslie Heurnarrn/Chattel, Inr.. *Date of Evaluation: Marrh 25, 2021 (This space reserved for official comments.) Sketch Map Hamilton-Schoppert Houso 204l North Victoria Drive 1. 12 k 9- 116 Y TRA T CD,a- (gl CU➢ 3 947 STREET o City Council ❑PR 523B (1/95) 12 — 13 5/18/2021 -Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name' Hamilton-Schopped House, 'Recorded by Pedro Gomez `Date March 25, 2021 Lx3 Continuation ❑ Updatra *1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a .speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Founh Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1866. and selection as the seat of the newly created County of Orange in 1889. the city grew outwards. with residential neighborhoods developing to the nosh. south. and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orubards dotted with widely scattered farmhouses The Hdmllron-Schoppert House /s located in Floral Park. a nelghborhood northwest of downtown Sdntd Ana bounded by West Seventeenth Slreel, North Hower Street, Hrverside Unve. and Broadway. Groves or oranges, avocadus, and walnuts and widely scattered ranch houses rhar-actrnzrd this area boforc 1920- Devrlopor-and builder Allison Honer (1897-1981), credited n.s the subdivider and builder of a major portion of northwest Santa Ann, arrived in Santa Ana from 89RVer Falls, New York in 1922 (Talbert, pages 353-356). "Before nightfall on the day of his arrival, Mr Honer purchased a parcel of lend. And that nrnnth, hr organ building rustom homes in Santa Ana" (Omngr. County Rrgistrr, Scptomhrr 15, 1981). Thr parrrl chosen became fire Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about S45.000 each" (Orange County Resister. September 15. 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Flotal Park showcased examples of the English Tudor. French Noiman, Spanish Colonial. and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War It, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In thr, lair, 1920s and 1930s, anothrr builder, Roy Rosror Russell (1881-1965). rontinurd dcvclnping the grnvrs of Floral Park. An early Russell project was his 1928 .subdivision of Victoria Drive between West Nineteenth .Street and West Santa Clara AvPivip. T17P homes wpm ryuite grand and displayed vannus revival styles, inrluding Russell's nwn large, C.nlonial Revival mansion at 2009 Victoria Drive. In the early post World War 11 years. Floral Park continued its development as numerous, smaller, single-family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style. In [he 1950s, low, horizontal Randy Style houses completed the gruwth or Floral Park. Today (2021) Floral Park mairilaitrs its identity as the prernter netghborhood of Santa Ana. historically home to many affluent and prominent citizens. The Hamilton-Schoppert House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for - embodiment of the distinguishing characteristics of the Minimal Traditional style, dating from the second period of development ore North Victoria Lane. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an early and int,30t example of the Minimal Traditional Style in the Flot aI Park neighborhood, is a good example of perod architecture."Character defining features of the Hatilton-Schoppert House that should be preserved include, but may tint be Itinited to, materials and finishes (brick, stucco, horizontal wood board siding. gable -and -wing roof design with wide. overhanging, open eaves. brick rhimney: wood porch supports with triangular braces to each side: and divided -light metal windows. *812. References (continued): Harris, Gyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton. 1998- Hess, Alan_ Ranch House. New York: Harry N. Abrams, Inc_ 2004 Marsh. Diann. Santa Ana, An Illustrated Historv. Encinitas, Heritage Publishing, 1904. McAlester, Virginia and Lee. A Field Guide to American Houses. New York Alfred A. Knopf, 1984. National Rcgistcr f3ulletin 16A. "flow to Complete the National Rcgistcr Registration Form." Washington DC: National Register Branch, National Park Service. US Dept. of the Interior. 1991. Office of titstonc Preservation. 'lnstntctions for Recording Historical Resources.' Sacramento. March 1995. Whitten. Marcus. American Architecture Since 1780. Cambridge: MIT Press. 1969. "Alison Honer Dies at 84,"The Sanla Ana Journal. September 21. 1981. "Builder of Horner Plaza Dies,Orange County Register: September 15, 1981. "History of Floral Park. " http://www. floral oqrk.com/Qaqc2.htrn Santa Ana and Orange County Directories, 1940-1979. Talbert, Thomas B. (editor). The Historical Volume and Reference Wnrks: Orange County. Whittier, CA: Historiral Publishers, 1963. City Council DPR 523L 12 — 14 5/18/2021 HILLS, I CT AGREEMENT 2042 North Vir[oria Drive Saata Ana. CA 92706 Exhibit C. F.xteriorwork shall be reviewed bythe Historic Resources Commission and subjectto the U.S. Secretary ofIli e interio's Standards lbrRehablhtaIion ofHistoric Buildings, as IbIIUws: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 3. The distinguishitr.- ori.-Mal qualities or character of a building, structure or site and its environment shall not be desnoyed. The removal or alteration of any historie material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Cringes which may have taken place in the course of time are evidence of the history and development of a building, strucwre, or site and its environment. These changes may have acquir'cd significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic fcaRtres or- examples of skilled c attsmanship which characterize a building, structure, or site sliall be treated with sensitivity. Oi Deteriorated architectural features shall be repaired rather than replaced, whcncver possiblc. in the event replacement is ncccssat v, the new matcrial should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural fcantres should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of dillcrent architccuu-al elements liom the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possiblc. Sandblasting and other cleaning methods that will damage the historic building materials shall not be Undertaken- X. livery reasonable effort shall be made to protect and reserve archaeological resources affected by, or attjacent to any project. 9. Contemporary design for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material. an such design is compatible with City Council 1 12 - 15 5/18/2021 M/LLS ,1 CT AGREEMENT 2042 North Vir[oria prior Santa Ana. CA 92706 size, scale, color, tnateial and character oh the property, neighborhood, or environment. 10- Whereverpossible, new additions or alterations to suucuu-es shall be done in such a manna- that il'such additions or alterations need to be retuovcd in the littnre, the essential form and integrity of the structure would be unhupairai. City Council z 12 — 16 5/18/2021 Planning and Building Agency Item # 2 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Historic Resources Commission Staff Report March 25, 2021 Topic: HRCA No. 2020-09, HRC 2020-08, HPPA No. 2020-11 -The Hamilton-Schoppert House RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2020- 09 and Historic Register Categorization No. 2020-08 (Exhibit 1). 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Andres and Lynda Matzkin, subject to non -substantive changes approved by the City Manager and City Attorney (Exhibit 2). EXECUTIVE SUMMARY Andres and Lynda Matzkin are requesting approval to designate an existing residence located at 2042 North Victoria Drive to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. On October 29, 2020, the Historic Resources Commission (HRC) held a public hearing to discuss the placement of 2042 North Victoria Drive onto the Santa Ana Register of Historical Properties. However, at the public hearing the HRC expressed concerns regarding staff's recommendation regarding the structure's architectural style of Minimal Traditional. Specifically, the HRG felt that the architectural style would be better identified as the Monterey architectural style. Therefore, the HRC continued the item to afford City staff time to affirm the most appropriate architectural style with the City's historic consultant, Chattel, Inc. Chattel's analysis indicates that the structure's architectural style is Minimal Traditional based on its character -defining elements. A summary of Chattel's subsequent assessment on the architectural style is provided as part of the discussion below. City Council 12 — 17 5/18/2021 C7i110 W HRCA No. 2020-09, HRC 2020-08, HPPA No. 2020-11 - The Hamilton-Schoppert House March 25, 2021 Page 2 DISCUSSION Project Location and Site Description The subject property is located on the west side of North Victoria Drive in the Floral Park neighborhood. The site consists of a 3,277-square-foot, Minimal Traditional residence and attached garage on a 14,374-square-foot residential lot (Exhibit 3). Analysis of the Issues Architectural Assessment Leslie Heumann, Principal Architectural Historian with Chattel, Inc., provided an additional architectural assessment. The analysis summarizes that the house has a balcony, similar massing, and some of the American Colonial Revival influences that would typically characterize the Monterey Revival architectural style. While it could be called a very late example of the Monterey Revival, the Monterey Revival was largely a pre -World War II style. More importantly, it was a "fusion" of Spanish Colonial and American Colonial Revival styles, growing out of mid-19th century Monterey, CA, when new settlers from the east combined wood vernacular and American Colonial idioms with the adobe architecture that had prevailed in Monterey up to that point. This house was built in 1956, post -World War II, and has no trace of Spanish Colonial Revival style. Moreover, several details of this house are also not typical of the Monterey Revival style, including the shed -roofed entry porch that is perpendicular to the main, two-story volume; the facade projections (bay window beneath the balcony on [he firs[ floor and stepped facade of the one-slory wing); cross -gabled roof treatment of the one-story wing; lack of classical detailing (or Spanish detailing) of the window and door surrounds. and the window types, dimensions, and divisions of lights. Chattel's analysis concludes that existing resources (McAlester 1984) further mote that within the Minimal Traditional style, "...occasional two-story examples are also seen. More commonly, two-story houses of the period have extra detailing and represent late of examples of one of the traditional Eclectic styles, usually Colonial Revival or Monterey." However, because of this particular property's deviations from the Monterey, the McAlester's description of the Minimal Traditional as a "...compromise style which reflects the form of traditional Eclectic houses but lacks their decorative detailing," was more applicable. Therefore, it's recommended that the recommendation regarding the structure's architectural style remain as Minimal Traditional. Historical Listing In March 1999, the City Council approved Ordinance No. NS-2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. City Council 12 — 18 5/18/2021 HRCA No. 2020-09, HRC 2020-08, HPPA No. 2020-11 - The Hamilton-Schoppert House March 25, 2021 Page 3 The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30-2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30-2 of the Santa Ana Municipal Code, as the property is 65 years old and is a good example of period architecture. No known code violations exist on record for this property. The property, recognized as the Hamilton-Schoppert House, is located within the Floral Park neighborhood boundaries and has distinctive architectural features of the Minimal Traditional style. The residence was built in 1956 by V.J. Anderson. A majority of Floral Park was developed by prominent local builder Allison Honer who was credited as the subdivider and builder of a major portion of northwest Santa Ana. In the late 1920s and 1930s, another builder, Roy Roscoe Russell, continued developing the groves of Floral Park. In the early post World War II years, Floral Park continued its development as numerous, smaller, single-family houses were built. Asymmetrical in design, the house exhibits a gable -and -wing roof design, with a low- pitched front -facing gable design on the first floor, and exhibits wide, overhanging, open eaves at the first floor along the side (north and south) elevations and at the second floor, along the front (east) and rear (west) elevations. The house exhibits little to no eaves at the first floor along the front (east) elevations and at the second floor along the side (north and south) elevations. The roof is clad in contemporary asphalt shingle roofing and the exterior walls are clad in smooth stucco, brick wall cladding along the primary elevation, and horizontal wood clapboard siding on the first floor gable ends. Located in the middle of the front elevation, a small entry portico is characterized by a recessed front entry with overhanging front -facade roof and simple wood porch supports with triangular braces to each side. The entry features a wide six -panel wood door with two half -height sidelights flanking the doorway and a divided -light metal casement picture window adjacent to the entry door. The northern and southern portion of the front elevation also feature large divided -light steel casement windows. Along the north, south, and west elevation, the building incorporates a series of divided -light steel windows, including casement, four -over -four sashes, and corner windows with corner supports. An exterior brick chimney located along the side (south) elevation rises above the roof ridgeline. Character -defining features of the Hamilton-Schoppert House that Should be preserved include, but may not be limited to, materials and finishes (brick, stucco, horizontal wood board siding; gable -and -wing roof design with wide, City Council 12 — 19 5/18/2021 HRCA No. 2020-09, HRC 2020-08, HPPA No. 2020-11 - The Hamilton-Schoppert House March 25, 2021 Page 4 overhanging, open eaves; brick chimney; wood porch supports with triangular braces to each side; and divided -light metal windows. The Hamilton-Schoppert House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion No. 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style, dating from the second period of development on North Victoria Lane. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an early and intact example of the Minimal Traditional style in the Floral Park neighborhood, "is a good example of period architecture." Mills Act Agreement Ordinance No. NS-2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 2). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentives to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alterations to the property The property has no identified unauthorized modifications. Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification This public hearing item was originally scheduled for the October 29, 2020, HRC meeting. At that time, the president of the Floral Park Neighborhood Association was notified by mail 10 days prior to this public hearing. In addition, the project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the October 29, 2020, HRC meeting the HRC continued the City Council 12 — 20 5/18/2021 HRCA No. 2020-09, HRC 2020-08, HPPA No. 2020-11 - The Hamilton-Schoppert House March 25, 2021 Page 5 item to a date certain. Therefore, no additional public notification was required for this meeting. ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review pursuant to Section 15331 of the CEQA Guidelines (Class 31 — Historical Resource Restoration/Rehabilitation) as these actions are designed to preserve historic resources. Based on this analysis, a Notice of Exemption, Environmental Review No. 2020-68 will be filed for this project. FISCAL IMPACT The Historic Property Preservation Agreement will reduce the Property Tax revenue account 01102002-50011 to the City by an estimated S735.55 annually, for a period of not less than ten years. EXHIBIT(S) 1. Resolution 2. Mills Act Agreement 3. 500-Foot Radius Map Submitted By: Pedro Gomez, AICP, Associate Planner Approved By. Minh Thai, Executive Director of Planning and Building Agency, Planning and Building Agency City Council 12 — 21 5/18/2021 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 RESOLUTION NO. 2021-XXX A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2020-09 TO PLACE THE PROPERTY LOCATED AT 2042 NORTH VICTORIA DRIVE, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2020-08 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On October 29, 2020, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2020-09) and categorization (Historic Resources Commission Categorization No. 2020-08) of the Hamilton-Schoppert House located at 2042 North Victoria Drive. Santa Ana. B. At the public hearing, the Historic Resources Commission expressed concerns regarding staff's recommendation regarding the structure's architectural style of Minimal Traditional. Therefore, the Historic Resources Commission voted to continue the item to afford City staff time to affirm the most appropriate architectural style with the City's historic consultant. C. On March 25, 2021, the Historic Resources Commission held a continued public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2020-09) and categorization (Historic Resources Commission Categorization No. 2020- 08) of the Hamilton-Schopperf House located aL 2042 North Victoria Drive, Santa Ana- D. A subsequent architectural assessment concluded by the City's historic. consultant, Chattel, Inc., affirms that the Hamilton-Schopperf House has distinctive architectural features of the Minimal Traditional style. E. The Hamilton-Schoppert House, built in 1956, qualifies for listing in the Santa Ana Register of Historical Properties under Criterion No. 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style, dating from the second period of development on North Victoria Lane. Additionally, the house has been categorized as "Contributive" City Council 12 — 22 5/18/2021 Resolution No. 2021-XXX Page 1 of 5 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 because it "contributes to the overall character and history" of Santa Ana, and, as an early and intact example of the Minimal Traditional style in the Floral Park neighborhood, "is a good example of period architecture." Character -defining features of the Hamilton-Schoppert House that should be preserved include, but may not be limited to, materials and finishes (brick, stucco, horizontal wood board siding; gable -and -wing roof design with wide, overhanging, open eaves; brick chimney, wood porch supports with triangular braces to each side; and divided -light metal windows). F. The legal owners of the property are Andres and Lynda Matzkin. G. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. H. The subject property meets the standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30-2 of the Santa Ana Municipal Code. I. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30-2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt frorn further review under CEQA Guidelines Section 15331. Class 31. as these actions are designed to preserve historical resources. Categorical Exemption No. ER-2020-68 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana, after conducting the public hearing, hereby approves: A. Historic Resources Commission Application No. 2020-09 to place the Hamilton-Schoppert House located at 2042 North Victoria Drive, Santa Ana, 92706 on the historical register, and B. Historic Register Categorization No. 2020-08 placing the Hamilton- Schoppert House located at 2042 North Victoria Drive, Santa Ana, 92706 within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto, the report entitled "Historical Property Description," and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description" is on file with the Planning Division, and is hereby approved and adopted, and together with the staff report and this Resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this Resolution in the City of Santa Ana Register of Historical Properties. City Council 12 — 23 5/18/2021 Resolution No. 2021-XXX Page 2 of 5 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution, pursuant to Public Resources Code Section 5020. ADOPTED this 25th day of March, 2021. Alberta Christy Chairperson APPRO\/ED AS TO FORM: Sonia R. Carvalho, City Attorney By: %w. T- J n M. Funk Sr. Assistant City Attorney AYES: Commission members NOES: Commission members ABSTAIN- Commission NOT PRESENT: Commission CERTIFICATE OF ATTESTATION AND ORIGINALITY I, SARAH BERNAL, Historic Resources Commission Secretary, do hereby attest to and certify the attached Resolution No. 2021-XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on March 25, 2021. Date: Commission Secretary City of Santa Ana City Council 12 — 24 5/18/2021 Resolution No. 2021-XXX Page 3 of 5 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 EXHIBIT A LEGAL DESCRIPTION APN Address Legal Description Owner Names 002-111-37 2042 North Victoria Drive COMMENCING AT THE Andres and NORTHEAST CORNER OF Lynda Matzkin LOT 35 OF TRACT NO. 788, AS SHOWN ON A MAP THEREOF RECORDED IN BOOK 23, AT PAGE 49 OF MISCELLANEOUS MAPS, RECORDS OF ORANGE COUNTY, AND RUNNING THENCE SOUTHERLY, ALONG THE EAST BOUNDARY OF SAID TRACT NO. 788, 185 FEET TO THE SOUTH LINE OF THE LAND CONVEYED TO CALLIE E. HORTON, ET AL., RECORDED OCTOBER 4, 1947 IN BOOK 1559, AT PAGE 132 OF OFFICIAL RECORDS, BEING THE TRUE POINT OF BEGINNING OF THE LAND HEREIN DESCRIBED; RUNNING THENCE SOUTHERLY, ALONG THE EAST BOUNDARY OF SAID TRACT NO. 788, 45.89 FEET TO THE NORTHEAST CORNER OF LOT 27 OF SAID TRACT NO. 788; THENCE EASTERLY, ALONG THE EASTERLY EXTENSION OF THE NORTH LINE OF SAID LOT 27, 12 FEET TO THE EAST LINE OF THE LAND CONVEYED TO THOMAS E HANIGAN AND WIFE, BY DEEP RECORDED JUNE 13, 1952, IN BOOK Resolution No. 2021-XXX City Council 12 — 25 5NIr" r FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 2343, AT PACE 104 OF OFFICIAL RECORDS, THENCE SOUTHERLY ALONG SAID EASE LINE 39.936 FEET TO THE SOUTH LINE OF THE LAND CONVEYED TO G. EMMETT RAITT AND WIFE, BY DEED RECORDED OCTOBER 27, 1930 IN BOOK 423, AT PAGE 445 OF OFFICIAL RECORDS; THENCE EASTERLY ALONG SAID SOUTH LINE, 198 FEET, MORE OR LESS TO THE CENTER LINE OF VICTORIA DRIVE, 80 FEET IN WIDTH, AS ESTABLISHED BY DECREE RECORDED IN JUNE 14, 1927, IN BOOK 13, AT AGE 364 OF OFFICIAL RECORDS; THENCE NORTHERLY, ALONG SAID CENTER LINE, 82.826 FEET TO THE SOUTH LINE OF SAID LAND CONVEYED TO CALLIE E. HORTON ET. AL; THENCE WESTERLY ALONG SAID SOUTH LINE, 210 FEET, MORE OR LESS TO THE TRUE POINT OF BEGINNING. Resolution No. 2021-XXX City Council 12 — 26 5NIr"t :HILLS ACT AGREEMENT 2042 North Victoria Drive Santa Amt. CA 92706 RECORDING I?FOUF.S I l-,D BY AND WHEN RECORDED MAIL TO: City of Santa Ana 20 Civic CCntca' Plaza (M-30) Santa Ana, CA 92702 Attn_ Clerk (If the CAunCil EREF RECORDING PURSUANT TO GOVERNMENT CODE § 27383 HISTORIC PROPERTY PRESERVATION AG1 LL:ML:NT This TTistoric Property Preservation Agreement (`Agreement") is made and entered into by and betwCCTI the City of Santa Ana, a charter city and municipal corporation Ally organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Andres Matzkin and Lynda Matzkin, husband and wife as Community Property with Right of Survivorship, thereinafter collectively referred to as "Owner"), owner of real property located at 2042 North Victoria Drive, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties_ RLCITALS A_ The City COnnCil of the City of Santa Ana is authorized by California Govcniment Code Section 50280 ct scq. (lmown as the "Mills Act") to cntcr into contracts with owners of qualified historical properties to provide for appropriate use, maintenance. rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possesses fee title in and to Ihat certain qualified real property together with associated structures and improvements thereon, located at 2042 North Victoria Drive, Santa Ana, CA, 92706 and more partieularly dcseribed in Exhibit "A." attached hereto and incorporated herein by reference, and hereinafter referred to as the "IIistoric Property". C_ The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requiratrents of Chapter 30 of the Santa Ana MtmiCipal Code. D. City and Owner, for their mutual benefit, now desire to enter into this agreement which defines and limits the rise and alteration of this Historic Property in order to enhance and maintain its vahle as a cultural and historical resource for Owner and for the community; to prevent inappropriate alterations to the Historic Property and to cnsurc that repairs, additions, new building, and other changes arc appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. City Council 112 — 27 5/18/2021 -- :HILLS ACT AGREEMENT 2042 North Victoria Drive Santa Al mr. CA 92706 F.. Owner Lind City intend to carry out the pur1roses of California Government Code, Chapter I, Part 5 of Division I of Title 5, Article 12, Section 50280 et seq which Will enable the Ilistoric Property to qualify tin an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 ct seq., Chapter 3 fart 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agrcc as follows: Effective Date and Terms of Agreement. This Agreement shall be effective and commence on May 5, 2021, and ;liall remain in etfeet tier a term of ten (10) years thereafter. Lach year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. I . Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year terns of this Agreement unless written notice of nonrenewal is served as provided herein- h. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of' the Aareemem on the other party - Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal dale, one (1) year shall automatically be added to the term of the Agreement as provided herein- c. Within 30 days from receipt of C;ity's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The. City may, at any time prior to the annual renewal date of the Agreement, withdraw it3 notice to the Owner of nonrenewal. d. if either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the halance of the term then remaining, either from its original execution or fr-onn the last renewal of the Agreement. whichever may apply, 3. Standards and Conditions for Historic Property. During the term of this Agreement. the Historic Property shall he subject to the following conditions, requirements and restrictions: a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, "here necessary. restore or rehabilitate the property and its character - defining features described in the "Historical Property Description" attached hereto, marked as Fxlribir B, notably the general architectural form, style, materials, design, scale, proportion~, organization of windows, door,, and other openings, textures, detalk, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. City Council 12 — 28 5/18/2021 :HILLS ACT AGREEMENT 2042 North Victoria Drive Sa@la Aaa. CA 92706 b- All changes to the Historic Property shall comply with applicable City plans and regulations, and conliirm to the rides and regulations ofthc Oflicc of tlisturic Preservation oft}rc State Department of Parks and Recreation, namely the U.S. Secretary of the laltcrior's Standards and Guidelines for Historic Preservalion Projects. "These guidelines are attached hereto, marked as Exhibit C, and incorporated herein by this reference- owner shall continually maintain the Historic Properry in the same orbetter condition. C. A view corridor enabling the general public to see the llistoric Property from the public right-of-way shall be maintained, and Owner shall not he permitted to block the view corridor to the property with any new sh-ucture, Snell as walla, fences or shrubbery. so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: demolition of the I Iistoric Property or destruction of character -defining features of the building or site; removal of' trees and other major vegelalion unless removal is approved by a rehabilitation plan approved by the Historic Resources Cotmnission; paving of -yard surface; exterior alterations or additions unless approved b-y the. llistoric Resources Commission and such alterations are in keeping wide the Secretary of Tnterior'.s Standank deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture, and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic inspection by prior appointrncut, as neccled or at least every five (5) years after the initial inspection, of the interior and exterior of the Hisloric Properly by representatives of the Cily of Santa Ana, the County Assessor, the Stale Depau-hnent of Parks and Recreation, and the State Board of Equalization, to deter -mine the Owner's compliance with the terms and provisions of this Agtee new. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all inforrnation requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 5. C'ancellalion, a. The City, hallowing a duly noticed public hearing by the City Council as set h>rth in Government Code Section 50280, et. scq-, may cancel this Agreement if it detr:rrnlnCS that the Owncr have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standafds for a qualified llistoric Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manna specified in Section 2 of this Agreement. Tf a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 '/) percent by Government Code Section 50286) of the current tair inarkct value of the City Council 12 — 29 5/18/2021 :HILLS ACT AGREEMENT 2042 North Victoria Drive Santa Amr. CA 92706 property at the time of the cancellation, as detenrrined by the county assessor, without regard to any restriction imposed pta-suanl to this Agreement- b- 11' the Historic Property is destroyed by earthquake, tire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the Original fabric of the structure must be replaced, this Agreement shall be canceled immecliatcly because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of (nod or natural disaster. c- 1f the. Historic Property is acquired by cnnincnt domain and dnc City Council determines that the acquisition fnrstrates thee purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to canect the Agreennent as rcti;rcnced herein, City may Specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by Owner, the ('ity shall give written notice to Owner by registered or certified omit, and if such zr violation is not connected to the rcasmnable satisfaction of the laity Manager or designee. within thirty (30) clays thereafter, or if not corrected within such a reasonable time as may be required to cute the breach or default, or default cannot be cured within thirty (30) clays (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter he diligently ptn-suetl to completion by Owner), then City may, without further notice, declare a default under the teiin, of this Agreement and tnay bring any action necessary to specifically enforce the obligation, of Owner growing out of the terms of this Agrcetncttt, apply to any cuttrt, state Or federal, for injunctive relief against any violation by Owner or apply for such relief as may be app rop ri a I e. b. City does not waivec any claim of dctault by the Owner if City does not cnforec or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in City's regulations governing historic properties are available to City to pursue in the event that there is a breach of this Agrcennant- No waiver by City of any hrcach or default under this Agreernent shall be deemed to be a waiver of any Other subsequent breach thereof or default hercundcr. 7. Binding effect of Agreement. a. Owner hereby subjects the Historic Property, located at 2042 North Victoria Drive, Assessor Parcel Numbcr, 002-111-37, and moan particularly described in Exhibit A, in the City of Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreement. b- City and Owner horehy declare their specific. intent that the covenants, conditions and resrctions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon Owner's successors and assign; in title or interest to the Historic Properry. Cvcry contract, deed, or other itstrtuncnt hercivaticr executed, covering m conveying City Council 4 12 — 30 5/18/2021 :HILLS ACT AGREEMENT 2042 North Victoria Drive Santa Aml. CA 92706 the Historic Propelty or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agrccmcnt re�pardless of whether such covenants, conditions and restrictions arc set forth in such Contract, dccd, or other installment. 8. No Compensation. Owner shall not receive any payment front City ill consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to he derived therefrom and the advantage that Will aca-ue to owner as a result of the effect upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required by the tents of this Agreement shall be sail- to the address of the respeetive parties as specified Below or at other addresses that may be later specified b-y the parties hereto. City: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana. CA 92702 Attn: Clerk of the Council Owners: Andres and Lynda Matzkin 2042 North Victoria Drivc Santa Ana. CA 92706 10. General Provisions. I . None of the icrtns, provisions, or conditions of this Agreement shall be deemed TO create a partnership between the parties hereto and any of their heirs, successors, or assigns. nor shall such tennN, provisions or conditions cause them to be considered joint ventures or members of any joint entetptise- b. The Owner agrees to and shall indemnity and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including= death, and claims for property damage which may arise from the direct or indircet use. or operations of tlac Owner or those of his or lrer contractor, subcomractor, agent, employee, or other person acting on his or her behalf which relates to the. use, operation, and maintenance of the listoric Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any mid all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. City Council 5 12 — 31 5/18/2021 :HILLS ACT AGREEMENT 2042 North I it wriu Drive SaWd Amr. CA 92706 C. I his hold hamiless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of delense inetured, by reason of the operations rcl'crrcd to in this Agreement regardless of whether or not City prepared, aupp]icd, or approved the plans, specifications or other documents for the Historic Property. d- All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties lrcacin, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the llistnric Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of au_v of the covenants, reservations, or restrictions contained herein, or to determine the rights and clutics of any party hereunder, the prevailing parry in suelt proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and oilier relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be. unenforceable or invalid by any court of competent jurisdiction, or by sUibsequent preemptive legislation, the validity and enforceability of the remaining provisions, or porrions thereof, shall not be effected ihcrchy- g. This Agreement sliall be construed and governed in accordance with the laws of the State of California, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the ofirce of the t'ounty Recorder of the County of 01`ange- 12. Amendments. Phis Agreement may be amended, in whole or in part, only by a written recorded insu-ument executed by the parties hereto- 13, Rtfective Date This Agreement shall be effective on the day and year first written above in Section 1- {Signature page follows, City Council 12 — 32 5/18/2021 ATTEST: EST: DAISY GOMEZ CICaic of tlaC. Council OWNE14 Date_ Date: APPROVED AS TO FORM: SONIA CAIWALHO City Annrney By: JOHN M. FUNK AiSiitant City Attorney :HILLS ACT AGREEMENT 2042 North litmria Drive Saafd Ana. CA 92706 CITY OF SANTA ANA KRISTINE RTD6E City Marla"er By: ANDRES MATZKIN BY: T.VNDA MAT7KIN RECOMMENDED FOR APPROVAL: MINH THAT EXCCulive Director Planning and Building Agency City Council 12 — 33 5/18/2021 :HILLS ACT AGREEMENT 2042 North litmriu Drive SQ@la Ana. CA 92706 EXHIBIT A LEGAL DESCRIPTION I'HI{ I.AND RIiPI{RRIiD I'0 HI{RI•:IN III:OW IS SITUA 1'11) IN THF CITY OF SAN I'A ANA, COUNTY OF ORANGE, STATE. OF CA[IFORNIA, AND IS DF;SCRIBED AS FOLLOWS: COMMENCING AT THE NORTHEAST CORNER OF LOT 35 OF TRACT NO. 781S, AS SHOWN ON A MAP TIIERE(-)F RECORDED 1N BOOK 23. AT PAGE 49 OF MISCFLLANFOITS MAPS, RFCORDS OF ORANGE COUNTY, AND RTTNNTN(; TTTFNCF SOU I HI-RI.Y, ALONG THE FAST BOUNDARY OF SAID I RAC I NO. 788, 19) FEE 10 THE SOUTH LINE OF THE LAND CONVEYED TO CALLIE E. HORTON, ET AL., RECORDED OCTOBER 4, 1947 IN BOOK 1559, AI- PAGE 132 OF 01;1 IC1AL RECORDS, IIIUNG IIIF I'RUF: POINT' OI 1 F(-;INNING 01 'II Ili LAND 111 DIiSCRIBIiD; RiITTNTNC7 THENCE SOUTHERLY, ALONG THE FAST BOUNDARY OF SAID TRACT NO. 788, 45.89 FEET TO THE NORTHEAST CORNER OF LOT 27 OF SAID TRACT NO. 7SS; TTTFNCF. F.ASTF.RT.V, ALONG TTTE EASTERT.Y EXTENSION OF THE NORTH LINE OF SAID LOT 27, 12 FEET TO THE FAST LINE OF THE LAND CONVEYED TO THOMA3 F HANIGAN AND WIFE, BY DEEP RECORDED JUNE 13, 1952, 1N BOOK 2343, AT PAGE 104 OF OFFICIAL RECORDS; .I'HF:NC'F, SOU I'HFRI,Y ALONG SAID I-.ASF. LINF.39.936 FI-+A '10 THF. SOUTH LINE OF THE LAND CONVEYED TO G. EMMETT RAITT AND WIFE, BY DEED RECORDED OCTOBER 27, 1930 IN BOOK 423, AT PAGE 445 OF OFFICIAL RECORDS; THENCE LASI'LRLY ALONG SAID SOUTH LINE, 198 FELT, MORE OR LESS TO THE (.'ENTER LINE OF VICTORIA DRIVE, 80 FEET 1N WIDTH, AS ES'1ABL1SHED BY DF.CREF RECORDED IN TTTNE 14, 1927, IN BOOK 11, AT AGE 304 OF OFFICIAL RECORDS: THENCE NORI'11ERLY, ALONG SAID CLN'ILR LINE, 82.82E ILET 10 111E SOU111 LINF.OF SAID LANDCONVF:YE1)IY)CALI,IF.F- HORTON FT. AL; THENCE WF.STF.RLY ALONG SAID SOUTH LINE, ^210 FEET, MORE. OR LESS TO THE TRUE POINT OF BEGINNING. Assessor's Parcel Number. 002-111-37 City Council 12 — 34 5/18/2021 -b- W7 x$11 i W4&11lt7i 1 I!i /.\ WA Hamilton-Schoppert House 2042 North Victoria Drive Santa Ana, CA 92706 NAME Hamilton-Schoppert House REF. NO. ADDRESS 2042 North Victoria Drive CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1956 LOCAL REGISTER CATEGORY, Contributive HISTORIC DISTRICT I NIA NEIGHBORHOOD I Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional f)uring the Great Depression through the immediate postwar years. the Minimal Traditional home rose in popularity as the preferred style for middle-class housing in the United States. This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic -eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terms, the Minimal Traditional home satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low-cost, minimum house that the majority of American wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). In a reflection of the Tudor and English Revival styles they mimic, Minimal Traditional homes are typically rectangular in plan and one-story in height, often with a front -gabled wing and prominent attached chimney. In contrast with the preceding styles, the Minimal Traditional horse is capped with a low or intermediate pitch root with a hipped or side gable. Sheathing materials include stucco, brick, or wood, often accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The Caves and rakes of the Minimal Traditional home aro typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes display decorative wood shutters and porch -roof supports. By the 1950s. the Minimal Traditional home was replaced by the Ranch House as the style of choice for middle-class housing and large tract -house developments. (McAlester, pp. 476-78). The Hamilton-Schoppert House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style, dating from the second period of development on North Victoria Lane. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an early and intact example of the Minimal Traditional style in the Floral Park neighborhood, is a good example of period architecture." EXPLANATION OF CODES: . California Register Criteria for Evaluation (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3* It embodies the distinctive characteristics of a type, period, region, or rnethod of construction, or represents the work of a master, or possesses hiqh artistic values. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master. or possesses high artistic values. City Council 12 — 36 5/18/2021 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi: I.t:rt�.-ffstrr_�.rrn Other Listings Review Code Reviewer Page 1 of _.�_ Resource name(s) or number (assigned by recorder) 143milton-Srhoppert I louse P1. Other Identifier: "P2. Location: ❑Not for Publication mUnfes1ricLed 'a. County Orange County "b. USGS 7.5' Quad TCA 1725 Date: March 3, 2015 'c. Address 2u42 North Victoria Drive City Santa And Zip 92106 °e. Other Locational Data: Assessor's Parcel Number 002-111-37 `P3a. Description: (Describe resource and its major elements. Include design. materials. condition. alterations. size, setting. and boundaries) Located in Floral Park, this is a two-story single-family residence constructed in a Minimal Traditional style. Asymmetrical in design, the house exhibits a gable -and -wing roof design, with a low-pitched side gable capping a two-story section on the south dnd a cross gable topping the one-story north wing. The roof exhibits wide, overhanginq open eaves at the first floor along the side (north and south) elevations and at the second floor. along the front (east) and rear (west) elevations. very shallow eaves characterize the first floor along the front (east) elevations and at the second floor- along the side (north and South) r1rvations_ The roof is covrrod in contemporary asphalt shingle roofing, and the oxtoriotwalls atom clad in .smooth stucco accented by areas of brick veneers on the primary elevation and horizontal wood clapboard siding on the first floor gnb/e ends. Centered on the front rlovntlnn. a small entry rinnlro is sheltered by n shrd roof set on simple wood porch supports with triangular braces to corh side The entry features a wide, six -panel, wood door with two half -height sidclighrs Banking the doorway and a clivided-light metal casement picture window add/cent to the entry door. The northern and southern sections of the front elevation each feature large. divided -light steel casement windows. Along the north. south. and west elevations, the buildwy incorporates a series of divided -light steel windows, including casement four -over -four sashes. and corner windows with corner supports. An exterior brick chimney attached to the side (south) elevation rises above the roof ridgeline. Tire property is landscaped with a mature tree. a lawn. low vegetation and a decorative walkway at tile front setback. The driveway leads to a one-story, stucco -clad, one -car garage, built at the same tune as the residence and connected by a breezeway. The house appears intact and is in good condition. "P3b. Resource Attributes' (I I alldbules and codes) HP2. Single -Family Residence 'P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other e (view and date) ion, view west 2020 Constructed/Age and ■historic )f Santa Ana Building !r and Address: Lynda Mdt2klrt Victoria Drive CA 92706 rded by: cz niter Plaza M-20 CA 92702 Recorded: ?021 ,ey Type: urvey Update art Citation: (Cite survey hPr snurc.Ps, nr PnlPr "nnnP°) ivone `Attachments: ONone ❑Location Map []Sketch Map ■Continuation Sheet ■Building, Structure, and Object Record ❑Arch—Ingi—I Ronnrd nn­+r­+ Rnrnra ill m r Pn +fi n Rnrnrd MR lhmq Cfntlnn Rnrnrd npR 'k Art P"r rrl ❑ArtifaQjt1f(QI(JLAIeUotograph Record ❑ Other (lisp 12 — 37 5/18/2021 DPR 523A (1196) 'Required information State of California —The Resources Agency Primary It DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *NRHP Status Code *Resource Name or #: Hamilton-Schoppert House 61. Historic Name: Hamilton-Schoppert House B2. Common Name: Same R3. original Use' Single, -Family Rrsidrncr B4. Present Use' Single -Family Rrsidrncr *85. Architectural Style' Minimal Traditional "B6. Construction History: (Cnnstniction data, alterations, and date of alterations): Construrted 1956. $30,000. January 21. 1957. Addition of storage room to garage for D.C. Hamilton. $400. January 14. 2015. Remove bathtub and install walk-in bathtub. May 27, 2020. Tear off existing roof. reshealh. and install comp roofing. $12, 570. *B7. Moved? ■No ❑Yes ❑Unknown Date: Original location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: V.J. Anderson *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: 1956 Property Type: Single -Family Residence Applicable Criteria: C/3 (Discuss importance in terms of historical or architectural context as defined by theme. period. and geographic scope. Also address integrity) The Hamilton-Srhoppert House is arrhiterturally significant as an intact and characteristic example of the Minimal Traditional style, dating from the second period of development on North Victoria Lane. It was built in 1956 by V.J. Anderson and the first known residents were Dwight C. and Frances L. Hamilton. Mr: Hamilton was born in Iowa in 1905, was a U.S. Marine Corps radio operator for the steamghrie. "Ruth Alexander. "President of the Century To&BtmaBters: and Assijtanl Trust Officer for the First National Bank. Mrs. Hamilton was born in 1907, was a teacher at Hoover School. and was on the board of the Santa Ana Community Players. a local theatre group. Mr. and Mrs. Hamilton remained at the property until it was sold to William V. and Anna J. Schoppert in 1974. Mr. Schoppert was a U.S. Marine Corps Staff Sergeant during WWII. After returning from the war Mc Schoppert dedicated himself to the farming of strawberries. According to city directories. Mr. and Mrs. Schopperi remained at the property unlit Mr. Schoppen s deal/). (See Continuation Sheet 3 of 3) B11. Additional Resource Attributes: (List attributes And nodes) *812. References' City of Sartia Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library SanbPrn Maps (See Continuation Sheet 3 of 3.) B13. Remarks' *B14. Evaluator: Leslie Heurnann/Chattel. Inc. *Date of Evaluation: March 25, 2021 (This space reserved for official comments.) Sketch Map Hamilton-Schoppert House 2042 North Victoria Drive O =° C� 3 O n eU U 116 { rRA T 947 STREET City Council ❑PR 5230 (1195) 12-38 5/18/2021 'Required Information State of California The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Narne: Hamilton-Schopperl House 'Recorded by Pedro Gomez *Date March 25. 2021 O Continuation ❑ Update *810. Significance (continued)! Santa Ana was rounded by William Spurgeon in 1869 as a speculative town site on part of the Spanish /and gram known as Rdttchu .Santiago de Santa Ana. The civic and commercial cure of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat or the newly created County of Orange in 1889. the city grew outwards. wilt) residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Hamilton-Srhoppert House is located in Floral Park, a neighborhood northwest of downtown Santa Ana hounded by West Seventeenth Street, North Flowrr Street, RivpSidr Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1697-1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls. New York in 1922 (Talbert, pages 353-356) "Refore nightfall on the day of his arrival Mr Honer purchased a parcel of land And that month, he began building custom hornes in Santa Ana" (Orange County Register, Septerber, 15. 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. When built in the 1920s, the Floral Park horses were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 1b. 1981). Revival architecture in a wide variety of tomahtic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s. another builder, Roy Roscoe Russell (1881-1965). continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The horses were quite grand and displayed various revival styles. including Russell's own large. Colonial Revival mansion at 2009 Victoria Drive. In the early post World War ll years, Floral Park continued its development as numerous, smaller, single-family houses were built. Continuing in the Floral Park tradition. they were mostly revival in style. In the 1950s. low. horizontal Ranch Style houses completed the growth of Floral Park. Today (2021) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Hamilton-Schopprrt Housp qualifies for- listing in the Santa Ana Register of Histodral Proportlas under- Gritroon 1 for embodiment of the distingfushtng rharartenstlrs of the Minimal Trnditinnal style. dating from the .second parind of davolopmant on North Victorta Lana. Additionally, the housa has haen rategonzed as "Cnntrihutive" hacanse it "cnntrihutos to the overall rhar'actoterrd history' of Santa Ana, and, as an early and intact CxamplC Of the Minimal Tt<drtional style rn the Floral Park neighborhood, "is a good example of period architecture. " Character defining features of the Harnilton-Schopperi Huube that should be preserved include. but may not be limited to. materials and finishes (brick. stuccu. hurizuntal wood board siding: gable -and -wing roof design with wide. overhanging. open eaves: prick chimney wood porch supports with triangular braces to each side. and divided -light metal windows. *1312. References (continued): Hands, Gyril M. American Architecture. An Illustrated Enrvrlopedia. New York, WW Norton, 1998. Hess, Alan. Ranch House. New York: Harry N. Abrams, Inc. 2004 March. Diann Santa Ana An Illustrated HIOnry Fnclnrta.c Heritage Puhirching, 1994 McAlester'. Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "I low to Complete the National Register Registration Forrn."Washington DC: National Register Branch, National Park Service. US Dept or the Interior. 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources."S'acianiento' March 1995. Whiffen. Marcus. American Architecture Since 1780. CanibrldgeMIT Press. 1969. `Alison Hotter Dies at 84,"Tile Santa Ana Journal, September 21, 1981. `Builder of Honer Plaza Dies, "Orange County Register, September 15, 1981. `History of Floral Park' htto.//www.flomi park.com/gagc2.html. Santa Ana and Orange County Drrertorles, 1940-1979. Talbert, Thonras B. (editor). The Historical Volume and ROferonce Works. Orange County. Whittier, GA: Historical Publishers, 7963. City Council DPR 523L 12-39 5/18/2021 :HILLS ACT AGREEMENT 2042 North Victoria Drive Sa@ta Aaa. CA 92706 I-:xhihit C EXlel-ior work shall be reviewed by dre I listot-ic RUSUCrreeS Cornrnission and Nubjcct to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Iluildings, as follows: Every reasonable efiirrt shall be made to provide a compatible use for it property which recluires rninirnal alteration of dre building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinnuiehing original qualities or character of a building, structure or site and its environment shall not be destroyed. the removal or alteration of any historic material or distinctive architectural leature should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of Iheir own time. Alterations that have no historical basis and which seek w create an earlier appearance. shall be. discouraged. 4. ('hamres whiclr may have taken place in the course of time are evidence of the history and dcvclopmeru of a building, structure, or site and its envirtnmicnt. These changes may have acquired signilieanice in their own right, and this significance shall be recognized and respected. 5. Dislindive slylkk le:lttlres or examples of skilled craftsmanship which characterize a building., structure, or site shall be treated with sellsitivity- 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities- Repair or rcplaccrncnt of missing architectural lcatu-cs should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. I'hc surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonablee effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary deign for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, al•chitectural or cultural material, an such design is compatible with City Council 112 — 40 5/18/2021 -- :HILLS ACT AGREEMENT 2042 North I icmria Drive SaafdAifa. CA 92706 size, scale, color, material and character of the property, neighborhood, or environmenl- 10. Whercwt- possible, new additions or alterations to structures shall be done in Such a manner that iI'uch additions or alterations need to he removed in the future, the essential form and integrity of the structtu-e would be unimpaired - City Council 12 — 41 5/18/2021 6 0101117_101MA HRC 2020-08/ HRCA 2020-09 / HPPA 2020-11 2042 NORTH RIVERSIDE DRIVE HAMILTON-SCHOPPERT HOUSE PLANNING AND BUILDING AGENCY City Council 12 — 42 5/18/2021 HILLS, I CT .1 GREEMENT 824 A'tmh Gartield Street Santa Ana. CA 92701 RECORDING REQUESTED BY AND WIII'N RI[CORDFD MAII.T0: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Atm: Clerk of the Council I RLL 1tLCORDlNG PURSUANT 10 GCrVL1CNMENICO L 5 27383 HISTORIC PROPERTY PRESFRVATTCIN AGREFMFNT This Historic Property Presersation Agreement ("Agreement"") is made and entered into by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinatter referred to as "City), and Rradley Lewis Owen and Santiago Munoz Jr., As'l rustecs of the Rradley Lewis Owen and Santiago Munoz Jr. Trust, dated January 30, 2015, (hereinafter collectively rctcrred to as "Owner" ), owner of real property located at 824 North Garfield Street, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with owners ol'qualified historical properties to provide I'nr appropriate usq maimcminec, rehabilitation and restoration sudr that thcsc historic Proper -tics retain their historic character and integrity. B. The Owner possesses fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 824 North Carfield Street, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporate(] herein by reference, and hereinafter referred to as the "Historic Property'. C. The historic Property is officially designated oft the Santa Ana Register of I listorical Properties pursuant to the requirements ofChaptcr 30 of the Santa Ana Municipal Code. D. City and Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and hisrorieal resource. for Owner and for the conimunit-y; to prevent inappropriate alterations to the historic Property and to ensure that repairs, additions, new buildinf;, and other changes are appropriate, and to ensru-c that rehabilitation and maintenance arc car icd out in an exemplary mairrrer- City Council 1 12 — 43 5/18/2021 Exhibit 3 HILLS,I CT AGREEMENT 824 A'arth Gartield Street Santa Ana. CA 92701 I.. Owner and City intend to carry out the purposes of California Government Code, Chapter 1, fart 5 of Division 1 of Title 5, Article 12, Section 502M et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Scc. 439 a scq., Chapter 3 Part 2 of Division 1 of the California Tax grid Revenue Codc. NO'W, THEREFORF, the City of Santa Ana and the Owner of the TTisurric Property agree aA follows: Fffective Date and Ternns of Agreement. This Agreemenl shall be effective and commence on May 19, 2021. and shall remain in effect for a term of tcn (10) year,, thcr-caftcr. Each year, upon the anniversary of the cflcctivc date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agrecrrrent, a ,year Ahall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is scrvcd as provided herein. I). If the Owner or the City desire(s) in any year not to rcucw the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Thnless such notice is served by the Owner to the Cily at least ninety (90) days prior to the annual renewal date, or scrvcd by the City to the Owner at least sixty (60) days prior to the annual renewat date, one (1) year shall automatically be added to the term of the Agreement as provided herein. c. Within 30 days from receipt of City's notice of nonrenewal, the Owner ma-v file a written protest of City's decision of nonrenewal- The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d- 11' either the Owner or the City serves notice to the other of nonrenewal in any year, the Agrcencnt Shall remain in cllCct lot the balance of the term tlten icinaining ethol Iron] its original execution or front the last renewal of the Agrccmcnt, whichever may apply. 3. Standards and Conditions for historic Property. During the term of this Agrccmcnt, the Historic Property shall be subject to the lilllowing conditions, requirements and restrictions: a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features described in the "historical Property Dcseiption" attached lrerctO. marked as kxhibit It, notably the general architectural form, style, materials, design, scale, proportions, City Council z 12 — 44 5/18/2021 HILLS, I CT n GREEMENT 824 North Gartield Street Santa Ana. CA 92701 organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance ofthe exterior to the satistaction of the City. b- All changes to the Historic Property shall comply with applicable City plans and It:gulations, and conform to the rules and regulations of tlrc Office ot'Hisun-ic Preservation of the State Department of Parks and Recreation, namely dic U.S. Secretary of tic Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit C, and incorporated herein by this reference- Owner shall continually maintain the Historic Property in the same or better- condition- C. A view corridor enabling, the general public to see the llistoric Property fi otn the public right-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the properly Willi any new suuclure, such as walls, fences or sluubbery, so as to prevent the viewing of the historic landmark by the public- d. The following are prohibited: demolition of the Historic Property or destruction of character -defining features of the building or site: removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission: paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Couiinission and such alterations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unr'epaired stucturce such as fences, roofs, doors, walls, and windows,- slorage ol'junk, trash, debris, discarded or unused objects such as cars, appliances, or furnilure.- and other unsightly by decoration, sh-uctrtre or vegetation which is unsightly by rcllaort of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic inspection by prior appointment, as needed or at least every five (5) years after the initial inspection, of the interior and exterior of the Iistoric Property by representatives of the City of Santa Ana, the County Assessor, the State Department of Parks and Recreation, and the State Board of Equalization, to determine. the Owner's compliance with the terms and provisions of this Agrccmcrtl- A. Furnishing of information. The Owner hereby agrees to furnish the City Willi any and all inl[nmalion requesled which may lie necessary or advisable to determine compliance with the teens and provisions of this Agrcanent. 5. Cancellation. a- The City, following a duly noticed public hearing by the City Council as set forth in GOVCiltirrcm Code Scclion 50290, et- scq-, may cancel this Agrccman if it determines that the Owner have breached any of the conditions of this Agreement, or ha; allowed the property to deteriorate to the point that it no longer meets the standards for a qualified lIistwic Propert-v, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreemenl. If a cone-acl is cancelled Inr Ihese reasons, the Owner shall pay a cancellation lee to the County Auditor as set Rnth in Government Code City Council t 12 — 45 5/18/2021 HILLS, I CT AGREEMENT 824 North Giwtield Sereet Santa Ana. CA 92701 SCCtion 50236. This cancellation lee shall be a percentage (currently set. at twelve and one-half (I? /S) percent by Goverment Code Section 50186) of the current tair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any resu fiction imposed pursuant to this Agreement_ b. Tf the Historic Property is destroyed by earthquake, fire, flood or other natural disasicr such that in the opinion of [hc City Building Official more [Iran sixty (60) perecnt of tic original fabric of the structure trust be replaced, this Agreement shall be canceled immediately because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council detertrines that the acyuisitiun frustrates the purpose ul'this Agreement, this Agreement shall be cancelled and no fcc imposed, as specified in Government Code Scction 50288. 6. Enforcement ol'Agreement. a. hi lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, City may specifically cnforec, or cojoin the breach 01, the terms of ihc. Agreement. In the event of a default, under the provisions to cancel lilt Agreement by Ovtier, the City .Shall give written notice to Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the City Manager or designee within thirty ('10) days thereafter_ or il' not corrected within such a reasonable time as nna-y be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to complelion by Owner), then Cily may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by Owner or apply for such relief as may be appropriate. b. City does not waive arty claim of default by the Owner if City does not enforce or cancel this Ag7cement. All other remedies at law or in equity which arc not otherwise provided tot in this Agreement or in C'ity's regulatiolts governing historic properties are available to City to pursue in the event that there is a breach of this Agreement. No waiver by City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default 11CrCtlnder. 7. Binding effect of Agreement. a. Owner hereby subjects the Historic property, located at 824 North Garfield Street, Assessor Parcel Number, 399-042-12, and more particularly described in Exhibit A, in the City ul' Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreement. b. City and Owner hereby declare their specific intent that the covenants, Conditions and restrictions as set forth herein shall be deemed covenants running with the land and shall City Council 12 — 46 5/18/2021 HILLS, I CT AGREEMENT 824 Narth Giwtield Sereet Santa Ana. CA 92701 pass to and be binding upon Owner's successors and asmglls in title or interest to the I listuric Property. Vvery contract, deed, or other insUvmcnt hcrcinatter executed, covering or conveying the Historic 1roperty or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted suhject to the tenants, restrictions, and reservations expressed in this Agreement regardless ohwhether such covenants, conditions and restrictions arc set firth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment Born City in consideration of the obligation imposed under this Agrecntelit, it being, recognized that the consideration for the execution of this Agrecnncnt is the substantial public benefit to be derived theretionn and the advantage that will accrue to Owner as a result of the effect upon the assessed value of the I'roperly on the account 01'the restictions on the use and preservation of the Property- 9. Notice. Any notice required by the tarns of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that tray be later specified by the parties hereto. City: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Attn: Clcrk of the Council Owners! Bradley Lewis Owen and Santiago Munoz Jr- 824 North Ciarflcld Strcct Santa Ana, CA 92701 10. General Provisions. a. None ol'thc tens, provisions, or conditions of this Agrccnncru shall be deemed fir create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor sliall such tenns, provisions or conditions cause them to be considered joint ventures or m enn hers of any joint enterprise. b- The O A ner agrees to and shall indenmily and hold the City and its elected and appointed officials. officers, agents, and employees harmless from liability for damage or claims for dannage for personal injuries, including death, Lind claims for property dannage which may anise loom the direct or indirect use or operations of the Owner or those 01, his or her contractor, subcontractor_ agent, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City an(] its elected and appointed) officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property - City Council s 12 — 47 5/18/2021 HILLS, I CT n GREEMENT 824 North Gartield Street Santa Ana. C 1 92701 C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of "licther or not City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d- All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the batefit of the panic, herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of lie I li9toric Property, whether by Operation of law oil ill ally manner whataOCVCl'. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, file prevailing, party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. I'- In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of compctcnl jUlisdiction, or by subscqucnl prccmplivc legislation, the validity and enforceability of the remaining provisions, or portion; thereof, shall nol be effected thereby. g- This Agreement shalt be construed and governed in accordance with the laws of the State of California, with venue in Orange County. 11. Recordation. No later than twenty (20) clays after the parties execute and enter into this Agreement. the City shall cause this Agreement to be recorded in the Office of Tile County Recorder of the County of Orange. 12. Amendments. This Agreement may be amended, in whole or in pit, only by a written recorded insu-ument executed by the parties hereto- 1-1. Effective Date. 'I his Agreement shall be effective on the clay and year first written above in Section 1. {signature page follows} City Council 12 — 48 5/18/2021 AT FS-1 HILLS, I CT AGREEMENT 824 Narth Giwtield Sereet Santa Ana. CA 92701 CITY OF SANI A ANA DAISY [1OMEZ KRTSTTNE RTD(-;E Clerk of the C MUCil City Mana.vcr OWNER Date: By: BRADLE.Y LEWTS OWEN TRUSTEE OF THE BRADLEY LEWIS OWEN AND SANTIAGO MUNOZ JR. TRUST, DATED JANUARY 30, 2015 Datc: By: SANTIAGO MUNOZ JR. TRUSTEE OF T11L BRADL1 Y LEWIS OWEN AND SANTTAGO MTTNOZ JR_ TRITST, DATED JANIJAR)r 30, 2015 APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: SONTA CARVALHO City Auorncy T��— JOHWM.FUNK ASSISTaut City Attorney MINH THAT EXCC Tive Director Planning and Building Agency City Council 12 — 49 5/18/2021 HILLS, I CT AGREEMENT 824 North Giwtield Sereet Santa Ana. CA 92701 EXHIBIT A I FGAI. DESCRIPTION THE LANE) REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBED AS FOLLOWS: THE REAL PROPERTY STTIIATFT) IN TIM CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, MORE PARTICULARLY DESCRIBED AS FOLLOWS: LOT 27 AND THE SOUTHERLY HALF OF LOT 29 1N BLOCK 74, TOWN OF SANTA ANA EAST, IN TIIE CITY OF SANTA ANA, COUNTY OF ORAN(;E, STATE OF CAI,II ORNIA, AS PItR MAP kL'('ORI)1;1) AS I -A. BOOK 1, PAGI;S 93 AND 9'1 OI MAPS, IN 1 HF, OF'FICF: OF 1 HF:ORANGF. COUN I Y ItFCOIMF:R. Assessor's l'arcel NUMber: 399-042-12 City Council s 12 — 50 5/18/2021 EXECUTIVE SUMMARY AVERS HOUSE, 824 North Garfield Street Santa Ana, CA 92701 NAML ADDRLSS Ayctb lluusc REV. NO. 624 North UarfICILl Street CIIY Santa Ann LIP 1 92701 ORANGGCOLNTY YEAR Bllll:l' 1909 LOCAL RFGIS'I-FR C'ATF.GORY. Connihuivc TTTtiTORTC. DNTRIC'T French Parlc NLTGURORTIOOD French Pall: NA'rZONAL REHS' I'ER CRI ]'LIZIA FOR EVALt IA [ ION C NA IIONAL RE01S I LIZ StAt US CODE 1 U 1 pcatlon: ❑ Not for Publication ® Unresn'ictcd ❑ Pre.hietorie ® Ilibtorie ❑ Both ARCHITECTURAL STYLE.: Bunga10w/Crelt5lhharh Clnsely relater] to the Fnidish Arts and Craft: Movement, American Bungalow/(:raftsm.nl architecture was popularized by Pw Craftsman magazine and architects such as CharIcs and Hcnry Greene of Pasadena- It drew 11-0111 the woad building uadiftons of ,lapen and SW1IZerlFmd aS well as the mcclicvil thcrneS favored by the Arts and CrAls philosophers. Craftsman aichitcaUltu S[1ciscd honesty Of torm, materials, and work-lu mshlp, eschewing applied decoration ill favor of the straightforward expression of structure. A new appreciation ofnautc etas evident in hotiZOntal lines Lhat reached OLLL to amhracc Lhc landscape and dhc incotporation of capacious ponhes info building plans. primarily tI residential btvlc. Crlhstnan anhitccturc eau be identified by low pitched gable old hipped roofs with exposed rafters and beams in dxp ovafiangs; wood lap or shin' -lc siding and an occasional use of stucco; extensive Luc of stone or brick LIS a secondary material; horizontal chnphasis apparcnl in cool lilies, heLACIS, and baLLcIM porch support,; and brondly proportioned wood Iramcd windOwS, open CILISICrCd in hands. CID11SInflo hpn11 S wCIC built Ii'Onl 61C3 1902 until lhC early 192t1s- SUMMARY/CONCLUSION: The AypS I Ioupc waS listed in file National R"isteroil listolic PlflcCa in 1999 as a cootr'ibutor to (he Drench Perk I lis(orli I)IStrlet. TTndch-ncc regulations inhplanchhting the Califomia Register- of Histotcal Rcsotn-ccs, the building is also listed in the Califnnria Register- II also quaIIIICs fin- listing in the Santa Ana Register ill -Historical Property under Criterion I as roprrsen(ative of Lhc di5tingtlishiug characteristics of the Bun -on low/(:I Asilmn style front the fits[ decade of the twentieth seamy. Additionally, the house has been categorized as "Contributive" because it "conn9bute; to the ovetall character and hisavy" Of the French Park neighborhood through its style and lypc, is a "good example" of -the Bungalow/Crstlsnhan Style and -has not been SubsLanLially aheted" (Municipal (_ ode, Section 30-22). EXPLANATION OF CODER: • National Reaisrei Ctiteiia foe Evaluation: (From Appendix 7 of hisaucticu s fni Recoidnt-_ IIistorseal Resources, Office of Histm-ic Prescr%alion) C: that curbody 111c clibtinctivc chmalcteribtics of If type, period, or method of conha-uctioll, or that rcprescttt the work ofa master, or that possess high artistic values, Or that represent a .significint and distinguishable entity whose components may lack individual distinction- • National Rcpislcr S1auS C10dC. (1-10111 AppC[ldla 2 nl Itlso fictions for Rccotdfn� H iSIOriCal RCSouri,C.S, 0 i'liCc of Hi stol is Preservation) ilk Contributor to a lined district. ....==h 12 — 51 5/18/2021 Exhibit B State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary HRI #_ NRHP Status Page I of _.�_ Resource name(s) or number (assigned by recorder) Ayers House P1. Other Identifier: ''P2. Location: ❑Not for Publication ■Unrestricted 'a. County Orange County `b. USGS 7.5' Quad TCA 1725 Date: "c. Address 824 North Garfield Street City Sanla Ana Zip 92701 ,a. Other Locational Data* Assessor's Parcel Number 398-042-12 Santa Ana East Lot: 27 Block: 74(and SLY % Lot: 28 Block 74 "P3a. Description: (Dasr.nhe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) A front -facing gable caps tnis symmetrical, one-story Craftsman bungalow. A triangular, vertically lathed vent distinguishes the gable peak and rafter tails project beneath deep eaves. The east -facing house is clapboard sided and edged with corner boards. Tripartite windows of double -hung sash bordered by double -hung sidchyhts are north and south of the center entrance. Window and door surrounds are plain. A broad shed roof with center gable covers the attached porch. Clapboard sheathes the porch gable face_ Battered posts on stucco -covered pedestals with concrete caps support sturdy porch roof beams. Concrete steps with stuccoed stair walls lead to a porch entrance flanked by heavy, squared, concrete -capped pedestals. A wooden, vertical slat balustrade encloses the porch space. A scalloped, red brick barrier lopped by a while picker tenre surrounds the front yarn. I he huddmg appears to be mostly ortgrnsl except for the metal serarnty dour srtd prrket fonco. "P3b. Resource Attributes' (Gst sttnnntes wort rnries) HP2. Single-family Prnparty 'P4. Resources Present: ■Building ❑Structure []Object ❑Site ❑District ■Element of District ❑Other P5a Photo rpV,��IIcn�, r r , 7 4 in r q" " �� �fiir or 4Gr r� i , L , 1 P �I�4 I A .rr 6r'bd a n i P5b. Photo: (view and date) East elevation May 2002 `PB- Date Constructed/Age and Sources: ■historic 1909/ Source: National Register nomination. "P7. Owner and Address: `P8. Recorded by: Leslie J. Heuinann, Peter C. Moruzzi SAIL 35 3. Raymond Ave. # 204 Pasadena, CA 91105 'P9. Date Recorded! June 7. 2002 `P10. Survey Type: Intensive Survey Update "P11. Report Citation: (Cite survey report and other sources, or enter "none") I es. Kathleen "Htcrnrtr. Re.cnurres Inventory Frenrh Park Oistrict "Septemher 1979 Marsh, Diann. "French Park Historic District." National Register Nomination Form, February 1998. 'Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, SLruCLure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) hPR 523A.(D'*Council 12 — 52 5/1 WRIMi4ed information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *NRHP Status Code iD *Resource Name or #: Ayers House 131. Historic Name: Ayers House B2. Common NameSame B3. Original Use: Single-family Residence B4. Present Use: Single-family Residence *B5. Architectural Style eungalow/Craftsman `BG. Construction History: (Cunstructiun date, altcrotiuns, mrd data of alterations): Constructed Pt 1909. May 11, 1921. Garage. May, 1922. Residence alterations. July 8. 1965 Oemolish existing garage. construct new garage July 8, 1985. Repair existing structure. Oclober 25, 1988. Legalize unperloitted partition wall in bathroorn, subf/oor, floor cover, laundry, wood siding, doors windows, gales. *137. Moved? ■No OYes ❑Unknown Date' Original Location! *BS. Related Features: Nono. 89a. Architect: Unknown h. Builder: Unknown *1310- Significance: Theme Residential Architecture Area Santa Ana Period of Significance: rtrra 1880-1946 Property Type: Single-family Residence Applicable Criteria: C (Discuss hripurtancu in luaus of hislurival ur anL114UL[ural Lunluxl as dLflllUd by tliunq periud, and gcugraphic scups. Alsu addrLSS inlegrily) I he Ayers House is arrfnler.Wrally srgnrfirent as a representative example of a small Craftsman bungalow from the first derade of the twentieth renrury. It is also important as a contributor to the French Park Historic District. According to earlier research, the house was built for the retired Enlrnon Ayers. One year later, Charles and Carrie Preston resided in the horse, staying for four years. Sylvester and Ida Deck were owners from 1912 until the late 1920s. Mr Deck, a carpenter, was also the owner of a pool ball looated at 412 North Main Street (Marsh, 1998). (See Continuation Sneet 3 of 3.) B11. Additional Resource Attributes: (List attributes and "812. References: City of Santa Ana Building Permits Santa Ana History Ruurn Cullet.tion, Santa Ana Public Library Sanborn Maps (See Continuation Sheel 3 of 3.) B13. Remarks: *814. Evaluator, I e.clie J. Heumann *Date of Evaluation: June 7, 2002 (This space reserved for official comments.) DPR 5231BQ.WY)Council 12 - 53 5/1 Wd Mid Information State of California —The Resources Agency Primary ft DEPARTMENT of PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page -J— of 3 Resource Name or # (Assigned by recorder) Ayers House 'Recorded by Leslie J. Heumann. Peter C. Monizzt. SAIC 'Date ,rune 3. 2002 LxJ Continuation ❑ Update *810. Significance (continued)' Santa Ana was founded by William Spurgeon in 1869 as a speculative town site oo par[ of the Spanish land grant known as Rancho Santiago de Santa Ana. In 1877. Spurgeon, along with James McFadden and James Fruit, farmed the Western Development Company with the intention of bringing the Southern Pacific Railroad from its then terminus in Anaheim into Santa Ana. Thinking to capitalize on commercial growth around the railroad. the partners purchased 160 acres adjacent to the eastern rrty bourtdary at French Street. Although they were successful rn luring the Sot rthem Pacific to a new depot on Fruit Strrrt in Santa Ana in 1878, the expected commercial development of Santa Ana East" novel- alatcrialized. Early growth and development of the town continued to be centered 6rrther west amend Fourth and Main Streets, with the result that the Ipgar:y of Santa Ana East is an anglpd sheet plan whn.cp Intprcprtlnn with the original rity is markad by a ,mall, hiangular parcel, developed in the 1890E as Flatiron Perk, now known as Fr'CnCh Park, Santa Ana Continued 10 grow, slitnulaled by the arrival of the Santa Fe Railroad in 1886. Following its Incorporallon as a city in 1886. Santa Ana was recognized as one of the leading rummunities in the area in 1889 when it beoarne the seat of the newly credted County of Orange. Beginning in the 1880s and con6rruinq well info the twentieth century, the area around the park began to be developed with many of the finest homes in Santa Ana. Examples of Victorian era, turn of the century, and Craftsman homes were built along the tree lined streets. By the 1920s, most streets in the neighborhood were fully developed. although a few revival styled single family homes and duplexes were built during the 1920s. and a handful of apartments construrted in the 1930s. From the nineteenth century onwards, r'CSidOnts were a "Who's Who of early Santa Ana, and included bankers, attornoyS, doctors, businessmen, ranchers, teachers and others active in the civic and social life of the city. Once known as the "Nob Hill" of Santa Ana. French Park declined in the 19403 and 1950s as some homes were converted into rooming houses and others were allowed to deteriorate. In the 1960s and 1970s sortie houses were demolished and the properties redeveloped with rnulli-family housing. However, a grass roofs preservation effort begun in the late 19708 led to the establishment ura tucat historic dishicl in 1984 and the listing of the nelghbodnoud in the National Register of Hisluric Places in 1999. The Ayers House was listed in the National Register of Historic Places in 1999 as a contributor to the French Park Historic Distrirt. It is thricinro listed in thr. Califnmia Register of Historiral Resources and is lorated within thr boundaries of the locally designated historic district. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion 1 as repress ntative, of the, dlstingnishing rharartenstirs of the. Dungalnw/Craftsman Style, from the. first deridp of the. twe..n M.th century. Additionally, the house has been rategonzed as 'Contributive" because it -contributes to the overall character and history" of the French Paric neighborhood through its style and type, is a "good example" of the Bungalow/Craftsman style and "has not been substantially altered." Characteristic Craftsman features include gabled roof with rafter tails and broad eaves. attached porch with battered posts, and massing. Character -defining exterior features of the Ayers House that should be preserved include, but Fray not be limited to: materials (wood) and finishes (siding): roof configuration: massing: porch. windows end witrdow surrounds, end architectural details such as rafter tails. '812. References (continued)' Harris. Cyril M. American Architecture • An Illustrated Encyclopedia. New York. WW Norlon. 1998. Marsh, Diarin Santa Arta, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 1 CA. 'How to Complete the National Register Registration Form." Washington DC National Register Branch, National Park Service, US Deptof the Interior, 1991. Ottiec of Historic, Prrservatinn. Instructions ter Hernrdtng Historiral HOsoutcos. Sacramento: March Whiffen, Marcus. American Architecture Since 1780. Cambridge. MIT Press, 1969. City Council DPR 523L 12-54 5/1 S/2021 HILLS, I CT AGREEMENT 824 North Giwtield Sireer Santa Ana. CA 92701 Exhibit C. F.xteriorwork shall be reviewed bythe Historic Resources Commission and subjectto the U.S. Secretary ofIli e interio's Standards lbrRehablhtaIion ofHistoric Buildings, as IbIIUws: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishitr.- ori.-Mal qualities or character of a building, structure or site and its environment shall not be desnoyed. The removal or alteration of any historie material or distinctive architectural features should he avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Cringes which may have taken place in the course of brae are evidence of the history and development of a building, strucwre, or site and its environment. I'hcse changes may have acquir'cd significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic fcaRtres or- examples of skilled c attsmanship which characterize a building, structure, or site sliall be treated with sensitivity. Oi Deteriorated architectural features shall be repaired rather than replaced, whcncver possiblc. in the event replacement is ncccssat v, the new matcrial should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural fcantres should be based on accurate duplications of features, substantiated by historic, physicdl, or pictorial evidence rather than on conjectural designs or the availability of dillcrent architectural elements liom the other buildings or structur-cs. 7. The surface cleaning of structures shall be undertaken with the gentlest means possiblc. Sandblasting and other cleaning methods that will damage the llistOrie building materials shall not be Undertaken- X. livery reasonable effort shall be made to protect and reserve archaeological resources affected by, or attjacent to any project. 9. Contemporary design for alterations and additions to existing properties shall not be discotlragcd when such alterations and additions do not destroy significant historical, architectural or cultural material. an such design is compatible with City Council 1 12 - 55 5/18/2021 M/LLS ,1 CT AGREEMENT 824 North Gtwtield Serect Santa Ana. CA 92701 size, scale, color, malarial and character oh the property, neighborhood, or environment. 10- Whereverpossible, new additions or alterations to suucuu-es shall be done in such a manna- that il'such additions or alterations need to be retuoved in the littnre, the essential form and integrity of the structure would be unhupairai. City Council 2 12 — 56 5/18/2021 Planning and Building Agency Item # c City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Historic Resources Commission Staff Report March 25, 2021 Topic: HPPA No. 2020-18 - Ayers House RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute a Historic Property Preservation Agreement (Mills Act) with Bradley Lewis Owen and Santiago Munoz Jr. for the property located at 824 North Garfield Street, subject to non -substantive changes approved by the City Manager and City Attorney (Exhibit 1). EXECUTIVE SUMMARY Bradley Lewis Owen and Santiago Munoz Jr. are requesting approval to execute a Mills Act Agreement with the City of Santa Ana at an existing residence located at 824 North Garfield Street that is currently listed on the Santa Ana Register of Historical Properties. DISCUSSION Proiect Location and Site Description The subject property, known as the Ayers House, consists of an existing single -story Bungalow/Craftsman style residence that is approximately 980 square feet in size on a 5,625-square-foot residential lot (Exhibit 2). The Ayers House was listed in the National Register of Historic Places in 1999 as a contributor to the French Park Historic District. The home was subsequently added to the Santa Ana Register of Historical Properties in 2002 and categorized as "Contributive." Analysis of the Issues Ordinance No. NS-2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties. The property is listed on the Santa Ana Register of Historical Properties and categorized as Contributive, making it eligible for a Mills Act agreement. The agreement provides monetary incentives to the property owner in the City Council Exhibit 4 12 — 57 5/18/2021 HPPA No. 2020-18 - Ayers House March 25, 2021 Page 2 form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alterations to the property In 2002, the Historic Resources Commission placed the Ayers House on the historical register and within the "contributive" category because it "contributes to the overall character and history" of the French Park neighborhood through its style and type, is a "good example" of the Bungalow/Craftsman style and "has not been substantially altered." In addition, the Ayers House was deemed architecturally significant as a representative example of a small Craftsman bungalow from the first decade of the twentieth century and as an important contributor to the French Park Historic District. Character -defining features of the Ayers House determined architecturally significant include, but are not limited to: gabled roof with rafter tails and broad eaves, attached porch with battered posts, and massing; materials (wood) and finishes (siding); roof configuration; massing; porch; windows and window surrounds; and architectural details. Since its listing on the Historic Register in 2002, the property owner has replaced the roof; changed out of one window and one man -door; remodeled the existing bathroom and kitchen; repaired siding on the residence and garage; and installed solar panels. The property has no identified unauthorized modifications. Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review pursuant to Section 15331 of the CEQA Guidelines (Class 31 — Historical Resource Restoration/Rehabilitation) as these actions are designed to preserve historic resources. Based on this analysis, a Notice of Exemption, Environmental Review No. 2021-05 will be filed for this project. FISCAL IMPACT The Historic Property Preservation Agreement will reduce the Property Tax revenue account 01102002-50011 to the City by an estimated $394.94 annually, for a period of not less than ten years. City Council 12 — 58 5/18/2021 HPPA No. 2020-18 - Ayers House March 25, 2021 Page 3 EXHIBIT(S) 1 - Mills Act Agreement 2 - 500' Radius Map 3 - Site Photos — 824 North Garfield Street Submitted By: Pedro Gomez, AICP, Associate Planner Approved By: Minh Thai, Executive Director of Planning and Building Agency, Planning and Building Agency City Council 12 — 59 5/18/2021 :HILLS ACT AGREEME,VT 824.Vw•th Gaayleld Street Santa Aaa. CA 92701 RFC:ORDING I?FOt1FS I F,D BY AND WHEN RECORDED MAiL TO_ City of Santa Ana 20 Civic CClItca' Plaza (M-30) Santa Ana, CA 92702 Ann_ Clerk of the COunCll FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 HISTORIC PROPERTY PRESERVATION AGRLL:ML:NT This Historic Property Preservation Agreement (`Agreement") is made and entered into by and betwCCrI the City of Santa Ana, a e}rarte- city and municipal corporation Ally organized and existing under the COn3linniOn and laws of the of the State of C:alifurnia (hereinafter referred to as "City"), and Bradley Lewis Owen and Santiago Munoz Jr., As Trustees of the Bradley Lewis Owen and Santiago Munoz Jr. Trust, dated January 30, 2015, (hercinattcr collectively referred to as "Owner"), owner of real property IOC;Ued at 824 North Garfield S(rccl, Saniti Ana, California, in the County of'Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A_ The City Cunncil of the City of Santa Ana is anthori2ed by Calilornia Govertuneni Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with owners of qualified hlStor'ICAI propeties To provide for appropriate use, maintenance, rehabilitation and rel trn-ation auclr that these historic properties retain their historic character and integrity- B. The Owner possesses lee title in and to that certain qualified real property together with associated suveanes and irnprovemcnts thcreurt, located at 824 North Garfield Street, Santa Ana, CA, 92701 and More particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "ilistoric Property" C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pUrsuam to the require UMIS of Chapter 30 of the Santa Ana Municipal Code. D. City and Owner, for their muntal benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this I listoric Property in order to enhance and maintain its value as a cultural and historical resource for Owner and for the community; to prevcru inappropriate alterations to the HiIAOrie Property and to ensure that repairs, additions, new building, and other change; are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner_ City Council 12 — 60 5/18/2021 -1- :HILLS ACT AGREEMENT 824 Nurih Gaaylefd Street Santa Aaa. CA 92701 E- Owner and City intend to carry Out the purposes of California Goverunenl Code, Chapter 1, Past 5 ol'Division I ofTitic 5, Articic t2, Scction 50280 ctscq.. which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code - NOW, THEREFORE. the City of Santa Ana and the Owiicr of The Historic Property agree as follovr s: Effective Unto and Vertns of Agmcment. This Agreement shall be ettective and commence on May 5, 2021, and shall remain in effect for a tern) of ten (10) years thereafter. Fach year, upon the anniversary of the effective date oflhis Agreement, such inilial lean will anlomalically be extended as provided in California Goven)n)ent Code SCCtiOns 50280 through 50290 and in Scction 2, below,- 2. Renewal. a. Each year On the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) yearteen of this Agreement unless written notice of nonrenewal is served as provided herein- h. 11' the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of [he Arrceulant on dnc other party. Unless silent notice, iS Served by the Owner to the City at least ninety (90) trays prior To the an nllal renewal dale, or served by the Cily to the Owner al least sixty (60) days prior to the annual renewal date, one (1) year shall auunnatically be added to the teen of the Agreement as provided herein. C. Within 30 days tionr receipt of C:ity's notice of nonrencwal, the Owner may file a written protest of Cit-i's decision of nonrenewal. The City may, at any time prior to the annual e renwal date of the Agreement, withdraw its notice to the Owner of nonrenewal. (L Tf either the Owner or the City serves notice to the other of nonrenewal in any ,year, the Agreement shall remain ill effect for the balance of the tern then remaining, either fron) it, original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the tetra of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions - a. Owner shall maintain the historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rchshilitate the prnperry and its chnracta•- defining features described in the "Historical Iroperty Description" attached hereto, marked as Exhibit B, notably the general architectural form, style, materiah, design, scale, proportions, City Council 12 — 61 5/18/2021 :HILLS ACT AGREEME,VT 824.Vw•th Garliefd Street Santa Aaa. CA 92701 organization of windows, doors, and other openings, textures, details, mass, roof line, porch and Other aspects of the appearance of the exterior to the satisfaction of the City- b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of Lhe Office of Historic Preservation of the State Department of Parks and Recreation, namely the 11-5- Secretary of the finerior's Standards and Guidclincs for Historic Preservation Projects. These guidclines are attached hereto, marked as Exhibit C. and incorporated herein by this reference. Owner shall corninually maintain the. Historic Property in the saute or better condition. C. A view corridor enabling the general public. to see the Historic Property from the publicc right-of-way shall be maintained, and Owner ;hall not be pennitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: demolition of the Historic Property or destruction of character -defining fcamres of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the llistoric Resources Conunis.sion; paving of yard surface; exterior alterations or additions unless approved by the Historic RCSOtr-ecs Cenomission and such alterations arc in keeping with the Sceretary of Interior's Staandards; deteriorating, dilapidated or Mirepaired s rl.le tu-es such as fences, roofs, doors, walls, and windom-s: storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic inspection by prior appointment, as needed or at bast eva-y live (5) years after the initial inspection, of the interior and exterior oh the Historic Property by representatives of the City of Santa Ana, [he. County Assessor, the State. Department of Parks and Recreation, and the State Board of Equalization, to determine the Owner's compliance with the terms and provisions of this Agreement- 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreemeni. 5. Cancellation. I . The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50290. et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer mecrs the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manna• specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code City Council 12 — 62 5/18/2021 :HILLS ACT AGREEME,VT 824.Vw•th Gaayleld Street Su@ta Aaa. CA 92701 Section 50286. 1 his cancellation fee shall be a percentage (currently set at twelve and one-half (12 'f_I percent by Go%entment Code Section 50286) of the current fair market value of the property at the lime ol'the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreciucot. b. If the Historic Property is destroyed by earthquake, fire, flood or other natilral disaster such that in the opinion of the City Boilding Official more than sixty (60) percent of the original fabric of the sn2tctur-e must be replaced, this Agreement shall he canceled immediately because, in cllecl, the historic value of the structure will have been destroyed. No fcc shall fie imposed in the case of destruction by acts of God or natural disaster. C. if the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agrecment, this Agreement shall be cancelled and no fee imposed, as specilied in (ovennuent Code Section 502W 6. Enforcement ol'Agreement. a. In lien of and/or in addition to any provisions to cancel the Agreement as referenced herein, City may specifically enforce, or enjoin the breach of, the terns of the Agreement_ in the event of a default, under the provisions to cancel the Aurecntent by Owner, the Cit_v shall give written notice to Owner by registered or certified mail, and if such a violation is nor corrected to the reasonable satisfaction of the City Manager or designee within thirty (30) days thereafter, or if not corrected within such a reasonable tine as, may he required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that act, to cure the breach or default tnay be commenced within thirty (30) clays and shall thereafter be diligently pursued u) completion by Owne), then City may, without farther notice, declare a dcfalilt nuclei. the terms of this Agrecment and may bring any action nccessaiy to specifically enforce the obligations of Owner growing out of the terns of this Agreement, apply to any court, stale or federal, for injunctive relief against any violation by Owner or apply for such relief as may be appr'apr'Ii1tC. b. City does not waive any claim of default by the Owner if City does not enforce or cancel this Agrecment_ All other remedies at law or in equity which arc not otherwise provided for in this Agreement or in City's regulations goventing historic properties are available to City to pursue in the event that there is a breach of this Agrecment. No waive- by City of any breach or detauli under this Agrcencnt shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. Owner hereby subjects the Historic. Property, located at 824 North Garfield Street Assessor Parcel Number, 398-042-12, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreement- b_ City and Owner hereby declare their speeilic intent that the covenant,, conditions and restrictions as set troth teem shall be deemed covenants ntnnirtg with the land and ,hall City Council 4 12 — 63 5/18/2021 :HILLS ACT AGREEME,VT 824.Vurth Garliefd Street Santa Aaa. CA 92701 pass to and he binding upon Owner's successors and assigns in title or interest to the Historic Property. Every contract, deed, or other inst-ument hereinafter executed, covering or conveying the l listoric Property or any portion thcrcol; shall conclUSivcly be hctd to havc been cxccutcd, delivered, and accepted subject to the tenants, Icstrietioans, and reservations expressed in this Agreement regardless ofwhether such covenants, conditions and restrictions are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from City in consideration of the obligation unposed raider this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived thereliom and the advantage that will accrue to Owner as a resnit of the effect upon the assessed value of the Property on the account of the restrictions can the rise and preservation of the Property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or nt other addresses that may he later specified by the parties Ilet-Cto- City: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Attn- Clerk of the Council Owners: Bradley Lcwis Owen and Santiago Munoz Jr. 824 North (jarfreld Street Santa Ana, CA 92701 10. General Provisions. a, None of the tents, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terns, provisions or conditions cause than to be considcrcd joint ventures or members ofanyjoint enterprise. b- The Owner agrees to and shall indemnify and hold the (:ity and its elected and appointed of7iciatls, officer~, agents, and employees hanndess F otta liability lirr damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor. subcontractor, agent, ennployce, or other person acting on his or her behalf which relates to the use, operadon, and maintenance of the Historic 1roperty- I he Owner hereby agree, to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions Yin• damages caused by, of alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. City Council 5 12 — 64 5/18/2021 :HILLS ACT AGREEME,VT 824.Vw•th Gaayleld Street Sa@ta Ana. CA 92701 C. This hold harmless provision applies to all damages and claims fur thmatges suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the opera(ions referred to in this Agreement regardless ol'whelher or not Ci(y prepared, supplied, or approved the plans, specifications or other docrunents for the Historic Property- d. All of the agreements, rights, covenains, conditions, and restrictions contained in this Agreement shall be binding upon and shall more to the benefit of the parties herein, their heirs, successors, legal representatives, aoduns, and all persons acquirinu any part or portion of the Hiltoli( Property, whether by Operation of law on in any manner whatsoever. C. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties ol'any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees w be fixed by the court, in addition to court costs and other relief ordered by the court. f- Tn the event that any of the provisions of this Agreement are held to he unenforceable or invalid by any court of competent jurisdiction, or by subscqucttt preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thercbv. 9. 1 his Agreement shall be construed and governed in accordance with the laws of the State of Cxlilimria, with venue in Orange County- 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the olTrec of the County Recorder of the. County of Orange. 12. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instvment executed by the parties hereto. 1-1. Effective Date. This Agreement shall be effective on the clay and year first written above in Section 1. {Signature page Ibllows} City Council 12 — 65 5/18/2021 ATTEST: :HILLS ACT AGREEMENT 824.Vw•th Garliefd Street Sa@ta Aaa. CA 92701 CITY OF SANTA ANA DAISY GOMEZ KRISTINE RIDGE. Clerk of the Council City Manager OWNER Date: By: BRADLEY LEWIS OWEN TRITSTFF OF TTTF. BRADLEY T.FWTS OWEN AND SAN I IAGO MUNOZ JR. TRUST, DATED JANUARY 30, 1015 (late: By: SANTIAGO MT1NOZ JR. TRTJSTEE OF THE BRADLEY LEWIS OWEN AND SANTIAGO MUNOZ JR. TRUST. DATED JANUARY 30. 2015 APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: SONIA CARVALIIO City Attorney By: JOT IN M. FINK Assistant City Attorney MTNTT THAT EXCCtItivu Director Planning and Building Agency City Council 12 — 66 5/18/2021 :HILLS ACT AGREEMENT 824.Vw•th Gaaylefd Street Sa@ta Aaa, CA 92701 EXHIBIT A LEGAL DESCRIPTION I'HI{ I,AND RIiPI{RRIiD I'O HI{RI•:IN I1II OW IS SITUA ITD IN TFIF CITY OF SANTA ANA, COUNTY OF ORAN(TF, STATE. OF CAI_IFORNIA, AND IS DFSCRIBF) AS FOLLOWS: THE REAL PROPERTY SITUATED 1N THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, MORE PARTICULARLY DESCRIBED AS FOLLOWS_ LOT 27 AND THE SOUTTTERLY TTAT.F OF T.(-)T 24 TN BLOCK 71, TOWN OF SANTA ANA FAS I, IN I FIF, CI I Y OF SANTA ANA, CO1:N I OF ORANGE, S I A I F OF CALIFORNIA. AS PER MAP RECORDED AS L.A. BOOK 1, PAGES 93 AND 94 OF MAPS, IN 111E OVFICL Ol; 7'IIL ORANGL COUNTY RLCORDLR. Assessor's Parcel Number; 398-042-12 City Council 12 — 67 5/18/2021 -b- 500' RADIUS HPPA 2020-18 824 NORTH GARFIELD STREET AYERS HOUSE PLANNING AND BUILDING AGENCY City Council 12 — 68 5/18/2021 :HILLS ACT AGREEME,VT 824.Vw•th Gaayleld Street Sa@ta Aaa. CA 92701 I-:xhihit C EXlel-ior work shall be ruvicwcd by dre I listot-ic RUSUCrreeS Cornrnission and Nubjcct to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Iluildings, as follows: Every reasonable effort shall be made to provide a compatible use for it property which recluires rninirnal alteration of dac building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinnuiehing original qualities or character of a building, structure or site and its environment shall not be destroyed. the removal or alteration of any historic material or distinctive architectural leature should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of Iheir own time. Alterations that have no historical basis and which seek w create an earlier appearance. shall be. discouraged. 4. ('hamres whiclr may have taken place in the course of time are evidence of the history and dcvclopmeru of a building, structure, or site and its envirtnmicnt. These changes may have acquired signilieanice in their own right, and this significance shall be recognized and respected. 5. Dislindive stylistic le:lttlres or examples of skilled craftsmanship which characterize a building., structure, or site shall be treated with sellsitivity- 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities- Repair or rcplaccrncnt of missing architectural lcatu-cs should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. I'hc surface cleaning of structures shall be undertalten with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonablee effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary deign for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, al•chitectural or cultural material, an such design is compatible with City Council 112 — 69 5/18/2021 -- :HILLS ACT AGREEME,VT 824.Vwrth Gatyleld Street SatltaAmr. CA 92701 size, scale, color, material and character of the property, neighborhood, or environmenl- 10. Whercwt- possible, new additions or alterations to structures shall be done in Such a manner that iI'uch additions or alterations need to he removed in the future, the essential form and integrity of the structtu-e would be unimpaired - City Council 12 — 70 5/18/2021 EXECUTIVE SUMMARY AVERS HOUSE, 824 North Garfield Street Santa Ana, CA 92701 NAML A1)L)RLSS Ayctb llutuc 1.L1. NO. S24 Nufth Gaffichl Street CI FY Santa Ann LIP 1 92701 ORAN(iL COLNTY YEAR Rl)ll:l' 1909 LOCAL RF.(iIS'I-FR C'A'I'F.(iORY'. Conn-ibutivc TTTtiTORTC. McTRI(T French Puk NTMITRORTIOOI) French Pall: NA'I IONAL REH'S I'ER CRI ]'LIZIA FOR EVAU IA I [ON C NA IIONAL REGISTER S-IA'I US CODE 1 U I ocation: ❑ Not for Publication ® Unresn'ictcd ❑ Pre.hiatorie ® Ilktoiie ❑ Both ARCHITECTURAL STYLE.: Bungalow/Craltsnhan C lnsely relater) to the Filidish Arts and Craffs Movement, ,1nlerican Till ngalnw/Craftsman architecture wa; popularized by Pw Craftsman magazine and ahrhitects such as Charles and Henry Greene of Pasadena- It drew front the wood building traditions of J,lphn and SW1IZef IJ1ld aS well is the inodicval thelneS faCU1CLI by the Arts and Craft philusuphcs. Craf[iman afchitccNrc iue_Scd honesty of form, malerWIS, and work-manship, eschewing applied decoration in laver of the strtightforwaid expression of si ucture. A new appreciation of nature was evident in horizontal lines LhML reaChed OLLL to amhraec fire landscape and the incutlicit an on of capacious porches inlu building phutb. 1'riurrrily a residential style. Crillstnan afchitcctme can be identified by low pitchcd gable ,old hipped roofs with exposed rafta-S and beams in deep ovcthangs; wood lap or shinrtic siding and nn oC(:aSlonal use of.SnICCO; oxtcmivc ustl of sLonc or brick .a a su.:ondmy malcrial; horizontal uhnphasis apparwl in cool lines, headers, and baLICl-Cd porch .upporLs; and biondly proporlioned wood l'ran1Ca'I w111d0w6, 011011 CILlS1CrCd in bnndS. Cra115nhan hpmCS wCIC built 11'0111 CHU 1902 until the endy 192Us- SUMMARY/CONCLUSION: The AypS I lou5c wn, hSted in the Nabonnl R"iStcr OB I bstoi ic- Plnc" in 1999 aS a cootr'ibuloi to life I rOnch P'll k I Iis(oiie I )Istnet. TTnder the regulation inlplchnchlting the C.11ifnrnia RCQI,CTCI' ofHmorlcal Resources, the bvildinq is also listed in the California Regimcr. It also qualilics 101 listing in the Santa Ana Register ul-Historical Properly under CliLetion I as representative of fire distilipli hiug charaaeristice of the Bungalow/Ctaftstuan style from [Ile fin( dccadc of file [wentie[h century- Addi[ioually, [he house ha: been categorized as "Contributive" because it "connlbutes to the ovetall character and limoiy" of the Fiench Pail: neighborhood through its style and Lypc, is a "good example" of -the Bungalow/Cralisnhan style and "has noL been subsLanually altered" (Municipal Cade, Sectio1l 30-22). EXPLANATION OF COMES: • National Register Criteria for Evaluation: (team Appendix I of hrsauktions for Recoidtnt_ llisturical Resources, Office of Hi.mmic Presmvalion) C: Ihat embody dtc diblinctivc charedcribLies of a type, periott, or method Of cunbnnctiun, Or Lttal rcpresctu the wor1C Of a. master, or that possess high artistic valtles, Or Thaw represent a .signiticant and distin}llishable entity whose components may lack Indicidual distinction- • National Rcpi6'ICr S1aluS CbdC. (1-10111 AppCtldfx "_) OC InSlruClions for RCcprdin� HiSlolical RCSiiarcc6, t 111cc OI Historic. P-cacrvatioll) D: Contributor to a listed district. 12 — 71 5/18/2021 N/14/lJ'n State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary HRI #_ NRHP Status Page I of _.�_ Resource name(s) or number (assigned by recorder) Ayers House P1. Other Identifier: ''P2. Location: ❑Not for Publication ■Unrestricted 'a. County Orange County `b. USGS 7.5' Quad TCA 1725 Date: "c. Address 824 North Garfield Street City Sanla Ana Zip 92701 ,a. Other Locational Data* Assessor's Parcel Number 398-042-12 Santa Ana East Lot: 27 Block: 74(and SLY % Lot: 28 Block 74 "P3a. Description: (Dasr.nhe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) A front -facing gable caps tnis symmetrical, one-story Craftsman bungalow. A triangular, vertically lathed vent distinguishes the gable peak and rafter tails project beneath deep eaves. The east -facing house is clapboard sided and edged with corner boards. Tripartite windows of double -hung sash bordered by double -hung sidchyhts are north and south of the center entrance. Window and door surrounds are plain. A broad shed roof with center gable covers the attached porch. Clapboard sheathes the porch gable face_ Battered posts on stucco -covered pedestals with concrete caps support sturdy porch roof beams. Concrete steps with stuccoed stair walls lead to a porch entrance flanked by heavy, squared, concrete -capped pedestals. A wooden, vertical slat balustrade encloses the porch space. A scalloped, red brick barrier lopped by a while picker tenre surrounds the front yarn. I he huddmg appears to be mostly ortgrnsl except for the metal serarnty dour srtd prrket fonco. "P3b. Resource Attributes' (Gst sttnnntes wort rnries) HP2. Single-family Prnparty 'P4. Resources Present: ■Building ❑Structure []Object ❑Site ❑District ■Element of District ❑Other P5a Photo rpV,��IIcn�, r r , 7 4 in r q" " �� �fiir or 4Gr r� i , L , 1 P �I�4 I A .rr 6r'bd a n i P5b. Photo: (view and date) East elevation May 2002 `PB- Date Constructed/Age and Sources: ■historic 1909/ Source: National Register nomination. "P7. Owner and Address: `P8. Recorded by: Leslie J. Heuinann, Peter C. Moruzzi SAIL 35 3. Raymond Ave. # 204 Pasadena, CA 91105 'P9. Date Recorded! June 7. 2002 `P10. Survey Type: Intensive Survey Update "P11. Report Citation: (Cite survey report and other sources, or enter "none") I es. Kathleen "Htcrnrtr. Re.cnurres Inventory Frenrh Park Oistrict "Septemher 1979 Marsh, Diann. "French Park Historic District." National Register Nomination Form, February 1998. 'Attachments: ❑None ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building, SLruCLure, and Object Record ❑Archaeological Record ❑District Record ❑Linear Feature Record ❑Milling Station Record ❑Rock Art Record ❑Artifact Record ❑Photograph Record ❑ Other (list) hPR 523A.(D'*Council 12 — 72 5/1 WRIMi4ed information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *NRHP Status Code iD *Resource Name or #: Ayers House 131. Historic Name: Ayers House B2. Common NameSame B3. Original Use: Single-family Residence B4. Present Use: Single-family Residence *B5. Architectural Style eungalow/Craftsman `BG. Construction History: (Cunstructiun date, altcrotiuns, mrd data of alterations): Constructed Pt 1909. May 11, 1921. Garage. May, 1922. Residence alterations. July 8. 1965 Oemolish existing garage. construct new garage July 8, 1985. Repair existing structure. Oclober 25, 1988. Legalize unperloitted partition wall in bathroorn, subf/oor, floor cover, laundry, wood siding, doors windows, gales. *137. Moved? ■No OYes ❑Unknown Date' Original Location! *BS. Related Features: Nono. 89a. Architect: Unknown h. Builder: Unknown *1310- Significance: Theme Residential Architecture Area Santa Ana Period of Significance: rtrra 1880-1946 Property Type: Single-family Residence Applicable Criteria: C (Discuss hripurtancu in luaus of hislurival ur anL114UL[ural Lunluxl as dLflllUd by tliunq periud, and gcugraphic scups. Alsu addrLSS inlegrily) I he Ayers House is arrfnler.Wrally srgnrfirent as a representative example of a small Craftsman bungalow from the first derade of the twentieth renrury. It is also important as a contributor to the French Park Historic District. According to earlier research, the house was built for the retired Enlrnon Ayers. One year later, Charles and Carrie Preston resided in the horse, staying for four years. Sylvester and Ida Deck were owners from 1912 until the late 1920s. Mr Deck, a carpenter, was also the owner of a pool ball looated at 412 North Main Street (Marsh, 1998). (See Continuation Sneet 3 of 3.) B11. Additional Resource Attributes: (List attributes and "812. References: City of Santa Ana Building Permits Santa Ana History Ruurn Cullet.tion, Santa Ana Public Library Sanborn Maps (See Continuation Sheel 3 of 3.) B13. Remarks: *814. Evaluator, I e.clie J. Heumann *Date of Evaluation: June 7, 2002 (This space reserved for official comments.) DPR 5231BQ.WY)Council 12 - 73 5/1 Wd Mid Information State of California —The Resources Agency Primary ft DEPARTMENT of PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page -J— of 3 Resource Name or # (Assigned by recorder) Ayers House 'Recorded by Leslie J. Heumann. Peter C. Monizzt. SAIC 'Date ,rune 3. 2002 LxJ Continuation ❑ Update *810. Significance (continued)' Santa Ana was founded by William Spurgeon in 1869 as a speculative town site oo par[ of the Spanish land grant known as Rancho Santiago de Santa Ana. In 1877. Spurgeon, along with James McFadden and James Fruit, farmed the Western Development Company with the intention of bringing the Southern Pacific Railroad from its then terminus in Anaheim into Santa Ana. Thinking to capitalize on commercial growth around the railroad. the partners purchased 160 acres adjacent to the eastern rrty bourtdary at French Street. Although they were successful rn luring the Sot rthem Pacific to a new depot on Fruit Strrrt in Santa Ana in 1878, the expected commercial development of Santa Ana East" novel- alatcrialized. Early growth and development of the town continued to be centered 6rrther west amend Fourth and Main Streets, with the result that the Ipgar:y of Santa Ana East is an anglpd sheet plan whn.cp Intprcprtlnn with the original rity is markad by a ,mall, hiangular parcel, developed in the 1890E as Flatiron Perk, now known as Fr'CnCh Park, Santa Ana Continued 10 grow, slitnulaled by the arrival of the Santa Fe Railroad in 1886. Following its Incorporallon as a city in 1886. Santa Ana was recognized as one of the leading rummunities in the area in 1889 when it beoarne the seat of the newly credted County of Orange. Beginning in the 1880s and con6rruinq well info the twentieth century, the area around the park began to be developed with many of the finest homes in Santa Ana. Examples of Victorian era, turn of the century, and Craftsman homes were built along the tree lined streets. By the 1920s, most streets in the neighborhood were fully developed. although a few revival styled single family homes and duplexes were built during the 1920s. and a handful of apartments construrted in the 1930s. From the nineteenth century onwards, r'CSidOnts were a "Who's Who of early Santa Ana, and included bankers, attornoyS, doctors, businessmen, ranchers, teachers and others active in the civic and social life of the city. Once known as the "Nob Hill" of Santa Ana. French Park declined in the 19403 and 1950s as some homes were converted into rooming houses and others were allowed to deteriorate. In the 1960s and 1970s sortie houses were demolished and the properties redeveloped with rnulli-family housing. However, a grass roofs preservation effort begun in the late 19708 led to the establishment ura tucat historic dishicl in 1984 and the listing of the nelghbodnoud in the National Register of Hisluric Places in 1999. The Ayers House was listed in the National Register of Historic Places in 1999 as a contributor to the French Park Historic Distrirt. It is thricinro listed in thr. Califnmia Register of Historiral Resources and is lorated within thr boundaries of the locally designated historic district. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion 1 as repress ntative, of the, dlstingnishing rharartenstirs of the. Dungalnw/Craftsman Style, from the. first deridp of the. twe..n M.th century. Additionally, the house has been rategonzed as 'Contributive" because it -contributes to the overall character and history" of the French Paric neighborhood through its style and type, is a "good example" of the Bungalow/Craftsman style and "has not been substantially altered." Characteristic Craftsman features include gabled roof with rafter tails and broad eaves. attached porch with battered posts, and massing. Character -defining exterior features of the Ayers House that should be preserved include, but Fray not be limited to: materials (wood) and finishes (siding): roof configuration: massing: porch. windows end witrdow surrounds, end architectural details such as rafter tails. '812. References (continued)' Harris. Cyril M. American Architecture • An Illustrated Encyclopedia. New York. WW Norlon. 1998. Marsh, Diarin Santa Arta, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 1 CA. 'How to Complete the National Register Registration Form." Washington DC National Register Branch, National Park Service, US Deptof the Interior, 1991. Ottiec of Historic, Prrservatinn. Instructions ter Hernrdtng Historiral HOsoutcos. Sacramento: March Whiffen, Marcus. American Architecture Since 1780. Cambridge. MIT Press, 1969. City Council DPR 523L 12-74 5/1 S/2021 I:I9�_d11y�1aiF:3 AYERS HOUSE 824 NORTH GARFIELD STREET SITE PHOTOS City Council 12 - 75 5/18/2021 HILLS,I CT AGREEMENT 520 hest Nhteieeath Street Santa Ana. CA 92706 RECORDING REQUESTED BY AND WIII'N Rl:CORDFD MAII.TO: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Attn: Clerk of the Council I RLL ItLCORDING PURSUAN'l 10 GC>VLICNMLN I CO L 5 27383 TTTSTORTC PROPERTY PRESFRVATTO N AGREEMENT This Historic Property Preservation Agreement ("Agreement") is made and entered into by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and Taws of the of the State of California (hereinatter referred to as "City"), and Robert ht. Yoakum and Connie J. Yoakum, I rustees of the Yoakum Family Trust dated August 6, 2004, (hereinafter collectively referred to as "Owner"), owner of real property located at 520 West Nineteenth Street, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties. RFC:TTALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50'80 ct seq. (known ns the "Mills Act") to enter into contacts with owners of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these I1lstnr IC properties nclain their historic character and intcgrily. B. The Owttcr possesses fee title in and to that ecrtain qualified real propa'ty_ together with associated structures and improvements thcteoi, located at 520 West Nineteenth Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property"- C. The Historic Property is officially designated on the Santa Ana Register of listoricnl Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. City and Owner, for their mitnual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource firr Owner- and for the Conumurity; to prevent inappropriate alterations to the Histoiie Property -aid to ensure that repairs, additions, new building, and other chances are appropri:-rte; and to ensure that rehabilitation and maintenance are carried out in an cxcmplary manner-_ City Council 12 — 76 5/18/2021 Exhibit 5 HILLS, I CT n GREEMENT 520 West Nhteteeath Street Santa Ana. C 1 92706 E. Owner and City intend to carry Out the pur3wscs of Caliluntia Government Cock, Chapter I , Part 5 of Division I ofTitle 5, Article 12, Section 50280 et seq., which will enable the Historic Properly to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1 -9, Sec- 439 et seq-, Chapter 3 Part 2 ol'Division I of the California Tax and RCVCnne Code. NOW, THEREFORE. the City of Santa Ana and the Owner of the historic Property agree as follows - Effective Date and Terms of Agreement. This Agreement shall be effective and connnence on May 19, 2021, and shall remain in effect to[- a lean of Len (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial tern will anlomatically be extended as provided in Calilirrnia Government Code Sections 50290 through 50290 and in Section 2, below. 2. Renewal. a- F.ach year nn the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year tern of this Agrccrttent unless written notice of nonrenewat is served as provided herein. b. 11' the Owner Or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of notn•enewal of the Agreement ou the other Party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner al least sixty (cif)) clays prior to the annual renewal dale, one (I ) year shall automatically be added to the term of tlrc Agreement as provided herein- C. Within 30 days from receipt of City's notice of nonrenewal, the Owner ilia -y file a written protest of City's decision of nonrenewal. The City may, at any titre prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in ellect for the balance of the teen then remaining, either li-orn its original cxeeu11011 ur 1i0111 the last renewal of the Agrcctnett, whichcvcr may apply. 3. Standards and Conditions for Historic Property. During the teen of this Agreement, the historic Property shall be subject to the following conditions, rcquirc nrcnts and restrietions- a. Owner shall maintain the IIistoric Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining features described in the "Historical Property Description" attached hereto, marked as Exhibit Q, notably the gcnand archilcetural lbinr, style, materials, design, scale, proportions, 01-g,2ni7ati0rl of WirtdoWS, doors, and other openings, textures, details, mass, roof title, porch and other aspects of the appearance of the exterior 10 the Salislitelion 01 the City. City Council z 12 — 77 5/18/2021 HILLS, I CT n GREEMENT 520 Wem Nhteteeath Street Santa Ana. CA 92706 b. All changes to the I Iistoric Property shall comply with applicable City plans and regulation:, and conform to the rules and regulations of the Ut?ice of Historic Preservation of the State Department of Parks and. Recreation, namely the IT-S. Secretary of the Interior's Standards and Cluidclincs Ibr Historic Presc nation Projcets- Thcse guidelines arc attached hereto, marked as Lxhibit C, and ineorporatcd ltcrein by this reference. Owner shall continually maintain the I istoric Properly in the same or better condition. c. A vice corridor enabling the ucncral public to scc the Historic Property from the public rigtu-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with ally new structrue, such as walls, tenses or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following arc prohibuc l: do nolnion ol'the Historic Property or destruction of character -defining tcatures of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the historic Resources Commission; paving of yard surface; exterior alterations or additions unless approved by the Historic RCSUtn-CC.s Commission and such alterations arc in keeping with the Secretary of [ntcrior's Standards; deteriorating, dilapidated or unrepaired su-uctures such aS ILirCCS, rook, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as ears, appliances, or hu niture; and other' unsightly by decoration, stntettire or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic inspection by prior appointnenl, as needed or at least every live (5) years after the initial inspection, of the interior and exterior of the Historic Property by representatives of the City of Santa Ana, the Courgy Assessor, the State Department of Parks and Rcercation, and the State Board of Lqualmnion, to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to filrnish the City with any and all infonnation requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 5. CarrlelldhOn. I . The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280. et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City detennines that the Owner have failed to restore or rehabilitate the property in the niauuel specified in Section 3 of this Agreement. if a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. I'his cancellation fee shall be a percentage (currenlly set al twelve and one-half (12 V) percent by Government Code Section 50286) of the current fair market value of the City Council s 12 — 78 5/18/2021 HILLS, I CT AGREEMENT 520 Wem Nirueteenth Street Santa Ana. CA 92706 property at the lime of the cancellation, as determined by the county as�e�sUr, Without regard to arty restriction imposed pursuant to this Aorecnncnt. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building O11icial more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled immediately bceau-w, in effect, the historic value of the strvcrure will have been destroyed. No fee shall bc imposed in the case of destruction by acts of God or natural disasten C. if the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this A4p•e0111e11t, this Agreement shall he cancelled and no fee imposed, as sped tied in Government Code Section 50288. 6. Enforcement of Agreement. I In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, City may specifically enforce, or enjoin the breach of. the terms of the Agreement- In the event of a default, under the provisions to cancel the Agreement by Owner, the City shall give written notice to Owner by registered or certified mail, and it such a violation is not corrected to the reasonable satisfaction of the City Manager or designee within thirty (30) day; thereafter, or if not corrected within such a reasonable tinge as cony he required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to Cure the breach or default may be commenced within thirty (30) clays and shall thereafter be diligently pursued err completion by Owner), then City may, without fiuthcr notice, dcclarc it default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of Owner growing out of the germs of this Agreement, apply to any court, stale or - federal, for injunctive relief against any violation by 0"ner or apply for such relief as may be appr'oprlate- b. City does not waive any claim of default by the owner if City does not enforce or cancel this A-u ecment- All other remedies at law or, in equity which are not otherwise provided for in thin Agreement or in City's regulations governing historicc properties are available to City to pursue in the event that there is a breach of this Agreement. No waiver by Cit-V of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. Owner hereb_i subjects the Historic Property, located at 520 West Nineteenth Street, Assessor Parcel Number, 002-104-11 and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreement. h- City and Owner hereby declare their sped fie. intent that the covenant,, conditions and restrictions as set forth herein shall be deemed covenants running with the land and shall pass co and be binding upon Owner's successors and assigns in title or interest to the Historic Proper-M FVery ionlracl, deed, or other instrument hereinaller executed, covering or conveying City Council 12 — 79 5/18/2021 HILLS, I CT AGREEMENT 520 lVest Nitueteeath Street Santa Ana. CA 92706 the I Iiswric Properly or any portion thereof, shall conclusively be held to have been CXCCnted, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, conditions and restrictions are set forth in such conu-act, deed, or other 111strument- 8. No Compensation. Owner shall not receive any payment from City in consideration of the obligation unposed under this Agreement, it being reconnized that the consideration for the execution of this Ageement is the substantial publicc benefit to be derived therefrom and the advantage that will accrue to Owner as a result of the etteet upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required b-y the terms of this Agreement shall be sent TO the address of the respective parries as specified below or at other addresses that may be Later specified by the parties hereto - City: City of Santa Ana 20 Civic Center PIa7a (M-30) Santa Ana, C'A 92702 Attn- Clerk of the COnnell Owners! Robert M. and Connie J. Yoalntm 520 West Nineteenth Street Santa Ana, CA 92706 10. General Provisions. I , None of the terms, provisions', or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of'their heirs, successors, or assigns, nor shall such Icons, provisions or conditions cause them to be considered joint ventures or members ofanyjoint enterprise. h- The Owner agrees to and shall indemnify and hold the ('try and its elected and appointed officials, ol'iccrs, agents, and employees harmless from liability for damage or claims 1br damage for personal injuries, including death, and claims for property damage which tna-y arise from the direct or indirect use or operations of the owner or those of his or her contractor. Subcontractor, agent, employee, or other peNon acting on his or her behalf which relates to the use, operation, anti maintenance of the Historic Property. The Owner hereby agrees to anti shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, of alleged to have been caused by, reason of (lie owner's activities in connection with the Historic Property. City Council S 12 — 80 5/18/2021 HILLS, I CT n GREEMENT 520 Wem Nhteteeath Street Santa Ana. C 1 92706 C. This hold harmless provision applies to all dautagc, and claims for darnages sutfered, or alleged to have been suffered, and costs of detense incurred, by reason of the operations referred to in this Agreement regardless of whether or not City prepared, supplied, or approved the plans, sped fiCations or other documents lbr the HI51011C. Propelty- d. All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whahcr by operation of law on in any manner N'hatsUCVer- e. In the event legal proceedings arc brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding nray recover all reasonable atlontcy's fees to be fixed by the court, in addition to court costs and Other relief ordered bV the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any cotut of competent jurisdiction, or by subsequent preemptive legislation, the validity and enlin-ceabilit-V of the remaining provisions, or portion, thcraof. shall not be effected thereby. k. l his Agreement shall be construed and governed in accordance with the laws of the Sidle ofCalillomia, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agrccmcnt to be recorded in the office. of the. County RCCOr"dcr- of the C:ouirty of Orange. 12. Amendments. This Agreement may be amended, in whole or in part, only by a writtcu recorded instrument excctrted by the parties hereto. 13, 11,111'ective Date This Agreement shall be effective on the clay and year first written above in Section I - {Signature page lirllows City Council 12 — 81 5/18/2021 ATTEST: HILLS, I CT AGREEMENT 520 Wem Nitae[eea[H Street Santa Ana. CA 92706 CITY OF SANTA ANA DAISY Gi 1ML"L KRISTINE R1DGL Clerk ofthe Council City Manager OWNE14 Date. By: ROBERT M. YOAKUM TRTTSTF.F. OF THE VOAKITM FAMTT.Y TRUST DATED AUGUST 6, 2004 Date: Ily: CONNIF.J. YOAKIJM TRUSTEE OF THE YOAKUM FAMILY TRUST DATED AUGUST 6, 2004 APPROVED AS TO FORM: RF.COMMF.NI)F..I) FOR APPROVAL: SONIA CARVALHO City Attorney 11y: _ 1KI. -f� JOIN M. FUNK Assistant City Attorney M1N11 '1'11A1 Executive Director Planning and Building Agcncy City Council 12 — 82 5/18/2021 HILLS, I CT AGREEMENT 520 Wem Nitae[eea[H Street Santa Ana. CA 92706 EXHIBIT A I FGAI. DESCRIPTION THE LANE) REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBED AS FOLLOWS: LOT I IN BLOCK B OF TRACT NO. 256, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER, MAP RECORDED IN BOOK 14, PAGE(S) 23 OF MISCELLANEOUS MAPS, 1N THE OFFICE OF THE COUNTY REOCRDER OF SAID COUNTY. Assessor's Parcel Number: 002-104-12 City Council s 12 — 83 5/18/2021 EXECUTIVE SUMMARY Elwood Bear House 520 West Nineteenth Street Santa Ana, CA 92706 NAME ADDRESS Elwood Bear House REF. NO. 520 West Nineteenth Street CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY, Key HISTORIC DISTRICT None NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FUR EVALUATION C/3 CALIFORNIA REGISTER STATUS CODE ,riS3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Mission/Spanish Colonial Revival Style, as its narne irnplies, encompasses two major subcategories. The Mission Revival vocabulary, popular between 1890 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadana); red tiled roofs and coping; low-pitched roofs, often with overhanging eaves: porch roofs supported by large, square piers: arches; and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama -California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low-pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY/CONCLUSION! The Elwood Bear House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 11 as a very intact and well -documented example of a Spanish Colonial Revival bungalow in Santa Ana. Additionally, the house has been categorized as "Key" because it has a "distinctive architectural style and quality" as an example of the Spanish Colonial Revival style in Santa Ana, exhibiting distinctive features such as the Palladian -influenced treatments of the facade windows, unusual shingled Lile roof, and front patio enclosure (Santa Ana Municipal Code, Section 30-2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Registcr of Historical Resources," September 4, 2001.) C/3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses hiqh artistic values. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. 5S3: Appears to be individually eligible for local listing or designation through survey evaluation City Council Exhibit 62 — 84 5/18/2021 State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary #_ HRI # Trinomial_ NRHP Status Reviewer rce name(s) or number (assicncd by recorder) P1. Other Identifies "P2. Location: ❑Not for Publication ■Unrestricted `a. County Orange County "b. USGS 7.5' Quad TCA 1725 Date: March 3. 2015 'e. Address 520 West Nineteenth Stn:et City Santa Ana Zip 927nfi 'e. Other Locational Data: Assessor's Parcel Number002-104-12 '123a. Description: (Denrrihe remorse and Ili, InBlnr PIPIOPnIfi. Indiii-le desgn, In Blp.n,i S, COnrtlhnn, alle -ihnnS, V/P, SP.Ihnq, i nr) hntinri Bnpi,) The Elwood Bear House Is a one-story house constructed In the S'paidsh Colonial Revival architectural style. The house Is asytornetric, in design and clad in a light sinooth stucco finish. A stepped parapet, with clay barrel tile, coping, shields the rear (south) half of the roof along tho south, cast. and west elevations- The front (north), cross -gabled, half of the roof which onrc featured n red composition slate rile roof is now covered in composition shingles with rolled edges with little or no overhang. The fagade (north elevation) consists of three bays, each containing a tripartite window grouping. The right (west) bay is capped by a front -facing gable, whose extended west rn ke tops an arched opening in a wing wall. CCntcrod beneath the front gable is a set of three, multi -light, wood, arched windows of Palladian inspiration. With a fixed center and composed in an A- B -A pattern, the windows are separated by engaged spiral colonnettes. The recessed center bay is fronted by an uncovered patio area. enclosed by a low wall and featuring terracotta tile pavers along the front steps and porch floor A non-orlgtrial entry door is oriented perpendicular to the street and is shaded by a fabric awning. Norfh of the entry, a large. stuccoed bracket from which a wrought iron and glass lantern is suspended, extends to the north over the patio wall. Three flat - headed, multi light, wood, casement windows, also with a fixed center, overlook the patio. The left bay features a shed roof extension of the side gable that terminates at a lower height than the rest of the bays. Tucked beneath the eave line, a third tripartite grouping of wood rasement windows, features an arrhed renter window with radiating muntins in the Palladian manner flanked by shorter; tight -light, flat-hoadod windows. (See Continuation Sheet 3 of 4.) 'P3b. Resource Attributes' (list attributes and codes) HP2. Single-family residence 'P4. Resources Present' ■Building ❑Structure ❑Object ❑Site ❑District ❑ClCnlCnt of District ❑Oth Cr P5a. Photo P5b. Photo: (view anti hate) January 2021 Front elevation, facing south. '136. Date Constructed/Age and Sources' ■historic 1923/Cily or Satire Ana Building Permit `P7. Owner and Address: Robert M. and Connie J. Yoakum 520 West Nineteenth Street Santa Ana, CA 92706 'P8. Recorded by' Pedro Gomez. Associate Planner 20 Civic Center Plaza M-20 Santa Ana. CA 92702 "P9. Date Recorded: March 25, 2021 'P10. Survey Type: Intensive Survey 'P11. Report Citation: (Cite survey report and other sources, or enter 'none') None 'Attachments, ONone ❑Location Mao ❑Sketch Mao ■Continuation Sheet ■Building, Structure. and Object Recortl ❑Archie{ c i.�S Ftgrd ❑Dlstrlct Record ❑Linear Feature Rectr J- Statlon Record ❑RULIS (IOMV1 ❑Artifact ecord )otogiaph Record ❑ Other (list) DPR 523A (1195) 'Required information State of California -The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 'NRHP Status Code 5S3 'Resource Name or #' Blwnnd Bear Houso B1. Historic Name: Elwood Bear House B2. Common Name: Same 83. Original Use' Single-family residence *B5. Architectural Style: Spanish Colonial Revival B4. Present Use' Single-family Residence *BG. Construction History: (Construction date. alterations. and date of alterations): Constructed March, 1923. $4, 750. Judy 9, 1943. Rcroof by Owcn Roof Company. $75. Deremher 27. 1945. Floor furnanra by 1 O. Cmssnickle. $165. June 18. 1954. Private garage (20'x20) by Ivan F. $700. July 19. 1954. Plastering for 1. May, owner by Tucker. December 6. 2004. T/O existing comp shingles and replace on pitched fool $3.686. August 16. 2018. Voluntary seismic retrofit $3,800. August30, 2018. Repair masonry chirnney. $11.000. *E7. Moved7I•Ncr DYes DUnknown Date: Original Location: *138. Related Features: Garage. B9a. Architect. Unknown b. Builder. Elwood Bear (owner) "12110.Significance; Theme ResidenlialArchileclure Area Santa Ana Period of Significance: 1923 Property Type: Single-family Residence Applicable Criteria: C13 (Discuss ill PUItLI ILL III ILIHIG Ut IIIGWIILJI UI i[IL1IIWLWILl Lunburt as dUCI ncd by bhcmu, puiuJ, and gcuy,aphic scupc. Alsu addiuss inbuylity) The Elwood BCor House is arChitoeturally Significant oS a Ctullootri-tSt/C example of the Spanish Colonial Revival Stylo. This house was originally constructed in 7923 and was valued at approximately $4,750. according to the original building permit. At the time of its constntction, the listed property owner was Elwood Hartman Bear, a notable violin soloist both on the East Coast and as an instructor in the City of Santa Ana. Bear arrived in Santa Ana in 1921 from Pennsylvania while under the instniction of both Henry Schradieck and Frederick Hahn, two of the most noted violinists during that time. Bear instructed students both from his home and frorn the Santa Ana Conservatory of Music. Prior to coming to Sanla Ana. Bear served in the army duriny World War I. as director of the training camp band at Camp Lee, Virginia. Apparently, Bear initially intended to sell this house. fully furnished. It was featured in a full page advertisement. with a photograph, editorial commentary, and advertiserriews from all of the building subcontractors in the Santa Ana Register on JUl I& 16, 1923 and was open for inspection for eight days- The 1923 photograph substantiates the integrity of the house; only the front door and roof have hrrn replaced and the Iandsraping has evolvrd. Despite his intentinns, Bear and his wife Corn occupird 1hr house into thr. aarly 1940s, aa:nrding to rtty directories and vnterreglstration rnrords. (Sco Continuation Sheet 3 of 4.) B11. Additional Resource Attributes' (List attributes and codes) *812. References- City of Santa Ana Building Permits Harps. Cyril M. American Architecture. An illustrated EncycloOccl/a. Now York, WW Norlon, 1998. Santa Arta History Room Collection. Santa Ana Public Library Sanbom Maps Sketch Map tlwond Bear House (See Continuation Sheet 3 of 4.) 520 Wcst Ninctccnth Sbcct B13. Remarks: \b� , o_2 n `1114. Evaluator: Leslie Heurnanc , Chattel. ln20 etx '�sJ 8 cnrns of F. r k&K '( 16'Date of Evaluation_ March 2,), 2021 '�w.e. I C�(This space reserved for official comments.) e s atr City Council 1 86 5/18/2021 ❑PR 5238 (1/95) 'Required inforrnatlon State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name' Elwood scar House 'Recorded by Pedro Gomez `Date March 25, 2021 Lx3 Continuation ❑ Update '153a. Description (continued): Fenestration along the side (east and west) elevations consists of six-over-sm wood. double -hung windows, and multi -light wend rasoment windows, some shaded by fahrir awnings_ A secondary entry on the cast elevation faces the driveway and is characterized by a simple wood multi -panel door, also shaded by a fabric awning. A small patio cover is attached to the rear of the residence, but due to their location and design, they do not impact the integrity of the building. There is a one story detarhed garage (built in 1954) at the rear of the property that not rnnslderP.d a character -defining feature. The property is generally landscaped with low vegetation, shritbs, and lawn. The property retains a high degree of integrity. *810. Significance (continued), In 1945, the home was sold to Hans and Lenora Haug. In 1949, the home was sold to Ivan F. and Hazel 1. Macy. Mr. Macy worked locally as a laborer arid later as a building inspector. Mr. Macy passed in 1963 and Mrs. Hazel resided in the borne until 1981the home was subsequently sold to Jaynes H. I revorrow who resided at the properly until 2000 until It was sold to Gary and Susan Weber. Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on pan of the Spanish land grant known as Rancho Santrago do Santa Ana. Tho civte and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa fe Railroad and incorporation as a city in 1886, and selection as the suet of the newly created County of Orange in 1889. the city grew outwards. with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Elwood Bear House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street. North Flower Street, Riverside Drive. and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897-1981), riPdited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from BeaverFalls, New York in 1922 (Talbert, pages 353-356). Before nightfall on the day of his arrival, Mr. Honer purchased a parcel Of land. And that month, he began building custom homes in Santa Ana" (Orange County Register, September 15. 1961). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek "When built in the 1920S. the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register, September 15. 1981). Revival architeutuir in a wide variety of romantic styles was celebrated in the 1920S arid 1930s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, dnd Colonial Revival. The Allison Honer C011Struetion Company wen[ oil to complete such notable projects as the 193b Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War If, and the 1960 Honer Shopping Plaza_ Honer lived in the neighborhood tie fled helped to create, at 615 West Santa Clara Avenue_ In the rate 1920s and 1930S, another builder, Roy Roscoe Russell (1881-1965), continued developing the groves of Floral Park. An early Russell pmjert was his 1928 suhdlvrslon of Virtona Drive hetween West Nineteenth Street and West Santa Clira Avenue. The homes were quite grand and displayed various revival styles, including Russells own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War /I years, Floral Park continued its development as numerous, smaller. single-family houses were built. Continuing in the Floral Park tradition. they were mostly revival in style. In the 1950s. low. horizontal Ranch Style houses completed the growth of Floral Park. Today (2021) Floral Park maintains its identify as the premier neighborhood of Santa Ana. historically home to many affluent and prominent citizens. The Elwood Bear House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 11 as a very intact and well-docurrrerrled example of a Spanish Colonial Revival bungalow in Santa Ana. It appears very much as it was piclured rn a Santa Ana Register auvenisealenl published On June 16, 1923_ Additionally. the house has been categorized as -Key" because it has a distinctivc airflitcctural style and quality" as an example of the Spanish Colonial Revival style in Snnta Ana, exhibiting distinctive features such as the Palladian-infuenced treatments of the fagade windows, umtsual shingled tile roof, and front patio enclosure. Character -defining features of the Elwood Bear House that should be preserved inrlurle, but rimy not hr limited to. maten.)Is and flnrshes (sturrn), unusual .shingled tilr roof configuration, nintonals, and lreatmenl (clay bagel the coping and rolled edges). massing and composdron. Palladian -influenced lreabnenis of the fagade windows: fenestration; front patio enclosure (waist high wall and terracotta tile pavers); and original exterior lighting aria lighting bracket. "1312. References (continued)! Harris. Cyril M. American Architecture, An Illustrated Encyclopedia. New York, WW Norton. 1998. M;ar.h Ili�nn C�ni� dn� An /lln.-tr�tr�./ Nid.,nr Pn,-inib.- N..rit�Ju Pnhli.hin4.,�� 100d M�Id� (yiffNC4Sh and Lee. A Field Guide to Arnencan HouA-N87Yonkk Alfred A. Knopf. 198 f,/18/2021 DPR 523L State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name' Elwood soar House 'Recorded by Pedro Gomez `Date March 25, 2021 LxJ Continuation ❑ Updatra National Register Bulletin 16A. "How to Complete the National Register Registration Form ."Washington DC' National Register Branch. National Park Service. US Depl. of the Interior, 1991. Office of Historic Preservation "InStrLLtions fur Recording Historical ReSVUI`LeS."SacrdrnentoMarch 1995. Whdffen, Marcus Alnerlcan Architecture S/nce 1780. Cambr/dge' MIT Press. 1969. Santa Ana arrd Orange County Directories. 190b-201 /. Ancestry_com No wspapers.rnm (Santa Ana Register) 'Elwood H. Bear is a Talented Violinist "Santa Ana Register, 22 September 1922. "Elwood Bear's Smart Spanish House Open for inspection Tomorrow."Santa Ana Register, 16 June 192J. "Mr. Elwood Boar; Toachcrof Violin ."D/sploy Ad. Santa Ana Rcgistcr; 28 Scptombcr 1923. City Council DPR 523L 12 — 88 5/18/2021 HILLS, I CT AGREEMENT 520 Wem Nitaeieea[H Street Santa Ana. CA 92706 Exhibit C. F.xteriorwork shall be reviewed bythe Historic Resources Commission and subjectto the U.S. Secretary ofIli e interio's Standards lbrRehablhtaIion ofHistoric Buildings, as IbIIUws: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishitr.- ori.-Mal qualities or character of a building, structure or site and its environment shall not be desnoyed. The removal or alteration of any historie material or distinctive architectural features should he avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Cringes which may have taken place in the course of brae are evidence of the history and development of a building, strucwre, or site and its environment. I'hcse changes may have acquir'cd significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic fcaRtres or- examples of skilled c attsmanship which characterize a building, structure, or site sliall be treated with sensitivity. Oi Deteriorated architectural features shall be repaired rather than replaced, whcncver possiblc. in the event replacement is ncccssat v, the new matcrial should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural fcantres should be based on accurate duplications of features, substantiated by historic, physicdl, or pictorial evidence rather than on conjectural designs or the availability of dillcrent architectural elements liom the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possiblc. Sandblasting and other cleaning methods that will damage the historic building materials shall not be Undertaken- X. livery reasonable effort shall be made to protect and reserve archaeological resources affected by, or attjacent to any project. 9. Contemporary design for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material. an such design is compatible with City Council 1 12 - 89 5/18/2021 M/LLS ,1 CT AGREEMENT 520 Wem Nitae[eea[h Street Santa Ana. CA 92706 size, scale, color, malarial and character oh the property, neighborhood, or environment. 10- Whereverpossible, new additions or alterations to suucuu-es shall be done in such a manna- that il'such additions or alterations need to be retuovcd in the littnre, the essential form and integrity of the structure would be unhupairai. City Council 2 12 — 90 5/18/2021 Planning and Building Agency Item # 4 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Historic Resources Commission Staff Report March 25, 2021 Topic: HRCA No. 2021-14, HRC 2021-14, HPPA No. 2021-20 - The Elwood Bear House RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2021- 14 and Historic Register Categorization No. 2021-14 (Exhibit 1). 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Robert M. and Connie J. Yoakum, subject to non -substantive changes approved by the City Manager and City Attorney (Exhibit 2). EXECUTIVE SUMMARY Robert M. and Connie J. Yoakum are requesting approval to designate an existing residence located a[ 520 Wes[ Nineteenth Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. DISCUSSION Project Location and Site Description The subject property is located on the south side of West Nineteenth Street in the Floral Park neighborhood. The site consists of a 1, 1 08-square-foot, Spanish Colonial Revival residence and detached garage on a 7,500-square-foot residential lot (Exhibit 3). Analysis of the Issues Historical Listing In March 1999, the City Council approved Ordinance No. NS-2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site City Council Exhibit 6 12 — 91 5/18/2021 HRCA No. 2021-14, HRC 2021-14, HPPA No. 2021-20 - The Elwood Bear House March 25, 2021 Page 2 having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30-2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30-2 of the Santa Ana Municipal Code, as the property is 98 years old and is a good example of period architecture. No known code violations exist on record for this property. The property, recognized as the Elwood Bear House, is located within the Floral Park neighborhood and has distinctive architectural features of the Spanish Colonial Revival style. The residence was originally constructed in 1923 and was valued at approximately $4,750, according to the original building permit. A majority of Floral Park was developed by prominent developer and builder Allison Honer who was credited as the Subdivider and builder of a major portion of northwest Santa Ana. In the late 1920s and 1930s, another builder, Roy Roscoe Russell, continued developing the groves of Floral Park. In the early post World War II years, Floral Park continued its development as numerous, smaller, single-family houses were built. The house is asymmetric in design and clad in a light smooth stucco finish. A stepped parapet, with clay barrel tile coping, shields the rear (south) half of the roof along the south, east, and west elevations. The front (north), cross -gabled, half of the roof that once featured a red composition slate tile roof is now covered in composition shingles with rolled edges with little or no overhang. The facade (north elevation) consists of three bays, each containing a tripartite window grouping. The right (west) bay is capped by a front -facing gable, whose extended west rake tops an arched opening in a wing wall. Centered beneath the front gable is a set of three, multi -light, wood, arched windows of Palladian inspiration. With a fixed center and composed in an A-B-A pattern, the windows are separated by engaged spiral colonnettes. The recessed center bay is fronted by an uncovered patio area, enclosed by a low wall and featuring terracotta tile pavers along the front steps and porch floor. The left bay features a shed roof extension of the side gable that terminates at a lower height than the rest of the bays. Fenestration along the side (east and west) elevations consists of six -over -six, wood, double -hung windows, and multi -light wood casement windows, some shaded by fabric awnings. Character -defining features of the Elwood Bear House that should be preserved include, but may not be limited to: materials and finishes (stucco), unusual shingled tile roof configuration, materials, and treatment (clay barrel tile coping and rolled edges); massing and composition; Palladian -influenced treatments of the facade windows; fenestration; front patio enclosure (waist high wall and terracotta tile pavers); and original exterior lighting and lighting bracket. City Council 12 — 92 5/18/2021 HRCA No. 2021-14, HRC 2021-14, HPPA No. 2021-20 - The Elwood Bear House March 25, 2021 Page 3 The Elwood Bear House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a very intact and well -documented example of a Spanish Colonial Revival bungalow in Santa Ana. It appears very much as it was pictured in the Santa Ana Register advertisement published on June 16, 1923. Additionally, the house has been categorized as "Key" because it has a "distinctive architectural style and quality" as an example of the Spanish Colonial Revival style in Santa Ana, featuring distinctive features include the Palladian -influenced treatments of the facade windows, unusual shingled tile roof, and front patio enclosure. Mills Act Agreement Ordinance No. NS-2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 2). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentives to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alterations to the property The property has no identified unauthorized modifications. Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood Association. The president of this Neighborhood Association was notified by mail 10 days prior to this public hearing. In addition, the project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. City Council 12 — 93 5/18/2021 HRCA No. 2021-14, HRC 2021-14, HPPA No. 2021-20 - The Elwood Bear House March 25, 2021 Page 4 ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review pursuant to Section 15331 of the CEQA Guidelines (Class 31 — Historical Resource Restoration/Rehabilitation) as these actions are designed to preserve historic resources. Based on this analysis, a Notice of Exemption, Environmental Review No. 2021-07 will be filed for this project. FISCAL IMPACT The Historic Property Preservation Agreement will reduce the Property Tax revenue account 01102002-50011 to the City by an estimated $769.46 annually, for a period of not less than ten years. EXHIBITS) 1. Resolution 2. Mills Act Agreement 3. 500-Foot Radius Map Submitted By: Pedro Gomez, AICP, Associate Planner Approved By: Minh Thai, Executive Director of Planning and Building Agency, Planning and Building Agency City Council 12 — 94 5/18/2021 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 104:W]I1j9IQ0110101rZWAIIXAzV :I A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2021-14 TO PLACE THE PROPERTY LOCATED AT 520 WEST NINETEENTH STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2021-14 PLACING SAID PROPERTY WITHIN THE KEY CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. On March 25, 2021, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2021-14) and categorization (Historic Resources Commission Categorization No. 2021-14) of the Elwood Boar House located at 520 West Nineteenth Street, Santa Ana. B. The Elwood Bear House has distinctive architectural features of the Spanish Colonial Revival style and was built in 1923. C. The Elwood Bear House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as an intact and well -documented example of a Spanish Colonial Revival bungalow in Santa Ana. It appears very much as it was pictured in the Santa Ana Register advertisement published on June 16, 1923. Additionally, the house has been categorized as "Key" because it has a "distinctive architectural style and quality" as an example of the Spanish Colonial Revival style in Santa Ana, featuring distinctive features include the Palladian -influenced treatments of the fagade windows, unusual shingled tile roof, and front patio enclosure. Character -defining reatures or the Elwood Bear House that should be preserved include, but may not be limited to: materials and finishes (Stucco); unusual shingled tile roof configuration, materials, and treatment (clay barrel tile coping and rolled edges); massing and composition; Palladian -influenced treatments of the fagade windows; fenestration; front patio enclosure (waist high wall and terracotta tile pavers); and original exterior lighting and lighting bracket. D. The legal owners of the property are Robert M. and Connie J. Yoakum. E. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. City Council 12 — 95 5/18/2021 Resolution No. 2021-XXX Page 1 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 F. The subject property meets the standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30-2 of the Santa Ana Municipal Code. G. The subject property meets the minimal standards for placement in the Key category pursuant to Section 30-2.2(2) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under CEQA Guidelines Section 15331, Class 31, as these actions are designed to preserve historical resources. Categorical Exemption No. ER-2021-07 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana after conducting the public hearing hereby approves: A. Historic Resources Commission Application No. 2021-14 to place the Elwood Bear House located at 520 West Nineteenth Street, Santa Ana, 92706 on the historical register, and B. Historic Register Categorization No. 2021-14 placing the Elwood Bear House located at 520 West Nineteenth Street, Santa Ana, 92706 within the Key category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto, the report entitled "Historical Property Description," and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description" is on file with the Planning Division, and is hereby approved and adopted, and together with the staff report and this Resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this Resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of [his Resolution with the County Recorder's Office after [he adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this 25'" day of March, 2021. Alberta Christy Chairperson City Council 12 — 96 5/18/2021 Resolution No. 2021-XXX Page 2 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ry: John M. Funk Sr. Assistant City Attorney AYES: Commission NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, SARAH BERNAL, Historic Resources Commission Secretary, do hereby attest to and certify the attached Resolution No. 2021-XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on March 25, 2021. Date: Commission Secretary City of Santa Ana City Council 12 — 97 5/18/2021 Resolution No. 2021-XXX Page 3 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 EXHIBIT A LEGAL DESCRIPTION APN Address Legal Description Owner Names 002-104-12 520 West Nineteenth LOT 3 IN BLOCK B OF TRACT Robert M. and Street NO. 256, IN THE CITY OF Connie J. SANTA ANA, COUNTY OF Yoakum ORANGE, STATE OF CALIFORNIA, AS PER, MAP RECORDED IN BOOK 14, PAGE(S) 23 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY REOCRDER OF SAID COUNTY. Resolution No. 2021-XXX City Council 12 — 98 :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street Su@ta Ann. CA 92706 RECORDING I?FOUFS I F,D BY AND WHEN RECORDED MAIL TO: City of Santa Ana 20 CiViC CCntor PIa7a (M-30) Santa Ana, CA 92702 Attn_ Cleo; of the CAunCll FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27383 HISTORIC PROPERTY PRESERVATION AG1 LL:ML:NT This TTistoric Property Preservation Agreement (`Agreement") is made and entered into by and betWCCTI the City of Santa Ana, a clrartcr city and municipal corporation Ally organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City'), and Robert M. Yoakum and Connie J. Yoakum, Trustees of the Yoakum Family 'Trust dated August 6, 2004, (hereinafter collectively referred to as `Owner"), owner of real property located at 520 West Nineteenth Street, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties_ RLCITALS A_ The City CAnnCil of the City of Santa Ana is auth01-i7ed by California Govcninient Code Section 50280 ct scq. (lwowo as the "Mills Act") to cntcr into contracts with owners of qualified historical properties to provide for appropriate vise, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possesses fee title in and to Ihat certain qualified real property together with associated structures and improvements thereon, located at 520 West Nineteenth Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, attd hereinafter referred to as the "Ilistoric Property". C_ The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requiratrents of Chapter 30 of the Santa Ana Municipal Code. D. City and Owner, for their mutual benefit, now desire to enter into this agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its vahle as a cultural and historical resource for Owner and for the community; to prevent inappropriate alterations 10 the Historic Property and to cnsurc that repairs, additions, new building, and other changes arc appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. City Council 112 — 99 5/18/2021 -- :HILLS ACT AGREEMENT 520 tNest Nineteenth Street Santa Atla. CA 92706 F.. Owner and City intend to carry out the pur1roses of California Government Code, Chapter I, Part 5 of Division I of Title 5, Article 12, Section 50280 et seq which Will enable the Ilistoric Property to qualify tin an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 ct seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agrcc as follows: Effective Date and Terms of Agreement. This Agreement shall be effective and commence on May 5, 2021, and ;liall remain in etfeet to[ a term of ten (10) years thereafter. Lach year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. I . Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year terns of this Agreement unless written notice of nonrenewal is served as provided herein- h- If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Aareemem on the other party - Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal dale, one (1) year shall automatically be added to the term of the Agreement as provided herein- c- Within 30 days from receipt of C;ity's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The. City may, at any time prior to the annual renewal date of the Agreement, withdraw it3 notice to the Owner of nonrenewal. d. if either the owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the halance of the term then remaining, either from its original execution or fr-onn the last renewal of the Agreement. whichever may apply, 3. Standards and Conditions for Historic Property. During the term of this Agreement. the Historic Property shall he subject to the following conditions, requirements and restrictions: a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, "here necessary. restore or rehabilitate the property and its character - defining features described in the "Historical Property Description" attached hereto, marked as Fxlribir B, notably the general architectural form, style, materials, design, scale, proportion~, organization of windows, door,, and other openings, textures, detalk, mass, roof line, porch and other aspects of the appcartnec of the exterior to the satisfaction of the City. City Council 12 — 100 5/18/2021 :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street SaWd Ana. CA 92706 b- All changes to the Historic Property shall comply with applicable City plans and regulations, and conliirm to the rides and regulations ofthc Oflicc of tlisturic Preservation oft}rc State Department of Parks and Recreation, nanhcly the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservalion Projects. "These guidelines are attached hereto, marked as Exhibit C, and incorporated herein by this reference- owner shall continually maintain the Historic Properry in the same orbetter condition. C. A view corridor enabling the general public to see the llistoric Property from the public right-of-way shall be maintained, and Owner shall not he permitted to block the view corridor to the property with any new sh-ucture, Snell as walla, fences or shrubbery. so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: demolition of the I Iistoric Property or destruction of character -defining features of the building or site; removal of' trees and other major vegelalion unless removal is approved by a rehabilitation plan approved by the Historic Resources Cotmnission; paving of -yard surface; exterior alterations or additions unless approved b-v the. llistoric Resources Commission and such alterations are in keeping wide the Secretary of Tnterior'.s Standank deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture, and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic inspection by prior appointrncut, as neccled or at least every five (5) years after the initial inspection, of the interior and exterior of the Hisloric Properly by representatives of the Cily of Santa Ana, the County Assessor, the Stale Depau-hnent of Parks and Recreation, and the State Board of Equalization, to deter -mine the Owner's compliance with the terms and provisions of this Agtee new. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 5. C'ancellalion, a. The City, hollowing a duly noticed public hearing by the City Council as set h>rth in Government Code Section 50280, et. scq-, may cancel this Agreement if it detr:rrnlnCS that the Owncr have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standafds for a qualified llistoric Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manna- specified in Section 2 of this Agreement. Tf a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 '/) percent by Government Code Section 50286) of the current tair inarkct value of the City Council 12 — 101 5/18/2021 :HILLS ACT .4 CREEMENT 520 Wes[ Nineteenth Street Santa Antt. CA 92706 property at the time of the cancellation, as detenrrined by the county assessor, without regard to any restriction imposed pursuant to this Agreement- b. 11' the Historic Property is destroyed by earthquake, tire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled immecliatcly because, in effect, the historic value of the structure will have been destroyed. No fee shall be innposed in the case of destruction by acts of (nod or natural disaster. c. 1f the. Historic Property is acquired by cnnincnt domain and dnc City Council determines that the acquisition fnrstrates thee purpose of this Agreerncrtt, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lice of and/or in addition to any provisions to canect the Agrcennent as rcti;rcnced herein, City may Specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by Owner, the ('ity shall give written notice to Owner by registered or certified snail, and if such zr violation is not corrected to the rcasmnable satisfaction of the laity Manager or designee. within thirty (30) clays thereafter, or if not corrected within such a reasonable time as may be required to cute the breach or default, or default cannot be cured within thirty (30) clays (provided that acts to cure the breach or default may be coninnenced within thirty (30) days and shall thereafter he diligently ptn-suetl to completion by Owner), then City may, without further notice, declare a default under the teiin, of this Agreement and may bring any action necessary to specifically enforce the obligation, of Owncr growing out of the terms of this Agrcetncrtt, apply to any cuttrt, state or federal, for injunctive relief against any violation by Owner or apply for such relief as nnay be app rop ri a I e. b. City does not waivec any claim of default by the Owner if City does not cnforec or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in City's regulations governing historic properties are available to City to pursue in the event that there is a breach of this Agrcennant- No waiver by City of any hrcach or default under this Agreement shall be deemed to be a waiver of any Other subsequent breach thereof or default hercundcr. 7. Binding effect of Agreement. a. Owner hereby subjects the Historic Property, located at 520 West Nineteenth Street, Assessor Parecl Ntunbcr, 002-104-12, and ntorc particularly described in Exhibit A, in the City of Santa Ana, to thee covenants, conditions, and restrictions as set forth in This Agreement. b. City and Owner horehy declare their specific. intent that the covenants, conditions and resrctions as set forth herein shall be deenned covenants running with the land and shall pass to and be binding upon Owner's successors and assigns in title or interest to the Historic Properry. Evcry contract, deed, or other irstrttmcnt hereinafter executed, covering or conveying City Council 4 12 — 102 5/18/2021 :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street Santa Aml. CA 92706 the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agrccncnt re�pardless of whether such covenants, conditions and restrictions arc set forth in such Contract, dccd, or other instrument. 8. No Compensation. Owner shall not receive any payment front City ill consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to he derived therefrom and the advantage that Will aca-ue to owner as a result of the effect upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required by the terms of this Agreement shall be sail- to the address of the respeetive parties as specified Below or at other addresses that may be later specified b-y the parties hereto. City: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana. CA 92702 Attn: Clerk of the Council Owners: Robert M. and Connie J. Yoakum 520 West Nineteenth Strcet Santa Ana. CA 92706 10. General Provisions. I . None of the icrtns, provisions, or conditions of this Agreement shall be deemed TO create a partnership between the parties hereto and any of their heirs, successors, or assigns. nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise- b. The Owner agrees to and shall indemnity and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including= death, and claims for property damage which may arise from the direct or indirect use. or operations of Lire Owner or those of Iris or lrer contractor, subcomiactor, agent, employee, or other person acting on his or her behalf which relates to the. use, operation, and maintenance of the listoric Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any mid all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. City Council 5 12 — 103 5/18/2021 :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street SaWd Amt. CA 92706 C. I his hold hamiless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of delense inetured, by reason of the operations rcl'crrcd to in this Agreement regardless of whether or not City prepared, aupp]icd, or approved the plans, specifications or other documents for the Historic Property. d- All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties lrcacin, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the llistnric Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of au_v of the covenants, reservations, or restrictions contained herein, or to determine the rights and clutics of any party hereunder, the prevailing parry in suelt proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and oilier relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be. unenforceable or invalid by any court of competent jurisdiction, or by sUibsequent preemptive legislation, the validity and enforceability of the remaining provisions, or porrions thereof, shall not be effected ihcrchy- g. This Agreement sliall be construed and governed in accordance with the laws of the State of California, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the ofirce of the t'ounty Recorder of the County of 01`ange- 12. Amendments. Phis Agreement may be amended, in whole or in part, only by a written recorded insu-ument executed by the parties hereto- 13, Rtfective Date This Agreement shall be effective on the day and year first written above in Section 1- {Signature page follows, City Council 12 — 104 5/18/2021 ATTEST: EST: :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street Sato Ana. CA 92706 CITY OF SANTA ANA DATSY GO )MEZ KRTSTTNE RTD6E C1c114: of tlir. Council City Mana"ct OWNE14 Date_ By: ROBERT M_ YC )AKT1M TRUSTEE OF THE YOAKUM FAMILY TRUST DATED AUGUST 6, 2004 Dale: By: CONNIE.I. YOAKUM tRUS'IIiI-: OF Flllt YOAKUM FAMII.Y tILUST DATED AU6US'I' 6, 2004 APPROVED AS TO FORM: RECOMMENDED FOR APPROVAL: SONTA CARVALTTO City Auomey By: JOHN M. FUNK Assistant City Attorney MTNH THAT Exceu Live Director Planning and Building Agency City Council 12 — 105 5/18/2021 :HILLS ACT ACREEMEVT 520 Wes[ Nineteenth Street Su@ta Ana, CA 92706 EXHIBIT A LEGAL DESCR[PT[ON I'HI{ I.AND RIiPI:RRIiI) I'O HI{RI•:IN III 1 OW IS SITIJA ITD IN THI( CITY OF SAN I'A ANA, COUNTY OF ORAN(ih, STATF. OF CAI_IFOIZNIA, AND IS DF;,SCIZIBFD AS FOLLOWS: LOT 3 IN BLOCK B OF TRACT NO. 256, 1N THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS PER, MAP RECORDED 1N BOOK 14, PAGE(S) 23 OF MTSCELLANEOTIS MAPS, TN THE OFFTCE OF THE COTJNTY RFOCRDE:TZ OF SAID COUN I Y. Assessor's Parcel Number: 002-104-12 City Council 12 — 106 5/18/2021 -b- IW7x1411111N4&111l7ill7ilF.11 WA Elwood Bear House 520 West Nineteenth Street Santa Ana, CA 92706 NAME Elwood Bear House REF. NO. ADDRESS 520 West Nineteenth Street CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1923 LOCAL REGISTER CATEGORY! Key HISTORIC DISTRICT I None NEIGHBORHOOD I Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION C/3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Spanish Colonial Revival The Mission/Spanish Colonial Revival style. as its name implies. encornpasses two major subcategories. The Mission Revival vocabulary, popular between 1690 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadana), red tiled roofs and coping, low-pitched roofs, often with overhanging eaves: porch roofs supported by large, square piers: arches: and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama -California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low-pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elerflenls. SUMMARY/CONCLUSION: The Elwood Bear House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1, as a very intact and well -documented example of a Spanish Colonial Revival bungalow in Santa Ana. Additionally, the house has been categorized as "Key' because it has a "distinctive architectural style and quality' as an example of the Spanish Colonial Revival style in Santa Ana, exhibiting distinctive features such as the Palladian -influenced treatments of the fagade windows, unusual shingled tile roor, and rronl patio enclosure (Santa Ana Municipal Code, Section 30-2.2). EXPLANATION OF CODES: . California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) C/3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. 553: Appears to be individually eligible for local listing or designation through survey evaluation City Council 12 — 107 5/18/2021 State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi: I.t:rt�.-fzstrr_�.rrn Other Listings Review Code Reviewer Page 1 of 4 Resource name(s) or number (assigned by recorder) Elwood SeatI louse P1. Other Identifier: "P2. Location: ❑Nol for Publicalion mUnfes1riCLed 'a. County Orange County "b. USGS 7.5' Quad TCA 1725 Date: March 3, 2015 'c. Address 520 West Nineteenth Street City Santa Ana Zip 92706 °e. Other Locational Data: Assessor's Parcel Number 002-104-12 `P3a. Description: (Describe resource and its major elements. Include design. materials. condition. alterations. size, setting. and boundaries) The Elwood Bear House is a one-story house constructed in the Spanish Colonial Revival architectural style. The house is asymrnetrir, in design and clad in a light smnntn Sturm finish. A stepped parapet, with clay bnrrel file coping, shields the rear (south) half of the roof along the South. Cast, and west clovations. The front (north), CrpSS-gabled, half of the roof which onto featuted a red composition slate the roof is now covered in composition shingles with rolled edges with little or no overhang. The fapde (north elevation) consists of three bays. each containing a tripartite window grouping. The right (west) bay is capped by a front -facing gable. whose extended west rake tops an arched opening in a wing wall. Centered beneath the front gable is a set of three. tnultt-Itght. wood. arched windows of Palladian inspiration. With a fixed center and composed in an A- B -A pattern, file windows are Separaled by engaged spiral co/onnettes. The recessed center bay is frooled by an uncovered patio area. enclosed by a low wall and featuring terracotta tile pavers along the front steps and porch floor. A nun -original entry door is oriented perpendicular to the street and is shaded by a fabric awning. North of the entry, a large, stuccoed bracket frorn which a wrought iron and glass lantern is suspended. extends to the north over the patio wall. Three flat - headed, multi -light, wood, casement windows, also with a fixed center, overlook the patio. The left bay feitures a shed roof extension of tho side gable that terminates at a lower height than the rest of the bays- Tucked beneath tho cave line, a third tripartite grouping of wood rasprnpnt windows, features an amhpd canter window with radiating muntin.c in the Palladian manner flanked by shorter, eight -light, flat -headed windows. (See Continuation Sneel 3 of 4.) 'P3b. Resource Attributes: (list attributes and codes) HP2. Stngle-family residence 'P4. Resources Present: ■Building ❑Strucure ❑Object ❑Site ❑District ❑ElernenL of District ❑Other P5h. Photo' (view antl tlate) Januaty 2021 front elevation, facing south. 'PG. Date Constructed/Age and Sources: ■historic 1923/City of Santa Ana Building Permit 'P7. Owner and Address: Reboil M and Connie J. Yoakum 520 West Nineteenth Street Santa Ana, CA 92706 'P8. Recorded by: Pedro Conlez, Associate Planner 20 Civic Center Pldzd M-20 Santa Ana, CA 92702 'P9. Date Recorded! March 25, 9021 -1310. Survey Type! Intensive Survey 'P11. Report Citation: (Cite survey report and other sources, or enter "none') None `Attachments: ONone ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building. Structure, and Object Record ❑Arch rotogrUSInCl r u a Feature r ❑Artifa I ���' aph Record ❑ Other (list) — )� ❑PR 523A (1/95) 'Required information State of California -The Resources Agency Primary It DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 "NRHP Status Code 5S3 'Resource Name or #: Elwood Bear House B1. Historic Name: Elwood Bear House B2. Common Name: Same B3. original Use' Singlr,-family rrsidonrr 114. Present Use' Sing/04,lMily Rrsidrnrr `85. Architectural Style' Spanish Colonial Revival "B6. Construction History: (Construction date, alterations, and rate of alterations): Construrted March, 1923. $4, 750. July 9. 1943. Reroof by Owen Roof Company. $75. December 27. 1945. Floor furnance by LO. Crossnickle. $165. June 18, 1954. Private garage (20'x20) by Ivan F $700. July 19, 1954. Plastering for 1. May, owner by Tucker. December 6. 2004. T/D existing comp shingles and replace on pitched roof. S3,6a6. August 16, 2018. Voluntary seismic retrofit. $3,800. August .30, 2018. Repair masonry chimney. $11,000. `B7. Moved?MNo Oyes ❑Unknown "B8. Related Features- Garage. B9a. Archltect Unknown Original b. Builder: Elwuud Bear (owner) "B10. Significance: Theme Residential Architecbue Area Santa Ana Period of Significance: 1923 Property Type: Single-family Residence Applicable Criteria: C/3 (DisrJ1a5 Imhnrtanre In tPrrns of histnnral or Arrhltp.Mijral rnntext s4 netineri by merle., pennd, and gengnihhlC RWhP.. AlRn .srtrlrP.RS integrity) The Elwood Bear House is architecturally significant as a characlerlslic example or the Spanish Colonial Revival style. This house was originally cunslrucled in 1923 and was valued at appruxirnately $4,750, according to the uriginal building peirail. At the tlrrre of Its construction. the listed property owner was Elwood Hatnnan Bear a notable violin soloist both on the East Coast and as an instructor in the City of Santa Ana. Bear arrived in Santa Ana in 1921 from Pennsylvania while under the instruction of both Henry Schradierk and Frederick Hahn. two of the most noted violinists during that time. Bear instructed .chrdents both from his home and from the Santa Ann Conservatory of Music. Prior to corning to Santa Ann, Bear .carved in the army during World War I, as director of the training camp band at Camp Lee, Virginia. Apparently, Bear initially intended to sell this house, fully furnished. It was featured in a full page advertisement, with a photograph, edifonal commentary, and advertisements from all of the building subcontractors in the Santa Ana Register on June 16, 1923 and was open for inspection for eight days. The 1923 photograph substantiates the integrity, of the house. only the front door and roof have been replaced and the landscaping has evolved. Despite his intentions. Bear and his wife Cora occupied the house into the early 1940s, according to city directories and voter registration records_ (See Confirmation Sheet 3 of 4_) B11. Additional Resource Attributes: (LIM anrlbutus and Coda) 'El 12.References: City of Santa Ana Building Permits Harris. Cyril M. American Architectures An Illustrated Encyclopedia. New York, WW Norton. 1998. Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps Sketch Map Elwood Bear House (Sec Gontinuatinn Snrrt 3 of 4.) 1 r 1 520 West Nineteenth Street BIT Remarks: I =- --- -1 U 0, 4E 'B14. 0 W ' w - -, Evaluator: Leslie Heumann, Chattel, Inc. so BLK OB u LANDS OF A.. '-Date of Evaluation: March 25, 2021 •9L1c „ A + ++ s ,a `° 0 to� N!r3. M O kr " I (This space reserved for official comments.) srerrr Citv Council 1 log 5/18/2021 DPR 513E (1/96) `Required Information State of California The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name: Elwood Bear House 'Recorded by Pedro Gomez *Date March 25. 2021 O Continuation ❑ Update *P3a. Description (continued)* t-enrstiation along tIC .Strip (Cast and west) elevations consists or six -over -six, wood. doubic-hung windows, and multi -right wood casement windows, some shaded by tabric awnings. A secondary entry on the east elevation faces the driveway and is characterized by a simple wood multi -panel doter. also shaded by a fabric awning. A small patio rover is attached to the rear of the residence, but due to their- location and design, they do not impact the integrity of the building. There is a one-story detached garage (built in 1954) at the rear of the property that not considered a character -defining feature. The property is generally landscaped with low vegetation, shrubs, and lawn. The properly retains a high degree of inlegrity. '610. Significance (continued): In 1945. the horse was sold to Hans antl Lenora Haug. In 1.04.0, the home was sold to Ivan F. and Hazel 1. Macy. Mr Macy worked Inrally as a I,aborpr ,and later as a hirllding inspector Mr Mary passed in 1968 and Mrs. Hazel r&sided in the, hone. Until 1961. The home was subsoquontly sold to James R. Trovorrow who resided at the properly until 2000 until it was Sold to Gary and Susan Weber. Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant knourn aS Rancho Santiago de Santa Ana. The civic and commercial core of the cornrnuildy was centered around the intersection of Mein and Fourth Streets. Stimulated by the arrival of the .Santa Fe Railroad and inuorpuratlun as a city in 1886, and selection as the seat of the newly created Counly of Oranye in 1889, the city grew outwardswith residential neighborhoods developing to the north. south, and east of the city center. Ayricultural uses predutninated in the outlying areas. with cultivated fleids arrd orchards dotted with widely scattered farmhouses. Tile Elwood Bear House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Bmadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses char'artciized this area before 1020. Developer- and builderAllison Honor' (1897-1981), credited as III& subdivider and builder of a major portion of northwest Santa Ana. arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert. pages 353-356). 'Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom horses in Santa Ana' (Orange County Register, September 15. 1981). The paacl chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park horses were the most lavish and expensive in the area. They sold for about $45,000 each' (Orange County Register. September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1920s and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial. and Colonial Revival. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El l oro Marine Base during World War 11. and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another hulldpr, Roy Rosrnp Russpll (1661-1965), rontinued developing the yrnvp; of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large. Colonial Revival mansion at 2009 Victoria Dnve. In the early post World War 11 years. Flurdl Park continued its development as numerous, smaller, single-farnily houses were built. Continuinq fit the Floral Park tradition, they were mostly revival in style_ In the 1950s. low, horizontal Rrench Style houses completed the growth of Floral Park. Today (2021) Floral Park maintains its identify as the prernier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Elwood Bear House qualifies for listtng in the Santa Ana Register of Historical IImpedies under Criterion 1, as a very intact and well-docti vented example of a Spanish Colonial Revival blrngafnw in Santa Ana. It appears very much as it was picttu'od in a Santa Ana Register advonisomrnt published on Juno 16. 1923. Additionally. the house has been ralCgonzod as Key" because it has a "distinctive architectural style and quality" as an example of the Spanish Colonial Revival style in Santa Ana, exhibiting distinctive features such as the Palladian -influenced treatments of the fas,ade windows, unusual Shingled the roof and front patio enclosure Character -defining features of the Flwood Hear House that Should be preserved include, but may not be limited to: materials and finishes (stucco): unusual shingled the roof configuration, materials, and treatment (clay barrel tile coping and rolfed edges); massing and composition; Palladian -influenced treatments of the fai;ade windows; fenestration; lionl patio enclosure (waist high wall and lerracolla life pavers), and original exterior lighting arid liyhtng bracket *812. References (continued)! Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 199& MCO"C tfgl'O* arid Lee. A Field Guide le American HOL13 -le" Bork: Alfred A. Knopf. 19BV 1 8/2021 DPR 523L State of California The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Narne: Elwood Bear House 'Recorded by Pedro Gunlez 'Date March 25. 2021 O Continuation ❑ Update National Regisler Bulletin 16A. "How to Complete the National Register Registration Form."Washington DC: National Register Branch, National Park Service, US Dept_ of the Interior, 1991_ Office of Historic Preservation. Instructions for Recording Historical Resources."Sacramento : March 1995. Whiffen, Marcus American Architecture Since 1780. Cambridge. MIT Press. 1969. 5anta Ana and Orange County Directories. 1905-20IT Anrrstry.cn117 Newspapers. coin (Santa Ana Register) "Flwnnd H Rear is a Talented Vtnlhml t 'Santa Ana Rec7i0er 22 September 1922 "Elwood Beats Smart Spanish House Open for Inspection Tomot'r'ow.`Serlts Ana Register; 16 June 1923 28 S. 'Mr. Elwood Bear. Teacher of Violin. " Display Act. Santa Ana Reolster, September 1923. City Council DPR 523L 12 — 111 5/18/2021 :HILLS ACT AGREEMENT 520 Wes[ Nineteenth Street SaWd Antt. CA 92706 I-:xhihit C EXlel-ior work shall be ruvicwcd by dre I listot-ic RUSUtrreeS Cornrnission and Nubjcct to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Iluildings, as follows: Every reasonable effort shall be made to provide a compatible use for it property which recluires rninirnal alteration of dre building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinnuiehing original qualities or character of a building, structure or site and its environment shall not be destroyed. the removal or alteration of any historic material or distinctive architectural leature should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of Iheir own time. Alterations that have no historical basis and which seek w create an earlier appearance. shall be. discouraged. 4. ('hamres whiclr may have taken place in the course of time are evidence of the history and dcvclopmeru of a building, structure, or site and its envirtnmicnt. These changes may have acquired signilieanice in their own right, and this significance shall be recognized and respected. 5. Dislindive stylistic leattlres or examples of skilled craftsmanship which characterize a building., structure, or site shall be treated with sellsitivity- 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities- Repair or rcplaccrncnt of missing architectural lcatu-cs should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. I'hc surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonablee effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary deign for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, at•chitectural or cultural material, an such design is compatible with City Council 112 — 112 5/18/2021 -- :HILLS ACT AGREEMENT 520 NV'es[ Nineteenth Street SaWdAita. CA 92706 size, scale, color, material and character of the property, neighborhood, or environmenl- 10. Whercwt- possible, new additions or alterations to structures shall be done in Such a manner that iI'uch additions or alterations need to he removed in the future, the essential form and integrity of the structtu-e would be unimpaired - City Council 12 — 113 5/18/2021 6 0101117_101MA HRC 2021-14/ HRCA 2021-14/ HPPA 2021-20 520 WEST NINETEENTH STREET ELWOOD BEAR HOUSE PLANNING AND BUILDING AGENCY City Council 12 — 114 5/18/2021 HILLS, ICTnGREEMENT 2014 North Flower Street Santa Ana. CA 92706 RECORDING REQUESTED BY AND WllliN RI[CORDl:D MAILTO: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Attn: Clerk of the Council I RLL RECORDING PURSUANT 'PO GOVLICNMLN I CODL 5 27383 TTTSTORTC PROPFRTY PRFSFRVATTO N AGRF.FMFNT This Historic Property Preservation Agreement ("Agreement"") is made and entered into by anti between the City of Santa Aua, a charter city atid municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinater referred to as "City"), and Chad Harker, an unmarried man, (hereinafter collectively referred to as "Owner"), owner ofreal property located at 2014 North Flower Street, Santa Ana, California, in the County of Ornngc and listed on the Santa Ana Register of Historical Properties. RECITALS A- The City CUnnell oh lhc. City of Santa Ana is authorized by California Govermnein Code Section 50280 ct seq. (hnowat as the "Mills Act") to enter into contracts with owners of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrily- B- The Owner possesses lee title in and to that certain qualified real property together with associatcd structures and improveinutts therein, located at 2014 North Flower Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the `TTistoric Property"- C- The Historic Property is officially designated on the Santa Ana Register of Historical Properties pau-suant to the requirements of Chapter 30 of the Sauna Ana Municipal Code. D. City and Owner, tot their normal benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this I listoric Property in ordcrto enhance and ntainlain its value as a cultured and historical resource liar Owner and for the community; to prevent inappropriate alta-ations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. City Council 1 12 — 115 5/18/2021 Exhibit 7 HILLS, ICTnGREEMENT 2014 North flower Street Santa Ana. C 1 92706 E. Owner and City intend to carry Out the pul3wses of Caliluntia Government Code, Chapter I , Part 5 of Division I ofTitle 5, Article 12, Section 50280 et seq., which will enable the Historic Properly to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1 -9, Sec- 439 et seq-, Chapter 3 Part 2 ol'Division I of the California Tax and RCVCnne Code. NOW, THEREFORE. the City of Santa Ana and the Owner of the historic Property agree as follows - Effective Date and Terms of Agreement. This Agreement shall be effective and connnence on May 19, 2021, and shall remain in effect to[- a lean of Len (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial tern will anlomatically be extended as provided in Calilirrnia Government Code Sections 50290 through 50290 and in Section 2, below. 2. Renewal. a- F.ach year nn the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year tern of this Agrccrlicnt unless written notice of nonrenewat is served as provided herein. b. 11' the Owner Or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of notn•enewal of the Agreement ou the other Party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner al least sixty (cif)) clays prior to the annual renewal dale, one (I ) year shall automatically be added to the term of tlrc Agreement as provided herein- C. Within 30 days from receipt of City's notice of nonrenewal, the Owner ilia -y file a written protest of City's decision of nonrenewal. The City may, at any titre prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in ellect for the balance of the teen then remaining, either li-orn its original cxeeu11011 ur 1i0111 the last renewal of the Agrcctnett, whichcvcr may apply. 3. Standards and Conditions for Historic Property. During the teen of this Agreement, the historic Property shall be subject to the following conditions, rcquirc nrcnts and restrietions- a. Owner shall maintain the IIistoric Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character - defining fealores described in the "Historical Property Description" attached hereto, marked as Exhibit Q, notably the gcnand archilcetural lbinr, style, materials, design, scale, proportions, 01-g2ni7ati0rl of WirtdoWS, doors, and other openings, textures, details, mass, roof title, porch and other aspects of the appearance of the exterior 10 the Salislitelion 01 the City. City Council z 12 — 116 5/18/2021 HILLS, ICTnGREEMENT 2014 North flower Street Santa Ana. CA 92706 b. All changes to the I Iistoric Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Ut?ice of Historic Preservation of the State Department of Parks and. Recreation, namely the IT-S. Secretary of the Interior's Standards and Cluidclincs Ibr Historic Presc nation Projcets- Thcse guidelines arc attached hereto, marked as Lxhibit C, and ineorporatcd ltcrein by this refercnec. Owner shall continually maintain the I istoric Properly in the same or better condition. c. A vice corridor enabling the ucncral public to scc the Historic Property from the public rigtu-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with ally new structrue, such as walls, tenses or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following arc prohibuc l: do nolnion ol'the Historic Property or destruction of character -defining tcatures of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the historic Resources Commission; paving of yard surface; exterior alterations or additions unless approved by the Historic RCSUtn-CC.s Commission and such alterations arc in keeping with the Secretary of [ntcrior's Standards; deteriorating, dilapidated or unrepaired su-uctures such a5 ILirCC4, rook, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as ears, appliances, or hu niture; and other' unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic inspection by prior appointnenl, as needed or at least every live (5) years after the initial inspection, of the interior and exterior of the Historic Property by representatives of the City of Santa Ana, the Courgy Assessor, the State Department of Parks and Rcercation, and the State Board of Lqualmnion, to determine the Owner's compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to filrnish the City with any and all infonnation requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. 5. CarrlelldhOn. I . The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280. et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City detennines that the Owner have failed to restore or rehabilitate the property in the niauuel specified in Section 3 of this Agreement. if a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. I'his cancellation fee shall be a percentage (currenlly set al twelve and one-half (12 V) percent by Government Code Section 50286) of the current fair market value of the City Council s 12 — 117 5/18/2021 HILLS, I CT AGREEMENT 2014 North Glower Street Santa Ana. CA 92706 properly at the lirue of the cancellation, as determined by the county assasur, Without regard to arty restriction imposed pursuant to this Aorecmcnt. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building O11icial more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled immediately bceau-w, in effect, the historic value of the structure will have been destroyed. No fee shall bc imposed in the case of destruction by acts of God or natural disaster. C. if the historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this A4p•e0111e11t, this Agreement shall he cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. I In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, City may specifically enforce, or enjoin the breach of. the terms of the Agreement- In the event of a default, under the provisions to cancel the Agreement by Owner, the City shall give written notice to Owner by registered or certified mail, and it such a violation is not corrected to the reasonable satisfaction of the City Manager or designee within thirty (30) day; thereafter, or if not corrected within such a reasonable tinge as cony he required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to Cure the breach or default may be commenced within thirty (30) clays and shall thereafter be diligently pursued err completion by Owner), then City may, without fiuthcr notice, dcclarc it default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of Owner growing out of the germs of this Agreement, apply to any court, stale or federal, for injunctive relief against any violation by Owner or apply for such relief as may be appr'oprlate- b. City does not waive any claim of default by the owner if City does not enforce or cancel this A, --cement- All other remedies at law or, in equity which are not otherwise provided for in thil Agreement or in City's regulations governing historicc properties are available to City to pursue in the even that there is a breach of this Agreement. No waiver by City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. Owner hereby subjects the Historic Property, located at 2014 North Flower Street, Assessor Parcel Number, 399-051-05, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants, conditions, and restrictions as set forth in this Agreemem. h- City and Owner hereby declare their sped fie. intent that the covenant,, conditions and rcalriclions as set forth herein shall be deemed covenants running with the land and shall pass co and be binding upon Owner's successors and assigns in title or interest to the Historic Property. h:very ionlracl, deed, or other instrument hereinaller executed, covering or conveying City Council 12 — 118 5/18/2021 HILLS, I CT AGREEMENT 2014 North Flower Street Santa Ana. CA 92706 the I Iiswric Properly or any portion thereof, shall conclusively be held to have been CXCCnted, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, conditions and restrictions are set forth in such enured, deed, or other 111strument- 8. No Compensation. Owner shall not receive any payment from City in consideration of the obligation unposed under this Agreement, it being reconnized that the consideration for the execution of this Ageement is the substantial publicc benefit to be derived therefrom and the advantage that will accrue to Owner as a result of the etteet upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required b-y the terms of this Agreement shall be sent TO the address of the respective parries as specified below or at other addresses that may be Later specified by the parties hereto - City: City of Santa Ana 20 Civic Center PIa7a (M-30) Santa Ana, C'A 92702 Attn- Clerk of the COnnell Owners: Chad Barker 2014 North Flower Street Santa Ana, CA 92706 lo. General Provisions. I , None of the terms, provisions', or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of'their heirs, successors, or assigns, nor shall such Icons, provisions or conditions cause them to be considered joint ventures or members ofanyjoint enterprise. h- The Owner agrees to and shall indemnify and hold the ('try and its elected and appointed officials, ol'iccrs, agents, and employees harmless from liability for damage or claims 1br damage for personal injuries, including death, and claims for property damage which tna-y arise from the direct or indirect use or operations of the Owner or those of his or her contractor. Subcontractor, agent, employee, or other peNon acting on his or her behalf which relates to the use, operation, anti maintenance of the Historic Property. The owner hereby agrees to anti shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, of alleged to have been caused by, reason ofthe Owner's activities in conncetion with the Historic Property. City Council S 12 — 119 5/18/2021 HILLS, ICTnGREEMENT 2014 North flower Street Santa Ana. CA 92706 C. This hold harmless provision applies to all dautagc, and claims for darnages sutfered, or alleged to have been suffered, and costs of detense incurred, by reason of the operations referred to in this Agreement regardless of whether or not City prepared, supplied, or approved the plans, sped fiCations or other documents lbr the Historic Propelty- d. All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whahcr by operation of law on in any manner wltatsocvcr- e. In the event legal proceedings arc brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding nray recover all reasonable atlontcy's fees to be fixed by the court, in addition to court costs and Other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any cotut of competent jurisdiction, or by subsequent preemptive legislation, the validity and enlin-ceabilit-y of the remaining provisions, or portion, thcraof. shall not be effected thereby. k. l his Agreement shall be construed and governed in accordance with the laws of the Sidle ofCalillomia, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agrccmcnt to be recorded in the office. of the. County RCCOr"dcr- of the C:ouirty of Orange. 12. Amendments. This Agreement may be amended, in whole or in part, only by a writtcu recorded instrument excctrted by the parties hereto. 13, 11,111'ective Date This Agreement shall be effective on the clay and year first written above in Section I - {Signature page 110110ws City Council 12 — 120 5/18/2021 ATTEST: DAISY GIIML"L Clerk of the Council OWNE14 Datc: APPROVED AS TO FORM: SONIA CAIiVAI,HO City Attorney By: ` '*I. JOHM M. FUNK Assistant Cily Attorney HILLS, I CT AGREEMENT 2014 North Flower Street Santa Ana. CA 92706 CITY OF SANTA ANA KRISTINE R1DGL City Manager By: CHAD BARKL.R RECOMMENDED FOR APPROVAL: MTNH THAT EXCCutlr-e Director Planning and Building Agency City Council 12 — 121 5/18/2021 HILLS, I CT AGREEMENT 2014 North Flower Street Santa Ana. CA 92706 EXHIBIT A I FGAI. DESCRIPTION THE LANE) REFERRED TO HEREIN BELOW IS SITUATED IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AND IS DESCRIBED AS FOLLOWS: LOT 15 ANT) TTTE SOUTH 20 FFET OF LOT 16 OF TRACT NO. 991, IN THE CITY OF SANTA ANA, COUNTY OF ORANGF„ STATE, OF CALIFORNIA AS SHOWN ON A MAP RECORDED 1N BOOK 32, PAGE 47 MISCELLANEOUS MAPS, RECORDS OF ORANGE COUNTY, CALIFORNIA. FXCFI' I' I'HF: SOUL H 16 FFF I OF SAII) LO F 15. Assessor's Parcel NUMber: 399-051-05 City Council s 12 — 122 5/18/2021 EXECUTIVE SUMMARY Witt House 2014 North Flower Street Santa Ana, CA 92706 NAME ADDRESS Witt House REF. NO. 2014 North Flower Street CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1941 LOCAL REGISTER CATEGORY, Contributive HISTORIC DISTRICT NIA NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FUR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE SS3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric El Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional During the Great Depression through the immediate postwar years, the Minimal Traditional home rose in popularity as the preferred style for middle-class housing in the United States. This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic -eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terms, the Minimal Traditional home satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low-cost, rninirnum house that the majority of American wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). Minimal Traditional homes are typically rectangular in plan and one- story in height, often with a front -gabled wing and prominent attached chimney. In contrast with the English and Tudor Revival styles the one-story version mimics, the Minimal Traditional home is capped with a low or intermediate pitch roof with a hipped or side gable. Sheathing materials include stucco, brick, or wood, otten accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The eaves and rakes of the Minimal Traditional home are typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes often display decorative wood shutters and porch -roof supports. SUMMARYICONCLUSION: The Witt House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style with Colonial Revival detailing dating from the year just prior to World War II. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Floral Park and 'is a good example of period architecture," representing the Minimal Traditional architecture style in Santa Ana (Municipal Code, Section 30-2.2). EXPLANATION OF CODES: . California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. It embodies the distinctive characteristics of a type, period, reqion, or method of construction, or represents the work of a master, or possesses high artistic values. SS3: Appears to be individually eliqible for local listinq or desiqnation throuqh survey evaluation Exhibit B State of California —The Resources Agency DEPARTMENT OF PARKS AND RECREATION PRIMARY RECORD Other Listings Review Code Primary #_ HRI # Trinomial_ NRHP Status Reviewer rce name(s) or number (assionod by recorder) P1. Other Identifies *P2. Location: ❑Not for Publication ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: March 3. 2015 'e. Address 2014 North Flower Street City Santa Ana zip 9270fi -e. Other Locational Data: Assessor's Parcel Number 399-051-0.5 '123a. Description: (Denrnhe rennurre and Itfi InBlnr el PlOentfi. Indiii-le de,gn, IrIBtPn Bk, LOndILOn, alterHinn S, LLP, tiPlinq, Brim botindwiph) The Will House Is an Irttact example of the Minimal Traditional style with Colonial Revival detailing datlhg from the year lust prior to World War IL This one-story, single-family residence is "L"shaped in design and clad in a liyht sirrooth sb.rcro. The hru.se fraturrs a low-pitched, gablrand-wing roof design with the fiont-facing gable protruding into the font yard. The roof is clad in cnmpnsitinn shingles and features little or no overhang. Architerturol detailing no the north, projecting wing fgrade elevation includes horizontal wood cladding in the front gable end and prominent, attached, and centered brick chimney. The main Citify facts south into a pattiel-width porch that fronts the south, set back, side-ga bied wing. The porch roof, an extension of the main roof, is supported by simple. paired. square poposts. The front entry features a simple six -panel wood door and is enclosed by low brick well. Fenestration along the facade (east elevation) includes large six -over -six wood double -hung windows. including at the projecting front gable and front entry —most with decorative shutters. The fenestration along the north. south. and west elevation include a series of eight -over -eight. six -over -six. three -over -three. and single pane wood double -hung and caseruent windows, roost without decorative Shutters. The west (rear) elevation features a partial - width extended patio cover, 3/so supported by simple paired square parch supports and partially clad in horizontal wood cladding. A detached. front -gabled garage at the rear of the property is also clad in smooth stucco with minimal overhangs. A mature evergreen shading the front lawn appears to date from the same, if not earlier period, as the house. Although it appears that me windows navC born irplaceil. the property retains enough overall integrity to convey its agC and style and is in good condition. •P3b. Resource Attributes! (list sttri[n,tes and rories) HP2. Single -Family Residenre *P4. Resources Present' ■Building ❑Structure ❑Object ❑Situ ❑District ❑Elcmcnt of District ❑Qthcr P5b. Photo: (view and Jato) January, 2021 Front clovation, facing west *P6. Date Constructed/Age and Sources' ■historic 19411 Cily or Santa Ana Building Permit *P7. Owner and Address: Chad Barker 2014 North Flower Street Santa Ana, CA 92706 `Pg. Recorded by: Pedro Gomez, Associate Planner 20 Civic: Center Plaza M-20 Santa Ana. CA 92702 *P9. Date Recorded: March 25, 2021 `P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cite survey report and other Sources. or enter "none') Norte 'Attachments, ONone ❑Location Mao ❑Sketch Mao ■Continuation Sheet ■Building, Structure. and Object Recortl ❑Archie{ c i.�S Fjytpgrd ❑DlstrlLt Record ❑Linear Feature Recital J- Statlon Record ❑RULISMIOMV1 ❑Artifact ecord )otoyraph Record ❑ Other (list) DPR 523A (1195) 'Required information State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of :3 'NRHP Status Code 5S3 'Resource Name or #' Witt House B1. Historic Name: Witt House B2. Common Name: Sarre 83. Original Use: Single -Family Residence 84. Present Use' Singre-Family Residence *S5. Architectural Style: Minimal Traditional `BG. Construction History: (Construction date. alterations. and date of alterations): Constructed Mdy 28,1941. $6,000. Novrrllbrr 8, 1954. Disposal for O.S. Witt by MneFarlane. April 6, 1960_ Arldthon to _garage (S'x-18) for R. W_ Townsend by Home Constructinn Co_ 9350_ October 15. 2004. In -ground pool and spa. $21,000. September 26, 2017. Reroof sfd & detached garage. Tear -off & apply sheathing/composition shingles. $12, 000. "87. Moved?MNo OYes OUnknown Date: Original Location: '88. Related Features: Garage. Bga. Architect: Unknown b. Builder: Allison Honer '1310.Significance: Theme Residential Architecture Area Santa Ana Period of Significance: 1941 Property Type: Single-family Residence Applicable Criteria: C/3 (Discuss importanua in terms of historical or architectural context as darned by theme, period. and geographic scope. Also address integrity) The Witt House is significant as a representative example of a Minimal Traditional house, typical of the period just before World War It and the post-war popularity of the ranch style. It was built in 1941 by prominent developer and builder Allison Hnner, the subdivider of Floral Park. The house was first sold to Osrar Solomon Witt, a long time Santa Ana resident and former who married his wife Blanche Talcoll in Santa Ana in 1909. Witt raisod various fruits and citrus. In 1956, Inc properly was sold to Olive M. Hadley, a bookkeeper, stenographer, and divorcee. Ms. Hadley treguently moved within Orange Canty, beginning in the 1920's, settling at 1812 Heliotrope in 1964. In 1959, the property was transferred to Hyman and Rose Rosen. a Jewish family who came to America prior to World War I and migrated from the East coast to Los Angeles where Hyman worked in the garment industry prior to 1920. Mr and Mrs. Rosen would later move to Orange County and become involved in residential real estate in their shared retirement. The property was transferred to Raymond W. Townsend and Dorothy M. Townsend in 1960. Mr Tuwnsend came to Santa Ana after World War I and worked as a car salesman befure he operated his own dealership on South Main Street near downtown. He Was one of the Orst operators of a Hudson Garage in Santa Ana in 1921. (Sec Continuation Short 3 of 3.) B11. Additional Resource Attributes: (List attributes and *B12. References: Gity of Santa Ana Building Pcouits Harris, Cyril M. American Architecture. An Ittustrated EncycloAL. New York, WIN Norton, 1998. Santa Ana History Room Collection. Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3) B13. Remarks: *814. Evaluator: Leslie Heumann, Chattel, Inc. 'Date of Evaluation: March 25, 2021 (This space reserved for official comments.) Sketch Map Witt House 2014 North Flower Street ` fI.OWFR TRACT � TR T ^ t gTRACT F. .. • Op RA ---- ;T 2 " OL/VE State of California —The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI 9 CONTINUATION SHEET Trinomial Page 3 of3 Resource Name: Witt Houso 'Recorded by Pedro Gomez `Date March 25, 2021 LxJ Continuation ❑ Update ❑PR 5238 (1195) "1310. Significance (continued): `Required information Santa Ana was founded by William Spurgeon in 1869 as a speculative town Site on part of the Spanish /arid grant known as Rancho Santiago de Santa Ann. The river, and romm&n:tal core of the community was rentered around the intersection of Main and Fourth Streets. StimullitCd by the arrival of the Santa Fc Railroatl and incorporation as a city in 1566, and selection as the seat of the newly created County of Orange in 1889. the city grew outwards, with residential rlelghborhOOds developing to the north. loutli. and east of the city center. Agricultural uses predominated in the outlying areas. with cultivated fields and orchards dotted with widely scattered farmhouses. The Witt House is located in Floral Park, a neighborhood northwest of downlown Santa Ana bounded by West Seventeenth Street, North Flower- Street. Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897-1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived to Santa Ana fain Beaver Farls, New York err 1922 (Talbert, pages 353-:356)-Before nightfall on the day of his arrival, Mr. Honor purchased a parcel of land- And that month, he began building c tston7 homes in Santa Ana" (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park .subdivision hetween Seventeenth Street and Santiago Creek. "When huilt in the 1920s, the Flnrar Park hon7es were the most lavish and expensive in the area. They sold for ibout $45.000 each' (Orange County Register; Scptcmbcr 15. 1981). Revival architecture to a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Part( showcdsed examples of the Enylish Tudor, French Norman. Spanish Colonial. and Colonial Revival. The Allison Honer Construction Company went On to complete such notable protects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during World War ll. and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s. another builder, Roy Roscoe Russell (1881 1965), continued developing the groves of Floral Park. An early Russell pmject was his 192H subdIvtslon of Virtona Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post World War 11 years. Floral Park continued its development as numerous, smaller. single-family houses were built. Continuing in the Floral Park tradition. they were mostly revival in .style. In the 1950S. low, horizontal Ranch Style houses Completed the growth of Floral Park Today (2021) Floral Park maintains its identity as the premier neighborhood of Santa Ana. historically home to many affluent and prominent citizens. The Will House qudlifies for lisliny in the Santa Arta Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style with Colonial Revival detailing dating froth the year just pilot to World War It Additionally, the house has been categorized as "Contributive "because it "contribuleS to the overall character and history" of Floral Park and is a good example of period architecture," representing the Minimal Traditional architecture style in Santa Ana. Character -defining exterior features of the Witt House that should be preserved include, but may not be limited to: sheathing (.sturro and clapboard in the gable end); roof configuration, massing; original fenestration pattern; porch, chimney, and architectural details such as shutters, prominent brick Chimney, and accent brick material at the front entry. `B12. References (continued): Harris, Cyril M. American Architecture: An illustrated Encyclopedia. New York, WW Norton. 1998. Marsh, Diann. Santa Ana. An Illustrated Historv. Encinitas, Heritage Publishing, 1994. McAlester. Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Hegisler Bulletin 16A. "How to Complete the Nattonal Heytsler Heytslrabon FOITII Washington UC: National Register Branch. National Park Servlre, US Deptof the Interior; 1991. Offira of Historic Preservation. 9nstnrctions for -Recording Historical Resclirres."Sacramento: March 1995. Whiffen. Marcus. American AfehItGULtn3 Since 1780. Cambridge: MIT Press, 1969. Santa Ana Ann Orange County Orractonas, 190.5-2017. Ancestry. rom Newspapers. com (Santa Ana Reoisted "Marriage Lic:enses_" Santa Ana Reuister. 3 September 1909. "Hudson Ganle Firm Files Incorporation. ` Santa Ana Reoistet 8 February 1921. "Floral Park Tract Plans Development." Santa Ana Register; 14 July 14 1929. -Harry H. Ball Dies Suddenly. " Santa Ana Register 6 October 1936. "Heliotrope Drive Will Be Opened To North Park Blvd ."Santa Ana Register, 7 September- 193& -Bon Voyage Party Given By Witts."Santa Ana Register. 10 July 1941. -&A. People In Islands Listed. "Santa Ana Register, 8 December 1941. ••/A.-.. Q 4QQ 140 .Mc.- ;1 1-4, toll City Council 12 — 126 5/18/2021 DPR 523L HILLS, I CT AGREEMENT 2014 North Flower Street Santa Ana. CA 92706 Exhibit C. F.xteriorwork shall be reviewed bythe Historic Resources Commission and subjectto the U.S. Secretary ofIli e interio's Standards lbrRehablhtaIion ofHistoric Buildings, as IbIIUws: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishitr.- ori.-Mal qualities or character of a building, structure or site and its environment shall not be desnoyed. The removal or alteration of any historie material or distinctive architectural features should he avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Cringes which may have taken place in the course of brae are evidence of the history and development of a building, strucwre, or site and its environment. I'hcse changes may have acquir'cd significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic fcaRtres or- examples of skilled c attsmanship which characterize a building, structure, or site sliall be treated with sensitivity. Oi Deteriorated architectural features shall be repaired rather than replaced, whcncver possiblc. in the event replacement is ncccssat v, the new matcrial should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural fcantres should be based on accurate duplications of features, substantiated by historic, physicdl, or pictorial evidence rather than on conjectural designs or the availability of dillcrent architectural elements liom the other buildings or structur-cs. 7. The surface cleaning of structures shall be undertaken with the gentlest means possiblc. Sandblasting and other cleaning methods that will damage the llistOrie building materials shall not be Undertaken- X. livery reasonable effort shall be made to protect and reserve archaeological resources affected by, or attjacent to any project. 9. Contemporary design for alterations and additions to existing properties shall not be discotlragcd when such alterations and additions do not destroy significant historical, architectural or cultural material. an such design is compatible with City Council 1 12 - 127 5/18/2021 MILLS ,1 CT AGREEMENT 2014 North Flower Street Santa Ana. CA 92706 size, scale, color, malarial and character oh the property, neighborhood, or environment. 10- Whereverpossible, new additions or alterations to suucuu-es shall be done in such a manna- that il'such additions or alterations need to be retuovcd in the littnre, the essential form and integrity of the structure would be unhupairai. City Council 2 12 — 128 5/18/2021 Planning and Building Agency Item # 3 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Historic Resources Commission Staff Report March 25, 2021 Topic: HRCA No. 2021-01, HRC 2021-01, HPPA No. 2021-01 - The Witt House RECOMMENDED ACTION 1. Adopt a resolution approving Historic Resources Commission Application No. 2021- 01 and Historic Register Categorization No. 2021-01 (Exhibit 1). 2. Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with Chad Barker, subject to non - substantive changes approved by the City Manager and City Attorney (Exhibit 2). EXECUTIVE SUMMARY Chad Barker is requesting approval to designate an existing residence located at 2014 North Flower Street to the Santa Ana Register of Historical Properties, as well as approval to execute a Mills Act agreement with the City of Santa Ana. DISCUSSION Project Location and Site Description The subject property is located on the west side of North Flower Street in the Floral Park neighborhood. The site consists of a 1,656-square-foot, Minimal Traditional residence and detached garage on an 8,265-square-foot residential lot (Exhibit 3). Analysis of the Issues Historical Listing In March 1999. the City Council approved Ordinance No. NS-2363 establishing the Historic Resources Commission and the Santa Ana Register of Historical Properties. The Historic Resources Commission may, by resolution and at a noticed public hearing, designate as a historical property any building or part thereof, object, structure, or site City Council 12 — 129 5/18/2021 Exhibit 8 HRCA No. 2021-01, HRC 2021-01, HPPA No. 2021-01 - The Witt House March 25, 2021 Page 2 having importance to the history or architecture of the city in accordance with the criteria set forth in Section 30-2 of the Santa Ana Municipal Code (SAMC). This project entails applying the selection criteria established in Chapter 30 of the Santa Ana Municipal Code (Places of Historical and Architectural Significance) to determine if this structure is eligible for historic designation to the Santa Ana Register of Historical Properties. The first criterion for selection requires that the structures be 50 or more years old. The structure identified meets the minimum selection criteria for inclusion on the Santa Ana Register of Historical Properties pursuant to criteria contained in Section 30-2 of the Santa Ana Municipal Code, as the property is 80 years old and is a good example of period architecture. No known code violations exist on record for this property. The property, recognized as the Witt House, is located within the Floral Park neighborhood and has distinctive architectural features of the Minimal Traditional style. The residence was built in 1941 by prominent developer and builder Allison Honer. A majority of Floral Park was developed by Honer who was credited as the subdivider and builder of a major portion of northwest Santa Ana. In the late 19208 and 1930s, another builder, Roy Roscoe Russell, continued developing the groves of Floral Park. In the early post World War II years, Floral Park continued its development as numerous, smaller, single-family houses were built. This one-story, single-family residence is "L" shaped in design and clad in a light smooth stucco. The house features a low-pitched, gable -and -wing roof design with the front -facing gable protruding into the front yard. The roof is clad in composition shingles and features little or no overhang. Architectural detailing along front elevation includes horizontal wood cladding in the front gable end and prominent brick chimney. A front entry is created by a partial -width porch is supported by simple paired square porch supports. Fenestration along the facade (east elevation) includes large six -over -six, wood double -hung windows, including at the projecting front gable and front entry — most with decorative shutters. The fenestration along the north, south, and west elevation include a series of eight -over -eight, six -over -six, three -over -three, and single pane wood double -hung windows, most without decorative shutters. A detached garage at the rear of the property is also clad in smooth stucco with minimal overhangs. Although it appears that the windows have been replaced, the property retains enough overall integrity, appears intact and is in good condition. Character -defining exterior features of the Witt House that should be preserved include, but may not be limited to: sheathing (clapboard); roof configuration; massing; windows; porch; chimney, and architectural details such as horizontal wood cladding in the front gable end, prominent brick chimney, and accent brick material at the front entry. The Witt House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style with Colonial Revival detailing dating from the year just prior to World War II and Criterion 2, for its association with influential and prominent local builder, City Council 12 — 130 5/18/2021 HRCA No. 2021-01, HRC 2021-01, HPPA No. 2021-01 -The Witt House March 25, 2021 Page 3 Allison Honer. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Floral Park and "is a good example of period architecture," representing the Minimal Traditional architecture style in Santa Ana. Mills Act Agreement Ordinance No. NS-2382 authorized the Historic Resources Commission to execute Historic Property Preservation Agreements (HPPA), commonly known as Mills Act agreements for eligible properties (Exhibit 2). To be eligible for the Mills Act, the property must be listed on the Santa Ana Register of Historical Properties. The Historic Resources Commission Application and Historic Register Categorization actions proposed for this site authorize the listing of the property on the local register. The agreement provides monetary incentives to the property owner in the form of a property tax reduction in exchange for the owner's voluntary commitment to maintain the property in a good state of repair as necessary to maintain its character and appearance. Once recorded, the agreement generates a different valuation method in determining the property's assessed value, resulting in tax savings for the owner. Aside from the tax savings, the benefits include: • Long term preservation of the property and visual improvement to the neighborhood • Allows for a mechanism to provide for property rehabilitation • Provides additional incentive for potential buyers to purchase historic structures • Discourages inappropriate alterations to the property The property has no identified unauthorized modifications. Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement. Public Notification The subject site is located within the Floral Park Neighborhood Association. The president of this Neighborhood Association was notified by mail 10 days prior to this public hearing. In addition, the project site was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of the project site. At the Lime of this printing, no correspondence, either written or electronic, had been received from any members of the public. ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review pursuant to Section 15331 of the CEQA Guidelines (Class 31 — Historical Resource Restoration/Rehabilitation) as these actions City Council 12 — 131 5/18/2021 HRCA No. 2021-01, HRC 2021-01, HPPA No. 2021-01 -The Witt House March 25, 2021 Page 4 are designed to preserve historic resources. Based on this analysis, a Notice of Exemption, Environmental Review No. 2021-02 will be filed for this project. FISCAL IMPACT The Historic Property Preservation Agreement will reduce the Property Tax revenue account 01102002-50011 to the City by an estimated $911.06 annually, for a period of not less than ten years. EXHIBIT(S) 1. Resolution 2. Mills Act Agreement 3. 500-Foot Radius Map Submitted By: Pedro Gomez, AICP, Associate Planner Approved By: Minh Thai, Executive Director of Planning and Building Agency, Planning and Building Agency City Council 12 — 132 5/18/2021 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 104:W]I1j9IQ01Iti•101K1YAi6A+VXI A RESOLUTION OF THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA APPROVING HISTORIC RESOURCES COMMISSION APPLICATION NO. 2021-01 TO PLACE THE PROPERTY LOCATED AT 2014 NORTH FLOWER STREET, SANTA ANA, ON THE HISTORICAL REGISTER AND APPROVING HISTORIC REGISTER CATEGORIZATION NO. 2021-01 PLACING SAID PROPERTY WITHIN THE CONTRIBUTIVE CATEGORY BE IT RESOLVED BY THE HISTORIC RESOURCES COMMISSION OF THE CITY OF SANTA ANA AS 17OLLOWS. Section 1. The Historic Resources Commission of the City of Santa Ana hereby finds, determines and declares as follows' A. On March 25, 2021, the Historic Resources Commission held a duly noticed public hearing for the placement on the Santa Ana Register of Historical Properties (Historic Resources Commission Application No. 2021-01) and categorization (Historic Resources Commission Categorization No. 2021-01) of the Witt House located at 2014 North Flower Street, Santa Ana. B. The Will House has distinctive architectural features of the Minimal Traditional style and was built in 1941. C. The Witt House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style with Colonial Revival detailing dating from the year just prior to World War II. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Floral Park and "is a good example of period architecture," representing the Minimal Traditional architecture style in Santa Ana. Character -defining exterior features of the Witt House that should be preserved include, but may not be limited to. sheathing (stucco and clapboard in the gable end); roof configuration; massing; original fenestration pattern; porch, chimney, and architectural details such as shutters, prominent brick chimney, and accent brick material at the front entry. D. The legal owner of the property is Chad Barker. E. The legal description for the subject property is attached hereto as Exhibit A and incorporated by this reference as though fully set forth herein. City Council 12 — 133 5/18/2021 Resolution No. 2021-XXX Page 1 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 F. The subject property meets the standards for placement on the City of Santa Ana Register of Historic Properties pursuant to Section 30-2 of the Santa Ana Municipal Code. G. The subject property meets the minimal standards for placement in the Contributive category pursuant to Section 30-2.2(3) of the Santa Ana Municipal Code. Section 2. In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review under CEQA Guidelines Section 15331, Class 31, as these actions are designed to preserve historical resources. Categorical Exemption No. ER-2021-02 will be filed for this project. Section 3. The Historic Resources Commission of the City of Santa Ana, after conducting the public hearing, hereby approves: A. Historic Resources Commission Application No. 2021-01 to place the Witt House located at 2014 North Flower Street, Santa Ana, 92706 on the historical register, and B. Historic Register Categorization No. 2021-01 placing the Witt House located at 2014 North Flower Street, Santa Ana, 92706 within the Contributive category. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Staff report and exhibits attached thereto, the report entitled "Historical Property Description," and the public testimony, all of which are incorporated herein by this reference. Section 4. For the subject property, a report entitled "Historical Property Description" is on file with the Planning Division, and is hereby approved and adopted, and together with the staff report and this Resolution, justify the findings for placement on the City of Santa Ana Register of Historical Properties into a category. The Historic Resources Commission Secretary is authorized and directed to include this Resolution in the City of Santa Ana Register of Historical Properties. Section 5. The Historic Resources Commission Secretary is hereby directed to file a certified copy of this Resolution with the County Recorder's Office after the adoption of this Resolution pursuant to Public Resources Code Section 5029. ADOPTED this 2511, day of March, 2021. Alberta Christy Chairperson City Council 12 — 134 5/18/2021 Resolution No. 2021-XXX Page 2 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ry: John M. Funk Sr. Assistant City Attorney AYES: Commission NOES: Commission members ABSTAIN: Commission members NOT PRESENT: Commission members CERTIFICATE OF ATTESTATION AND ORIGINALITY I, SARAH BERNAL, Historic Resources Commission Secretary, do hereby attest to and certify the attached Resolution No. 2021-XXX to be the original resolution adopted by Historic Resources Commission of the City of Santa Ana on March 25, 2021. Date: Commission Secretary City of Santa Ana City Council 12 — 135 5/18/2021 Resolution No. 2021-XXX Page 3 of 4 FREE RECORDING PURSUANT TO GOVERNMENT CODE § 27333 EXHIBIT A LEGAL DESCRIPTION APN Address Legal Description Owner Names 390-051-05 2014 North Flower Street LOT 15 AND THE SOUTH 20 Chad Barker FEET OF LOT 16 OF TRACT NO. 991, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA AS SHOWN ON A MAP RECORDED IN BOOK 32, PAGE 47 MISCELLANEOUS MAPS, RECORDS OF ORANGE COUNTY, CALIFORNIA. EXCEPT THE SOUTH 16 FEET OF SAID LOT 15. Resolution No. 2021-XXX City Council 12 — 136 :HILLS ACT AGREEMENT 2014 Not th Flower Street SaWd Atla. CA 92706 RECORDING I?FOUF.S I I-,[) BY AND WHEN RECORDED MAIL TO: City of Santa Ana 20 Civic CCnter Plaza (M-30) Santa Ana, CA 92702 Attn_ Clerk of the COunCll FREG RECORDING PURSUANT TO GOVERNMENT CODE § 27383 HISTORIC PROPERTY PRESERVATION AGRLL:ML:NT This TTistoric Property Preservation Agreement (`Agreement") is made and entered into by and betwCCrI the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City'), and Chad Barker, an unmarried than, (lnecinatier collectively referred to as "Owner"), owner of real property located at 2014 North Flower Street, Santa Ana, California, in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santis Ana is authorized by California Govermnent Code Section 50280 et seq. (knotim as the "Mills Act') to enter into conu-aels with owner's of qualified historical properties to provide lot appropriate use, maintenance, rchabilitation and restoration such that these historic properlics retain their historic character and integrity. B. The Owner possesses fee title in and to that certain qualitied r'cal property together with associated structures and improvements lhereon, located at 2014 North Flo%ver Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property,,. C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Codc. D_ City and Owner, for their mutual benefit, now desire to cntcr into thin Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for Owner and for the community; to prevent inappropriate alterations to the I li.storic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rchabilitation anti mainucnanec arc carried out in an exemplary manner. City Council 12 — 137 5/18/2021 -1- :HILLS ACT AGREEMENT 2014 Not th Honer Street Smug Amr. CA 92706 F.. Owner and City intend to carry out the pur1roses of California Government Code, Chapter I, Part 5 of Division I of Title 5, Article 12, Section 50280 et seq which Will enable the Ilistoric Property to qualify lot an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 ct seq., Chapter 3 Parl2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agrcc as follows: Effective Date and Terms of Agreement. This Agreement shall be effective and commence on May 5, 2021, and ;liall remain in etfeet tier a term of ten (10) years thereafter. Lach year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. I . Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year terns of this Agreement unless written notice of nonrenewal is served as provided herein- h- If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Aareemem on the other party - Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal dale, one (1) year shall automatically be added to the term of the Agreement as provided herein- c- Within 30 days from receipt of C;ity's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The. City may, at any time prior to the annual renewal date of the Agreement, withdraw it3 notice to the Owner of nonrenewal. d. if either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the halance of the term then remaining, either from its original execution or fr-onn the last renewal of the Agreement. whichever may apply, 3. Standards and Conditions for Historic Property. During the term of this Agreement. the Historic Property shall he subject to the following conditions, requirements and restrictions: a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, "here necessary. restore or rehabilitate the property and its character - defining features described in the "Historical Property Description" attached hereto, marked as Fxlribir B, notably the general architectural form, style, materials, design, scale, proportion~, organization of windows, door,, and other openings, textures, detalk, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. City Council 12 — 138 5/18/2021 :HILLS ACT AGREEMENT 2014 Not th Honer Street SaWd Ana. CA 92706 b- All changes to the Historic Property shall comply with applicable City plans and regulations, and conliirm to the rides and regulations ofthc Oflicc of tlisturic Preservation oft}rc State Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservalion Projects. "These guidelines are attached hereto, marked as Exhibit C, and incorporated herein by this reference- owner shall continually maintain the Historic Properry in the same orbetter condition. C. A view corridor enabling the general public to see the llistoric Property from the public right-of-way shall be maintained, and Owner shall not he permitted to block the view corridor to the property with any new sh-ucture, Snell as walla, fences or shrubbery. so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: demolition of the I Iistoric Property or destruction of character -defining features of the building or site; removal of' trees and other major vegelalion unless removal is approved by a rehabilitation plan approved by the Historic Resources Cotmnission; paving of -yard surface; exterior alterations or additions unless approved b-v the. llistoric Resources Commission and such alterations are in keeping wide the Secretary of hhterior'.s Standank deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture, and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic inspection by prior appointrncut, as neccled or at least every five (5) years after the initial inspection, of the interior and exterior of the Hisloric Properly by representatives of the Cily of Santa Ana, the County Assessor, the Stale Depau-hnent of Parks and Recreation, and the State Board of Equalization, to deter -mine the Owner's compliance with the terms and provisions of this Agtnanew. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terrns and provisions of this Agreement. 5. C'ancellalion, a. The City, hollowing a duly noticed public hearing by the City Council as set h>rth in Government Code Section 50280, et. scq-, may cancel this Agreement if it detr:rrnlnCS that the Owncr have breached any of the conditions of this Agreement, or has allowed the property to deteriorate to the point that it no longer meets the standafds for a qualified llistoric Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manna specified in Section 2 of this Agreement. Tf a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 '/) percent by Government Code Section 50286) of the current tair inarkct value of the City Council 12 — 139 5/18/2021 :HILLS ACT .4 CREEMENT 2014 Not th Honer Street SaWd Antt. CA 92706 property at the time of the cancellation, as detenrrined by the county assessor, without regard to any restriction imposed pursuant to this Agreement- b. 11' the Historic Property is destroyed by earthquake, tire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled immecliatcly because, in effect, the historic value of the structure will have been destroyed. No fee shall be innposed in the case of destruction by acts of (nod or natural disaster. c. 1f the. Historic Property is acquired by cnnincnt domain and dnc City Council determines that the acquisition fnrstrates thee purpose of this Agreerncrtt, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lice of and/or in addition to any provisions to canect the Agrcennent as rcti;rcnced herein, City may Specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by Owner, the ('ity shall give written notice to Owner by registered or certified snail, and if such zr violation is not corrected to the rcasmnable satisfaction of the laity Manager or designee. within thirty (30) clays thereafter, or if not corrected within such a reasonable time as may be required to cute the breach or default, or default cannot be cured within thirty (30) clays (provided that acts to cure the breach or default may be coninnenced within thirty (30) days and shall thereafter he diligently ptn-suetl to completion by Owner), then City may, without further notice, declare a default under the teiin, of this Agreement and may bring any action necessary to specifically enforce the obligation, of Owncr growing out of the terms of this Agrcetncttt, apply to any cuttrt, state or federal, for injunetivc relief against any violation by Owner or apply for such relief as nnay be app rop ri a I e. b. City does not waivec any claim of default by the Owner if City does not cnforec or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in City's regulations governing historic properties are available to City to pursue in the event that there is a breach of this Agrcennant- No waiver by City of any hrcach or default under this Agreement shall be deemed to be a waiver of any Other subsequent breach thereof or default hercundcr. 7. Rinding effect of Agreement. a. Owner hereby subjects the Historic Property, located at 2014 North Flower Street, Assessor Parecl Ntunbcr, 399-051-05, and more particularly described in Exhibit A, in the City of Santa Ana, to thee covenants, conditions, and restrictions as set forth in This Agreement. b. City and Owner horehy declare their specific. intent that the covenants, conditions and resrctions as set forth herein shall be deenned covenants running with the land and shall pass to and be binding upon Owner's successors and assigns in title or interest to the Historic Properry. Evcry contract, deed, or other irstrttmcnt hercivaticr executed, covering or conveying City Council 4 12 — 140 5/18/2021 :HILLS ACT AGREEMENT 2014 Not th Flower Street Smug Amr. CA 92706 the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agrccntcnt re�pardless of whether such covenants, conditions and restrictions arc set forth in such Contract, dccd, or other instrutnent. 8. No Compensation. Owner shall not receive any payment front City ill consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to he derived therefrom and the advantage that Will accrue to owner as it result of the effect upon the assessed value of the Property on the account of the restrictions on the use and preservation of the Property. 9. Notice. Any notice required by the terms of this Agreement shall be sail- to the address of the respeetive parties as specified Below or at other addresses that may be later specified b-y the parties hereto. City: City of Santa Ana 20 Civic Center Plaza (M-30) Santa Ana. CA 92702 Attn: Clerk of the Council Owners Chad Barker 2014 North Plower Strcct Santa Ana. CA 92706 10. General Provisions. I . None of the terms, provisions, or conditions of this Agreement shall be deemed TO create a partnership between the parties hereto and any of their heirs, successors, or assigns. nor shall such tennN, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise- b. The Owner agrees to and shall indemnity and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including= death, and claims for property damage which may arise from the direct or indirect use. or operations of Lire Owner or those of Iris or lrer contractor, subcomiactor, agent, employee, or other person acting on his or her behalf which relates to the. use, operation, and maintenance of the listoric Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any mid all actions for damages caused by, or alleged to have been caused by, reason of the Owner's activities in connection with the Historic Property. City Council 5 12 — 141 5/18/2021 :HILLS ACT AGREEMENT 2014 Not th Honer Street Smug Amr. CA 92706 C. I his hold hamiless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of delense inetured, by reason of the operations rcl'crrcd to in this Agreement regardless of whether or not City prepared, aupp]icd, or approved the plans, specifications or other documents for the Historic Property. d- All of the agreements, rights, covenants, conditions, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties lrcacin, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the llistnric Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of au_v of the covenants, reservations, or restrictions contained herein, or to determine the rights and clutics of any party hereunder, the prevailing parry in suelt proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and oilier relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be. unenforceable or invalid by any court of competent jurisdiction, or by sUibsequent preemptive legislation, the validity and enforceability of the remaining provisions, or porrions thereof, shall not be effected ihcrchy- g. This Agreement sltall be construed and governed in accordance with the laws of the State of California, with venue in Orange County. 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the ofirce of the t'ounty Recorder of the County of 01`ange- 12. Amendments. Phis Agreement may be amended, in whole or in part, only by a written recorded insu-ument executed by the parties hereto- 13, Rtfective Date This Agreement shall be effective on the day and year first written above in Section 1- {Signature page follows, City Council 12 — 142 5/18/2021 ATTEST: DAISY GOMEZ Cleric of tlrc. Council OWNE14 Date_ APPROVED AS 7'0 FORM: SONIA CARVALIIO City Attorncy By: JOHN M. FUNK Assistant City Attorney :HILLS ACT AGREEMENT 2014 Not th Honer Street SaWd Amt. CA 92706 CITY OF SANTA ANA KRISTINE RTD6E City Mana"cr By: CHAD BARKER RLCOMMLNDED FOR APPROVAL: M1N11 IIIA1 Executive Director Planning and Building Agency City Council 12 — 143 5/18/2021 :HILLS ACT AGREEMENT 2014 Not th Honer Street SaWd Amr. CA 92706 EXHIBIT A LEGAL DESCRIPTION I'HI{ I,ANI) RIiPI{RRIiI) I'O HI{RI•:IN I1I1 OW IS SITUA IT) IN THE CITY OF SAN I'A ANA, COUNTY OF ORAN(ih, STATE. OF CA[IFORNIA, AND IS DF;,SCRIHF) AS FOLLOWS: LOT 15 AND THE. SOUTH 20 FEET OF LOT 16 OF TRACT NO. 991, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA AS SHOWN ON A MAP RECORDED IN T300K 32, PAGE 17 MTSCFT.T.ANT:OTIS MAPS, RECORDS OF ORAN(;F COUN IY. CALIFORNIA. LXCLPT 171E SOU7'11 16 1'LET OP SAID LOT 15. Assessor's Parcel Number; 399-051-05 City Council 12 — 144 5/18/2021 -b- IW7x141111 W 4&111l7ilt!iIF.11 WA Witt House 2014 North Flower Street Santa Ana, CA 92706 NAME Witt House REF. NO. ADDRESS 2014 North Flower Street CITY Santa Ana ZIP 1 92706 ORANGE COUNTY YEAR BUILT 1941 LOCAL REGISTER CATEGORY, Contributive HISTORIC DISTRICT I NIA NEIGHBORHOOD I Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S3 Location: ❑ Not for Publication ® Unrestricted ❑ Prehistoric ® Historic ❑ Both ARCHITECTURAL STYLE: Minimal Traditional r)uring the Great depression through the immediate postwar years. the Minimal Traditional home rose in popularity as the preferred style for middle-class housing in the United States. This basic house type fulfilled both aesthetic and social needs: in terms of aesthetics, the form represented a stripped -down version of the historic -eclectic styles popular in the 1920s, in particular the Tudor and English Revival styles. In social terns, the Minimal Traditional home satisfied requirements in square footage and plan by the Federal Housing Administration (FHA), which launched a campaign in this period to expand home ownership. The Minimal Traditional home served as the prototype used by the FHA in its efforts to codify and manufacture "a standard, low-cost, minimum house that the majority of American wage earners could afford" (Greg Hise, Magnetic Los Angeles, p. 57). Minimal Traditional homes are typically rectangular in plan and one- story in height, often with a front -gabled wing and prominent attached chimney. In contrast with the English and Tudor Revival styles the one-story version rnimicS, the Minirtrdl Traditional horde is capped with a low or inlerrnediale pitch roof with a hipped or side gable. Sheathing materials include stucco, brick, or wood, often accompanied by stone veneer accents. Fenestration generally consists of multi -light casement, double -hung, and picture windows with wood frames. The caves and rakes of the Minimal Traditional home are typically shallow (in a departure from the later Ranch House style, which they often resemble). Although they have little applied ornament, many Minimal Traditional homes often display decorative wood shutters and porch -roof supports. SUMMARY/CONCLUSION: The Witt House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for embodiment of the distinguishing characteristics of the Minimal Traditional style with Colonial Revival detailing dating from the year just prior to World War II. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history' of Floral Park and "is a good example of period architecture," representing the Minimal Traditional architecture style in Santa Ana (Municipal Code, Section 30-2.2). EXPLANATION OF CODES: California Register Criteria for Evaluation: (From California Office of Historic Preservation, I ethnical Assistance Series # 7. `How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work or a master, or possesses high artistic values. 5S3: Appears to be individually eligible for local listing or designation through survey evaluation State of California —The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HRI # PRIMARY RECORD Trinomi: I.t:rt�.-ffstrr_�.rrn Other Listings Review Code Reviewer Page 1 of _.�_ Resource name(s) or number (assigned by recorder) Witt IIouSe P1. Other Identifier: *P2. Location: ❑Nol for Publicalion ■Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA 1725 Date: March 3, 2015 *c. Address 2014 North Flower Street City Santa And Zip 92706 °e. Other Locational Data: Assessor's Parcel Number 399-051-05 *P3a. Description: (Describe resource and its major elements. Include design. materials. condition. alterations. size, setting. and boundaries) The Witt House is an intact example of the Minimal Traditional style with Colonial Revival detailing dating from the yearjust prior to World War 11. This one story. single fnmily residenre is "L` shaped in design and c/ad in a light smooth stucco. The house features a low-pitched. gabre-and-wing roof design with the front -facing gable protruding into the front yard. Tho roofiS clad in composition shingles and features little or no overhang. Architectural detailing on the north, projecting wing facade elevation includes horizontal wood cladding in the front gable end and prominent. attached, and centered brick chimney. The main entry faces south into a partial -width porch that fronts the south, set bdck. side -gabled wing. The porch root, an extension of the main roof is supported by simple, paired. square poposts. The front entry features a simple six -panel wood door and is enclosed by low brick wall Fenestration along the facade (east elevalion) includes large six -over -six, wood double -hung windows, including at the projecting front gable and front entry —must with decorative shutters. The fenestration along the north. south. and west elevation include a series of eight-overeight. six -over -six. three -over -three, and single pane wood double -hung and casement windows, most without decorative shutters. The west (rear) elevation feahies a partial - width extended patio cover, also supported by simple paned square porch supports and partially clad in horizontal wood cladding. A detached, fi-ont-gabled garago at the mar of the property is also clad in smooth stucco with minimal overhangs- A mature evergreen Shading the front /AWn Appears to date from the same, if not Ranter period, ns the hnuse. Although it appears that the windows have haan raplacad, the property retains anntigh overall integrity to convey its ago and style and is in good condition. *P3b. Resource Attributes (list attributes and codes) HP2. Single -Family Residence *P4. Resources Present: ■Building ❑Structure ❑Object ❑Site ❑District ❑Element of District ❑Other P5b. Photo: (view and (late) .]Amory. 2021 Front elevation, facing west *P6. Date Constructed/Age and Sources: ■historic 19411City of Santa Ana Building permit *P7. Owner and Address: Chad Becker 2014 North Flower Shoct Santa Ana, CA 92706 *P8. Recorded by: Pedro Gomez, Associate Planner 20 Civic Cente( Plaza M-20 Santa Ana, CA 92702 'P9. Date Recorded: March 2,5, 2021 'P10. Survey Type: Intensive Survey Update *P11. Report Citation: (Cltc survey report and other sources. or enter -none') None *Attachments: ONone ❑Location Map ❑Sketch Map ■Continuation Sheet ■Building. Structure, and Object Record ❑Arch r i r u d r u r } ❑Artifa I ���' otograph Record ❑ Other (list) — j l ❑PR 523A (1/95) 'Required information State of California -The Resources Agency Primary It DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 'Resource Name or #: Witt House 'NRHP Status Code B1. Historic Name: Will House B2. Common Name: Same R3. original Use' Singlr.-Family Rrsidrncr 64. Present Use' Single -Family Rrsidencr '85. Architectural Style' Minimal Traditional "B6. Construction History: (Lnnstruction date, alterations, and date of alterations): Construrted May 28, 1941. S6, 000. November 8. 1954. Disposal for O. S. Witt by MacFarlane. April 6. 1960. Addition to garage (8'x18) for R. W Townsend by Horne Construction Co. $350. October 15. 2004. In -ground pool and spa. $21, 000. September 26. 2017. Reroof sfd & detached garage. Tear -off & apply sheathing/composition shingles. $12, 000. 'B7. Moved?MNO ❑Yes ❑Unknown 'BS. Related Features: Garage. e9a. Architect Unknown Date' Original Location! b. Builder! Allison Honer "B10. Significance: Theme Residential ArchileClOre Area Santa Ana Period of Significance: 1941 Property Type: Singlr-family Rosidrncr Applicable Criteria: 0/3 (Discuss nnportance in terms of histoncal or architectural context as defined by theme, period, and geographic scope. Also address uttsrinty) The Witt House is significant as a representative example of a Minimal Traditional house, typical of the period just before World War ll and the post-war popularity of the ranch style It was built in 1941 by prominent developer and builder Allison Honer, the subdivider of Floral Park. Toe house was first sold to Oscar Solomon Witt, a long time Santa Ana resident and farmer wife married his wife Blanche Talcoll in Santa Ana in 1909. Witt raised various fruits and citrus. In 1958, the properly was sold to Olive M. Hadley, a buukkeeper, stenographer. and divorcee. Ms. Hadley frequently moved within Orange County. begirurinq in the 1920's. settling at 1312 Heliotrope in 1964. In 19b9. the propetty was transferred to Hyman and Rose Rosen, a Jewish family who canoe to America prior to World War I and migrated front the East coast to Los Angeles where Hyman worked in the garment industry prior to 1920. Mr. and Mrs_ Rosen would later move to Orange County and become involved in residential real estate in their shared retirement. The property was transferred to Raymond W. Townsend and Dorothy M. Townsend in 1960. Mr. Townsend came to Santa Ana after World War I and worked as a car salesman before he operated his own dealership on South Main Street near downtown. Ile was one of the first operatets of a I ludson Garage in Santa Ana in 1921. (See Continuation Sheet 3 of 3) B11. Additional Resource Attributes: (List attributes and "B12.References: City of Santa Ana Building Permits Harris. Cyril M. American Architecture, An Illustrated Encvclooedta. New York. WW Norton. 1998. Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks. '814. Evaluator' Leslie Heumann. Chattel. Inc. *Date of Evaluation: Marco 25, 2021 (This space reserved for official comments.) Sketch Map Will House 2014 North Flower Street I ra raacn ra r r� an L'% (1p) N y OLIVE 0d C't�d @ 21 w APR 523E (1195) *Required Information State of California The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 ResourceNarne: Witt House 'Recorded by Pedro Gomez 'Date March 25. 2021 O Continuation ❑ Update `810. Significance (continued): Santa Ana was founded by Wilharn Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and Commercial core of the community was centered around the intersection of Main and FOLuth Str oets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a City in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards. with residential neighborhoods developing to the north, snuth, ano east of the city renter. Agnrultural uses precinminated in the autlying are -as, with cultivated fields and orchards finned with widely scattered tot'niheuses The Witt House is located in Floral Park. a neighborhood northwest of downtown Santa Ana banded by West Seventeenth Street. North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados, and walnuts and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897-1981). ctediled as the subdivider and builder of a major portion of northwest Santa Aria. arrived in Santa Ana frorn Beaver Falls, New Yuri in 1922 (Talbert, pages 353-356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land And that month, he began building custunr homes in Santa Ana "(Orange County Register. September 15. 1981)_ The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park hornes were the most lavish and rxprnsive in the area. They sold for about S4.5,006 each" (Orange County Register, September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s and Floral Park showcased examples of the English Tudnr, Frenrh Nnnnan, Spanish Cnlnnial, and Colonial Revival. The Allison Honer Construction Company wont on to complete such notable projects as the 1035 Art Deco styled Old Santa Ana City Hall, the El Toro Manne Base during World War rl, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped to create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s. another builder. Roy Roscoe Russell (1881-1965). continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive belween West Nioeteenlh Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles. including Russell's own large, Colonial Revival rrrarisiorr at 2009 Victoria Drive. In the early post World War If years, Floral Park continued its development as numerous, smaller, single -faintly houses were built. Continuing in the Floral /'ark tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2021) Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically horse to many affluent and prominent citizens. The Witt Houso ryualiftas for Itsting in the Santa Ana Ragrstar of Historical Pmportias under Cidanon 1 fnr ombndimant of tha distinguishing characteristics of the Mintnial Tmdthonal style with Colonial Revival detailing dating from the year just prior to World War rl. Additionally. the house has been categorized as "Contributive" because it "contributes to the overall character and history` of Floral Part( and "is a good example of period arc:hitecture." representing the Minimal Traditional architecture style in Santa Aria. Character -defining exterior features of the Witt House that should be preserved include. but may riot be limited to sheathing (stucco and clapboard in the gable end). roof configuralion: massing. original fenestration pattern. porch. chimney. and architectural details such as shutters, prominent brick chimney, and accent brick material at the front entry. `812. References (continued): Harris, Cyril M. American Arrhitacture: An Illustrated EnryrlofLa. New York, WW Norton, 1998. Marsh, Dtann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester. Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bullelin 16A. "I low to Complete the National Register Registration Form.' Washinglon DC: National Register Branch. National Park Service. US Dept of the Interior 1991. Office of Historic Preservation. `Instructions for Recording Historical Resources."Sactarnento, March 1995. Whiffen. Marcus. American Archliecture Since 1780_ Cambridge- MIT Press, 1969_ Santa Arta and Orange County Directories, 1905-2017. Ancestry.com Newspapers. com (Santa Ana Register) "Marriage Lirenses."Santa Ana Register, 3 September 1909. "Hudson Gargo Firm Files Incorporation." Santa Ana Register; 6 February 1921. Floral Park Tract Plans Development." Santa Ana Register, 14 July 14 1929. "Harry H_ Ball Dies Suddenly_" Santa Ana Register. 6 October 1936_ "Heliotrope Drive Will Re Opened To North Part( Rlvd ` Santa Ana Register. 7 September 1938 "Bon Voyage Party Given By Wills." Santa Ana Register, 10 July 1941. "S A. People In Islands Listed_" Santa Ana Reuister: 8 December 1941_ "Mrs. Norval Witt Her From Honolulu ."Santa Ana Register. 3 July 1942. City Council DPR 523L 12— 148 5/18/2021 :HILLS ACT AGREEMENT 2014 Not th Honer Street SaWd Ana. CA 92706 I-:xhihit C EXlel-ior work shall be ruvicwcd by dre I listot-ic RUSUCrreeS Comtnission and Nubjcct to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Iluildings, as follows: Every reasonable effort shall be made to provide a compatible use for it property which recluires rninirnal alteration of dre building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinnuiehing original qualities or character of a building, structure or site and its environment shall not be destroyed. the removal or alteration of any historic material or distinctive architectural leature should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of Iheir own time. Alterations that have no historical basis and which seek w create an earlier appearance. shall be. discouraged. 4. ('hamres whiclr may have taken place in the course of time are evidence of the history and dcvclopmeru of a building, structure, or site and its envirtnmicnt. These changes may have acquired signilieanice in their own right, and this significance shall be recognized and respected. 5. Dislindive stylistic le:lttlres or examples of skilled craftsmanship which characterize a building., st-uctur-e, or site shall be treated with sellsitivity- 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities- Repair or rcplaccrncnt of missing architectural lcatu-cs should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. I'hc surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. S. Every reasonablee effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary deign for alterations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, al•chitectural or cultural material, an such design is compatible with City Council 112 — 149 5/18/2021 -- :HILLS ACT AGREEMENT 2014 Not th Flower Street SltaId Amr. CA 92706 size, scale, color, material and character of the property, neighborhood, or environmenl- 10. Whercwt- possible, new additions or alterations to structures shall be done in Such a manner that iI'uch additions or alterations need to he removed in the future, the essential form and integrity of the structtu-e would be unimpaired - City Council 12 — 150 5/18/2021 6 0101117_101MA HRC 2021-01/ HRCA 2021 -01 / HPPA 2021-01 2014 NORTH FLOWER STREET WITT HOUSE PLANNING AND BUILDING AGENCY City Council 12 — 151 5/18/2021 Human Resources https://www.santa-ana.arg/hr Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Approve Fourth Amendment to POA MOU AGENDA TITLE: Approve Fourth Amendment to the Santa Ana Police Officers Association MOU 2018-21 (General Fund and Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a fourth amendment to the Mernorandurn of Understanding (MOU) with the Santa Ana Police Officers Association (SAPOA) for the period July 1, 2018 through December 31, 2021, modifying and delineating specific articles of the MOU subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the negotiations for the Memorandum of Understanding (MOU) for the period of July 1, 2018 through December 31, 2021, between the Santa Ana Police Officers Association (SAPOA) and the City, the parties agreed to review and update Article 13, Section 13.11 ("Uniform Allowance") and Exhibit B ("Uniform Allowance by Classification") and establish a Side Letter reflecting any agreement between the parties. The Human Resources Department completed a comprehensive review with the assistance of the City's Finance and Management Services and Police Departments to identify classifications in this unit that are required to wear uniforms and the value of such uniforms. Pursuant to California Government Code Sections 20636, 20636.1, and Code of Regulations Section 571, compensation paid or the monetary value for the purchase, rental and/or maintenance of required clothing, which is a ready substitute for personal attire the employee would otherwise have to acquire and maintain, is reportable to CalPERS as a uniform allowance. Following the City's analysis, the City and SAPOA met and conferred and agree to modify Article 13, Section 13.11 and Exhibit B of the MOU updating the list of classifications that are required to wear uniforms, the current value of such uniforms, and to honor the intent of the negotiated reportable compensation. The amounts listed in Exhibit B may be adjusted (either upward or downward) to accurately reflect the cost of the uniforms and/or their maintenance at the Lime of the report Lo CAPERS. The CiLy will continue Lo report City Council 13-1 5/18/2021 Approve Fourth Amendment POA MOU May 18, 2021 Page 2 uniform allowance on an aggregate amount for each pay period within the earned period report. The implications of not approving this side letter would impact the employees' retirement benefits. The parties also agree that effective July 1, 2020, to the extent permitted by law, this uniform allowance is defined as special compensation and shall be reported to CalPERS pursuant to Title 2 CCR, Section 571(a)(5). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The recommended action only changes the reporting value solely for Safety and Miscellaneous Classic PERS members. There is no quantifiable or significant fiscal impact associated with the recommendation. EXHIBITS) 1. Fourth Amendment to SAPOA MOU 2018-2021 Submitted By: Jason Motsick, Executive Director— Human Resources Approved By. Kristine Ridge, City Manager City Council 13 — 2 5/18/2021 SIDE LETTER OF AGREEMENT BETWEEN CITY OF SANTA ANA AND SANTA ANA POLICE OFFICERS ASSOCIATION This Side Letter of Agreement ("Agreement") between the City of Santa Ana ("City") and the Santa Ana Police Officers Association (" POA") (collectively "Parties") is entered into with respect to the following: WHEREAS, the Parties are parties to a Memorandum of Understanding ("MOU") with a term of July 1, 2018 through December 31, 2021, and WHEREAS, the Parties wish to make modifications to Section 13.11 and Exhibit B of their MOU effective July 1, 2020 and WHEREAS, the following sets forth the Parties' Agreement: 1. The Parties agree to modify Section 13.11 of their MOU as can be seen by the track changes below: 13.11 Uniform Allowance. With respect to Safety and Miscellaneous employees who do not qualify as "New Members" under the California Public Employees' Pension Reform Act (PEPRA), the City shall report to Ca)PERS the monetary value of uniforms and uniform maintenance for those employees required to wear uniforms. The monetary value ,(,as of the firs[ date of the MOU).by classification is listed in Exhibit 13, entitled "Uniform Allowance by Classification." The amounts listed in l,xhibit 13 111,1v be rd a}tc.d r ilhe upward or downward) as lbC. coam t of the Ufbnma s nd/or..tltcrl mtint nmce chamxcs_Thc value of the Uniform Allowance shall be determined by the City (bayed on the current rent Cost of the uniforms and/or their mamicnanc.e. tt_t}re [itme ot__thc report to CalPERS) and will be reported to the California Public Employees' Retirement System (Call) FRS) for retirement purposes only. Under CCR 571(a), Uniform allowance is defined as "Compensation paid or the monetary value for the purchase, rental and/or maintenance of required clothing, including clothing made from specially designed protective fabrics, which is a ready substitute for personal attire the employee would otherwise have to acquire and maintain. This excludes items that are solely for personal health and safety such as protective vests, pistols, bullets and safety shoes. 2. The Parties agree to modify Exhibit B of their MOU as can be seen by the track changes below. City Council 13-3 5/18/2021 f-',XHIBi,r B UNIFORM ALI.OWANCE BY CLASSIFICATION AS OF JAI'44-N-y-y- I 2,019JULY 1,2PN) Amulai SM31-viceOffileelr 1 M4,34 $14311 &14.34 llolic�o Ilropel--ly & Fvido�wo Police, Re( F+W {-f4}ce, ofrl(,e} %20.k4 VU84 Pol i ce, W4e6l- (w i h M (-R rUificur S-14,44) (wi III- M wor 011 t cer $24.16 Pohce �(4.vicc 011-1cul, 14 S114 sulliolP ()h "title Roondc(l to .10 ll()A NS Ajimml S(:rvic1 ()I ficer I POA -N S Amnlid �,:Irvicc,ti Officc] 11 �?T`10 POA-W; POA NS Col I c1cliollal Officul $ 2T50 -Vlsor 2V 0 City Council 13-4 5/18/2021 FOR THE CITY OF SANTA ANA Jason Motsick, Executive Director Of FlUman Resources L ter J. Brown I..abor Negofiatr r bata7­ 'r . ...... Date FOR THE SANTA ANA POLICE OFFICERS ASSOCIATION G6rry,8errarlo, PO'A President bate Labor Negotiator City Council 13-5 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: On -Call Engineering Services AGENDA TITLE Amend Agreements With GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to Increase the Shared Contract Amount by $2,500,000 for On -call Engineering, Technical, and Administrative Support Services (General and Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute amendments to the agreements with CK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to increase the shared contract amount by $2,500,000, for a total shared aggregate amount not to exceed 57,500,000, for engineering, technical, and administrative support services for the remaining term of the agreement, beginning May 18, 2021, through July 15, 2022, including the two-year renewal option, if needed, subject to non -substantive changes approved by the City Manager and the City Attorney. DISCUSSION Along with overseeing all aspects of civil engineering for capital improvement projects, including managing project design and construction, the City of Santa Ana's Public Works Agency also supports citywide development and utility permit -related services. Public Works contracts with consultant firms to provide temporary staffing to perform a variety of these tasks, including processing permits and the design, management, and inspection of construction projects. The Agency is experiencing an increased workload as new programs are being implemented. In order to adhere to time -sensitive project delivery schedules, keep pace with projects and programs (particularly those involving grants and/or restricted funding), and to continue providing services in support of development activity that exceeds staff capacity during peak periods, increased contract capacity is needed to temporarily augment staffing. On July 16, 2019, the City Council approved agreements with the following five consultants for on -call engineering, technical, and administrative support staffing services City Council 14 — 1 5/18/2021 Amend On -Call Engineering Services Agreements May 18, 2021 Page 2 in a shared aggregate amount not to exceed $2,500,000 for a five-year period; GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. On July 21, 2020, the City Council approved amendments to the agreements to increase the shared contract amount by $2,500,000, for a total shared aggregate amount not to exceed $5,000,000, for engineering, technical, and administrative support services for the remaining term of the agreement. Due to the ongoing vacancies and increased development activity, the agreement capacity is being consumed at a higher rate than expected. Therefore, increased contract capacity is needed. The added capacity of the contracts will be reduced once grant - funded vacancies are filled or when development activity slows. Staff recommends approving the amendments to the agreements in order for contract capacity to be increased (Exhibits 1-5). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact at this time. Prior to utilizing any of these on -call services, Public Works staff must receive Finance & Management Services Agency approval of funding and accounts to ensure that sufficient funds are available under the authorization and aggregate limit of these agreements. Upon successful completion of this fiscal review for task orders exceeding $5,000, a corresponding Notice to Proceed containing specific scope and maximum expenditure for the task order will be issued to a firm. Funds will be budgeted and available for expenditure for the remaining agreement term in the following Public Works Contract Services -Professional Accounts: Division Account City Facilities Liccnsc A rcemcnt 01117605-62300 Traffic and Transportation Engineering 01117620-62300 Roadway Marking/Signs 01117625-62300 Sidewalks 01117626-62300 Street Lights Maintenance 01117630-62300 Graffiti Abatement Program 01117642-62300 Street Trees 01117643-62300 Traffic Signal Maintenance 02917620-62300 Median Landscaping 02917635-62300 Roadway Maintenance 02917660-62300 Sanitary Sewer Enterprise 05417617-62300 Sanitary Sewer Enterprise 05517660-62300 Sanitary Sewer Enterprise 05617640-62300 Fed Clean Water Protection 05717640-62300 Residential Street Improvement 05817660-62300 City Council 14 — 2 5/18/2021 Amend On -Call Engineering Services Agreements May 18, 2021 Page 3 Division Account Water Enterprise 06017645-62300 Water Enterprise 06617647-62300 SARTC Operations 06717650-62300 Environment/Sanitation 06817640-62300 Roadway Cleaning 06817641-62300 Building Maintenance 07317100-62300 Fleet Maintenance 07517100-62300 Stores and Property Control 07617102-62300 City Yard Operations 08517138-62300 Construction Engineering 08617611-62300 Design Engineering 08617612-62300 Traffic Engineering 08617620-62300 Administrative Services 10117601-62300 Development Engineering 10117605-62300 CIP Project Funding Various EXHIBIT(S) 1. Second Amendment to Agreement with GK & Associates 2. Second Amendment to Agreement with Interwest Consulting Group, Inc. 3. Second Amendment to Agreement with Penco, a Cannon Company 4. Second Amendment to Agreement with Project Partners, Inc. 5. Second Amendment to Agreement with Transtech Engineers, Inc. Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 14 — 3 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: On -Call Engineering Services AGENDA TITLE Amend Agreements With GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to Increase the Shared Contract Amount by $2,500,000 for On -call Engineering, Technical, and Administrative Support Services (General and Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute amendments to the agreements with CK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. to increase the shared contract amount by $2,500,000, for a total shared aggregate amount not to exceed 57,500,000, for engineering, technical, and administrative support services for the remaining term of the agreement, beginning May 18, 2021, through July 15, 2022, including the two-year renewal option, if needed, subject to non -substantive changes approved by the City Manager and the City Attorney. DISCUSSION Along with overseeing all aspects of civil engineering for capital improvement projects, including managing project design and construction, the City of Santa Ana's Public Works Agency also supports citywide development and utility permit -related services. Public Works contracts with consultant firms to provide temporary staffing to perform a variety of these tasks, including processing permits and the design, management, and inspection of construction projects. The Agency is experiencing an increased workload as new programs are being implemented. In order to adhere to time -sensitive project delivery schedules, keep pace with projects and programs (particularly those involving grants and/or restricted funding), and to continue providing services in support of development activity that exceeds staff capacity during peak periods, increased contract capacity is needed to temporarily augment staffing. On July 16, 2019, the City Council approved agreements with the following five consultants for on -call engineering, technical, and administrative support staffing services City Council 14 — 4 5/18/2021 Amend On -Call Engineering Services Agreements May 18, 2021 Page 2 in a shared aggregate amount not to exceed $2,500,000 for a five-year period; GK & Associates, Interwest Consulting Group, Inc., Penco, a Cannon Company, Project Partners, Inc., and Transtech Engineers, Inc. On July 21, 2020, the City Council approved amendments to the agreements to increase the shared contract amount by $2,500,000, for a total shared aggregate amount not to exceed $5,000,000, for engineering, technical, and administrative support services for the remaining term of the agreement. Due to the ongoing vacancies and increased development activity, the agreement capacity is being consumed at a higher rate than expected. Therefore, increased contract capacity is needed. The added capacity of the contracts will be reduced once grant - funded vacancies are filled or when development activity slows. Staff recommends approving the amendments to the agreements in order for contract capacity to be increased (Exhibits 1-5). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact at this time. Prior to utilizing any of these on -call services, Public Works staff must receive Finance & Management Services Agency approval of funding and accounts to ensure that sufficient funds are available under the authorization and aggregate limit of these agreements. Upon successful completion of this fiscal review for task orders exceeding $5,000, a corresponding Notice to Proceed containing specific scope and maximum expenditure for the task order will be issued to a firm. Funds will be budgeted and available for expenditure for the remaining agreement term in the following Public Works Contract Services -Professional Accounts: Division Account City Facilities Liccnsc A rcemcnt 01117605-62300 Traffic and Transportation Engineering 01117620-62300 Roadway Marking/Signs 01117625-62300 Sidewalks 01117626-62300 Street Lights Maintenance 01117630-62300 Traffic Signal Maintenance 02917620-62300 Median Landscaping 02917635-62300 Roadway Maintenance 02917660-62300 Sanitary Sewer Enterprise 05417617-62300 Sanitary Sewer Enterprise 05517660-62300 Sanitary Sewer Enterprise 05617640-62300 Fed Clean Water Protection 05717640-62300 Residential Street Improvement 05817660-62300 Water Enterprise 06017645-62300 Water Enterprise 06617647-62300 City Council 14 — 5 5/18/2021 Amend On -Call Engineering Services Agreements May 18, 2021 Page 3 Division Account SARTC Operations 06717650-62300 Environment/Sanitation 06817640-62300 Roadway Cleaning 06817641-62300 Building Maintenance 07317100-62300 Fleet Maintenance 07517100-62300 Stores and Property Control 07617102-62300 City Yard Operations 08517138-62300 Construction Engineering 08617611-62300 Design Engineering 08617612-62300 Traffic Engineering 08617620-62300 Administrative Services 10117601-62300 Development Engineering 10117605-62300 CIP Project Funding Various EXHIBIT(S) 1. Second Amendment to Agreement with GK & Associates 2. Second Amendment to Agreement with Interwest Consulting Group, Inc. 3. Second Amendment to Agreement with Penco, a Cannon Company 4. Second Amendment to Agreement with Project Partners, Inc. 5. Second Amendment to Agreement with Transtech Engineers, Inc. Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Kristine Ridge, City Manager City Council 14 — 6 5/18/2021 SLCOND AMLNDMLNT TO AGRLLMLNT TO PROVIDL LNGINLLRING, TECHNICAT., ANT) ADMINISTRATIVE SUPPORT SERVICES FOR PUBLIC WORKS PROTECTS (GK & ASSOCIATES) THIS SECOND AMF.NI)MF.NI' io the above -referenced agreement is entered into on May 18, 2021, by and between EC&AM Associates, Tnc_ dba OK & Associates (`Constd[all t"), and the City of Santa Ana, a charter city and municipal corporation organized and existing tinder the. Constitution and laws of the State of California ("City"). RECITALS A. I-ollowing City's issuance of Request for Proposal No. 19-015, the parties entered into Agreement No. A-2019-117-04, dated .duly 16, 2019, by which Consultant agreed to provide engineering, technical, and administrative Support services on an as -needed basis for the City's Public Works Agency ("Agrccmcnt" )- B_ C:OIISultant waS one of five consul[Lill ds Selected to provide services on an as -needed basis undcr- RFP No. 19-045. The total compensation for services provided by all conSuhants Selected under RPP No. 19-045 was not to exceed a shared aggregate amount of $2,500,000 during the term of the Agrccmcnt, including any extension period.. 'I he Agrccmcnt remains in effect Ihrough July 15, 2022. C. On ,duly 21, 2020, the parlies entered inlo a First Amendment to the Agreement (4A-2020-153- 0 1 ) to increase the maximum shared aggregate expenditure Under the Agreement. D_ The parties now wish to amend the Agreement to further increase the maximum shared aggrcgatC cxpcnditurc. under the Ag*nccmcru_ The Parties therefore agree: 1. Section 2.a., Compensation, is amended to increase the total compensation for services provided by all Consultants selected under RFP No. 19-045 by the shared aggregate amount of $2,500,000 during the term of the Agrccmcnt, including any extension periods. 2. Fxcept as modified by this Second Amendment, and all prior amendments, all term, and conditions of the A-reement shall remain in full force and effect_ IN WITNI;SS WHI[RI?OF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. Daisy Gomez Clerk of the Council Kristine Ridge City Manager - signattt os cuntinue an next page° - City Council "' 14 — 7 5/1 S/2021 APPROVAAD AS TO FORM SONIA R. CARVALHO City AtturnCy hn M.Iunk Senior Assistant City Attorney RECOMMENDED FOR APPROVAL NabiI Saba F.xeculive Direclor PubliC Works Agency CONSULTANT Iff hazala Khan Title President City Council . ". 14 — 8 5/18/2021 SECOND AMENDMENT TO AGREEMENT TO PROVIDE ENGINEERING TECHNICAL, AND ADMINISTRATIVE SUPPORT SERVICES FOR PUBLIC WORKS PROJECTS INTERWEST CONSULTING THIS SECOND AMENDMENT to the above -referenced agreement is entered into on May 19, 2021, by and between Interwest Consulting Group, Inc. ("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"). RECITALS A. Following City's issuance of Request for Proposal No. 19-045, the parties entered into Agreement No A-2019-117-02, dated July 16, 2019, by which Consultant agreed to provide engineering, technical, and adminisu•ative support services on an as -needed basis for the City's Public Works Agency ("Agreement"). B. Consultant was one of five consultants selected to provide services on an as -needed basis under RFP No. 19-045. The total compensation for services provided by all consultants selected under RFP No. 19-045 was not to exceed a shared aggregate amount of $2,500,000 during the term of the Agreement, including any extension periods_ The Agreement remains in effect through July 15, 2022. C. On July 21, 2020, the parties entered into a First Amendment to the Agreement (#A-2020-153- 02) to increase the maximum shared aggregate expenditure under the Agreement. D. The parties now wish to amend the Agreement to further increase the maximum shared aggregate expenditure under the Agreement. The Parties therefore agree: I _ Section 2.a., Compensation, is amended to increase the total compensation for services provided by all consultants selected under RFP No. 19-045 by the shared aggregate amount of $2,500,000 during the term of the Agreement, including any extension periods. 2. Except as modified by this Second Amendment, and all prior amendments, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. Daisy Gomez Clerk of the Council Kristine Ridge City Manager - signatures continue on next pagye - City Council ` "t6' ' "' 14 — 9 5/18/2021 APPROVED AS TO FORM SONIA R. CARVAL110 City Attorney John M.Funk Senior Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency CONSULTANT Name: Thomas Wilkas "Title: Chief Financial Officer City Council "' ` "" 14 — 10 5/18/2021 SLCOND AMLNDMLNT TO AGRLLMLNT TO PROVIDL LNGINLLRING, TFCHNTCAT., ANT) ADMINISTRATIVE SUPPORT SERVICES FOR PUBLIC WORKS PROJECTS (PENCO) THIS SFCOND AMF.NI)MF.NI' io the above -referenced agreement is entered into on May 18, 2021, by and between Penco, a Cannon Company (`Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under are C'.onsutunon and laws of the State of California ("City"). RECITALS A. I-ollowing City's issuance of Request for Proposal No. 19-0d5, the parties entered into Agreement No. A-2019-117-03, dated July 16, 2019, by which Consultant agreed to provide engineering, technical, and administrative support services on an as -needed basis for the City's Public Works Agcncy ("Agrccmcnt"). B_ Cot IsLlIanl was one of fivC COIsultantS SCICCLCd to providC SCTVICCS on an as -needed basis rider RFP No. 19-045. The total compensation for services provided by all consultants selected under RPP No. 19-045 was not to exceed a shared aggregate amount of b2,500,000 during the term of the Agr-cerrent, including any exte»sion periods. The Agrccmcnt remains in effect through July 15, 2022. C. On July 21, 2020, the parlies entered inlo a First Amendment to the Agreement (4A-2020-153- 03) to increase the maximum shared aggregate expenditure rider the Aureenent D_ The parties now wish to amend the Agreement to further increase the maximum shared aggrcgatc Cxpcnditurc. under thc. Agrccmcnt_ The Parties therefore agree: 1. Section 2.a., Compensation, is amended to increase the total compensation for services provided by all CnnsultantN selected under RFP No. 19-045 by the shared aggregate amount of $2,500,000 during the term of the Agrccmcnt, including any extension periods. 2. Fxcept as modified by this Second Amendment, and all prior amendments, all term, and conditions of the A-reement shall remain in full force and effect_ IN WITNI;SS WHI[RI?OF, the parties hereto have executed this Second Amendment to the, Agreement on the date and year first written above. Daisy Gomez Kristine Ridge Clerk of the Council Cily Manager - Signattt os cuntinue an next page° - City Council "' 14 — 11 5/1 S/2021 APPROVLD AS TO FORM CONSULTANT SONIA R. CARVAI,HO City Auurucy i 0 kn M. Funk Name: Senior Assistant City Attorney Tick_ RECOMMENDED FOR APPROVAL Nabil Saba F.seculive Direclor PubliC Works Agency City Council . ". 14 — 12 5/18/2021 SECOND AMENDMENT TO AGREEMENT TO PROVIDE ENGINEERING TECHNICAL, AND ADMINISTRATIVE SUPPORT SERVICES FOR PUBLIC WORKS PROJECTS (PROJECT PARTNERS) THIS SECOND AMENDMENT to the above -referenced agreement is entered into on May 18, 2021, by and between Project Partners("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"). RECITALS A. Following City's issuance of Request for Proposal No. 19-045, the parties entered into Agreement No. A-2019-117-01, dated July 16, 2019, by which Consultant agreed to provide engineering, technical, and administrative support services on an as -needed basis for the City's Public Works Agency ("Agreement"). B. Consultant was one of Five consultants selected to provide services on an as -needed basis under RFP No. 19-045. The total compensation for services provided by all consultants selected under RFP No. 19-045 was not to exceed a shared aggregate amount of $2,500,000 during the term of the Agreement, including any extension periods. The Agreement remains in effect through July 15, 2022. C. On July 21, 2020, the parties entered into a First Amendment to the Agreement (#A-2020-153- 04) to increase the maximum shared aggregate expenditure under the Agreement. D. The parties now wish to amend the Agreement to further increase the maximum shared aggregate expenditure under the Agreement. The Parties therefore agree: 1. Section 2.a., Compensation, is amended to increase the total compensation for services provided by all consultants selected under RFP No. 19-045 by the shared aggregate amount of $2,500,000 during the term of the Agreement, including any extension periods. 2. Except as modified by this Second Amendment, and all prior amendments, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. Daisy Gomez Clerk of the Council Kristine Ridge City Manager signatures continue on next page - Page t of 2 City Council 14 — 13 5/18/2021 APPROVED AS TO DORM SONIA R. CARVAI.I1O City Attorney BY: - On M Dunk Senioi Assistant City Attorney RECOMMENDED FOR APPROVAL AM Saba lxecutlVc Director Public Works Agency CONSUTA ANT NamtCr� r I'itic: IWQ2of2 City Council 14 — 14 5/18/2021 SECOND AMENDMEA '1'O AGR1-.h.MFA 1-1 O PROVIDE i?N�1NCs, TT•.C11NICAL,ANTlADN11N14'112A`i`IVI y1J1'1'(1R'I S1^.ItV1("1: MR, PCJ13L,1C' WORKS NROJL(;TS (TRANS`1"Ei'll EA IIYFI RS1 I"IIIS SRUND AWNDNIFN'I' to the ahrrvc-rcclercnccd atgrcenrcnt i;, cntercd into on may 13, 202J, by and between l'ransteclt I,ngineers, Inc„ (" ('ousultnnt" ), and the CILY of b,mta An.i, a charter city and municipal corporation 01•9211117ed and existifig ruder the (`om thutum wul laws of the State of California ("City"). QU CHAI,S A. following City's issuance of Requesi for Propo,al No. t9-045, tic I.rnrtics entered into Agreement No. A-20J 9-117 05, dated July 16, 2019, by v.hich Com,nhant agtecd to provide engineering, technical, and administrative support services tm an as -needed basis hnrthe City s Public Work.,, Agency ("Agreement"'}. 11. ConsuItant xvas one of live consultants selected to provide, services on an as-necded bast, " an RIT No. 19-045_ 'Ihe total compensation for u:rviccs provided by all comsjhanr,: selected under I2IT No. 19-0115 was not io exceed a slain d aggmgafe amount oP ` Z50(1,004➢ &id4, the. term of' the Agreement, including any extension periods I'he Agreement retnainS in cffecrt through July 15, 2021 C. On Rdy 21, 2020, the parties catered into a P irst Amendment to the Agreement (r(A-2020 1 `i 1- 05) to increase the maximum slaared algregate expenditure underthe Agreement. D, The panics now wish to amend the Agreement to further increase the rnaximum shm-Lu aggregate expenditure under the Agreennent TIse Parties therefore agree: 1. Section 2.a., CnanpensaHon, is amended to increase the total compen athm Or services provided by all cowuhants selected tinder RIT No. 19-045 by the shaved aggacpate arnouna of $2,500,000 during the term of the: Agreement, including any extension periods- 12. IN WIINLYS WIfl-AWOY, the parties hereto have executed this Second Amendment to ol.c, Agreement on the date and year first: written above. Daisy [norm:/ (Ink ofthe Coaancil Kri!,tinc- Ridge. City Ntana€{cr - tit;natm e." coni' are , mi arks page .. F'yw I.A2 City Council 14 — 15 5/18/2021 YWA K f, ARV M tO Ca' Alton) IfSkun -i. G unk Namc, Nc'nior .A r,➢ lant. C. I Alt[brale:y ItI"CONINII?NDVA) FOR APPROVAL Nahi, ',talx< l l,,AcIIll,vc fl1 rcctof.. Public City Council 14 — 16 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Professional Services Agreement for Grant Assistance Services AGENDA TITLE Approve a Professional Services Agreement with Ruby Gutierrez for Grant Assistance Services in an Amount not to Exceed $200,000 for a Two -Year Term (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a professional services agreement with Ruby Gutierrez to provide professional services for grant assistance, in an amount not to exceed $200,000, for a two-year terra beginning on May 18, 2021 and expiring on May 17, 2023, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Grants are the City's main source of funding for transportation and other infrastructure projects. Transportation grants are directly affected by the City's Measure M2 Fairshare and Gas Tax allocations, and fund salaries and benefits for staff who work on these projects. The Public Works Agency desires to retain a consultant specializing in State and Federal allocations to avoid the negative impacts caused by delays in the processing and submission of the documentation for these grant types. During the last six months, while contracted to work for the City through Apple One, Ruby Gutierrez provided grant management services to the City. Ruby has demonstrated competency in administering the invoicing and billings related to ongoing federally funded Caltrans and Orange County Transportation Authority projects. In that short period -of - time, she processed $7.36 million in grant invoicing and it is the desire of the Public Works Agency to contract Ruby Gutierrez directly to continue billing the granting agencies without disruption for the next two years. As part of her scope of services, Ruby will train City staff to assume the Grants Administrator role in order for the Public Works Agency to bring grant administration in-house. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. City Council 15 — 1 5/18/2021 Professional Services Agreement for Grant Assistance Services May 18, 2021 Page 2 FISCAL IMPACT The Administrative Services Division currently has a vacant Management Aide position with an annual cost of $104,000 for salary and benefits. Administrative Services will use the savings from this vacant position while this professional services agreement is in effect. Funding will be transferred from account number 10117601 61000 (Salaries) to account number 10117601 62300 (Contract Services — Professional). The two-year agreement is in three fiscal years. The breakdown, by fiscal year, will be as follows: Fiscal Accounting Unit Fund Accounting Unit, Amount Year - Account # Description Account Description Public Works - 2020-21 Public Works Administrative Services, 10117601-62300 Administrative & $12,500 (May -June) Planning Contract Services - Professional Public Works - Public Works-- Administrative Services, (July -June) 10117601-62300 Administrative & Contract Services- $100,000 Planning Professional Public Works - 2022 23 Public Works- Administrative Services, (July -May) (July -May) 10117601-62300 Administrative & Contract Services - $87 500 Planning Total: $200,000 1. Agreement with Ruby Gutierrez for Grants Assistance Services Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 15 — 2 5/18/2021 AGREEMENT TO PROVIDE GRANT ASSISTANCE SERVICES THIS AGREEMENT is made and entered into on this 18111 day of May, 2021 by and between Ruby Gutierrez ("Consultant'), and the City of Santa Ana, a chatter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Consultant having special still and knowledge in the field of grant preparation and submittal of reimbursement package for Capital Improvement Projects (C111s) receiving federal and state funding. B. Consultant represents that she is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that she is knowledgeable in this field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the patties agree as follows: 1. SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for her services for City, the rates and charges identified in Exhibit A. The total amount to be expended during the term of this Agreement shall not exceed $200,000. 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. 3. TERM This Agreement shall commence on the date first written above for a two (2) year term, unless terminated earlier in accordance with Section 15, below. Page I of 7 141 until 15 — 3 5/18/2021 4_ INDEPENDENTCONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OFMATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. INSURANCU Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 inn 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 (e) contain standard separation of insureds provisions. Page 2 of 7 #12 80bouncil 15 - 4 5/18/2021 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. 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. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. V. Consultant shall supply City with a fully executed additional insured endorsement. is If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refines 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. COn4tillant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. 1 NDE.MNII+ICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, 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 subcontractors, 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 than personal injury, damages, just compensation, restitution, judicial or equitable Page 3 of 7 ncil 15 — 5 5/18/2021 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, rostitution, judiciat 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 farther agrees to indemnify, hold harmless, and pay all costs for the defense ofthe City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of; the Consultant. S. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed tinder this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment w Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and 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 source,,,; (b) is, through no fault of the Page 4 of 7 " i v Souncil 15 — 6 5/18/2021 Consultant disclosed in a publicly available source; (e) 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. 11, CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, gender identity, gender expression, gender, medical conditions, genetic information, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, teaching, training, utilization, promotion, termination or other employment related activities or any services provided under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This shall not apply where the parties are currently engaged and Consultant is providing services not contemplated by this Agreement 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. Bach party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. Page 5 of 7 41 itv ouncil 15 — 7 5/18/2021 15. 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 ease such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 16. WAIVER No waiver of breach, failurc 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. 17. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of' the clauses of this Agreement shall be determined and governed by the laws of the State of California_ Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 18. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision ofthe services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 19. 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: Page 6 of 7 #1 tv Nouncil 15 — 8 5/18/2021 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O.13ox 1988 Santa Ana, CA 92702-1988 Pax: 714- 647-6956 With courtesy copies to: E''xecutive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-5635 To Consultant: Ruby Gutierrez 200 W. Columbine Ave. #l3-I Santa Ana, CA 92707 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 tweney-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. 20. MISCELLANEOUS PROVISIONS a. loath 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 Pees, 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. Page 7 of 7 #1 I ifv ouncil 15 — 9 5/18/2021 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED ASTO NORM: SONIA R. CARVALIJO City Attorney By: �� -------------------- Job M. Funk Senior Assistant City Attorney RI. COMMENI)ED FOR APPROVAL Nabil Saba Executive Director Public Works Agency #1 ilw,o CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: Ruby Gutierrez 15 — 10 Page 8 of 7 5/18/2021 I XHIBIT A SCOPE OF SERVICES and COSTS Approximate number of monthly hours per task: Task 1 — Up to 140 hours Provide consulting services for capital improvement projects. This includes, but not limited to, grant preparation and submittal, run general ledger (GL) report in Lawson to capture all expenses related to the project and phase, and analyze GL report to determine what expense should be billed. Task 2 — Up to 2 hours Respond to questions/inquirics from finding agencies. Submit compliance documentation, forms, reports, and invoices to meet granting agency guidelines and requirements for funding reimbursement and project closeout. Revise grant submittals as requested. Task 3 — Up to 8 hours Provide assistance and oversight during agency audits. Answer audit questions and explain grant preparation process. Compile and provide requested information. Task 4 — Up to 5 hours "Train City staff in the preparation of the grant submittals. Oversee and check submittals prepared by staff for accuracy. Maintain project files. Task 5 — Up to 5 hours Meet with City staff on occasion and participate in the meetings with funding agency. Hourly rate - $50/hr. Annual cost of $100,000 for the City of Santa Ana for Grant Assistance Services at 40 hours per week. City Council 15 — 11 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 16 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Design Services for the Santiago Park Main Street Entrance Design Project AGENDA TITLE Approve Agreement with Hunsaker & Associates to Provide Design Services for the Santiago Park Main Street Entrance Design Project in an Amount not to Exceed $250,000 for a Three -Year Term (Specification No. 20-2731) (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Hunsaker & Associates Irvine, Inc. to provide concept design, design development, and contract documents, in the amount of $248,702, with a contingency of $1,298, for a total amount not to exceed $250,000, for a three-year term beginning May 18, 2021 and expiring May 17, 2024, with an option for two, one-year extensions, subject non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On December 2, 2020, the Public Works Agency released Request for Proposals (RFP) No. 20-154, seeking a qualified architectural firm to provide a concept design, design development, and contract documents for the Santiago Park Main Street Entrance Design project. The scope of work includes engineering staff support and assistance with the overall delivery of the project, including pre -construction tasks, construction management, ensuring the project is completed in accordance with the contract documents, project closeout, and supervision of the warranty phase for the Santiago Park Main Street Entrance Design Project (Exhibit 1). The RFP was advertised on the City's online procurement management and publication system, with proposals due on December 23, 2020. Seven proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the responding firms and their ranking: City Council 16 — 1 5/18/2021 Agreement with Hunsaker & Associates for Design Services May 18, 2021 Page 2 Firm City Rank Hunsaker & Associates Irvine 1 MIG Inc. Fullerton 2 BrightView Design Group Irvine 3 SWA Group Los Angeles 4 RJM Design Group San Juan Capistrano 5 Hirsh & Associates Anaheim 6 Chen Ryan Associates, Inc. Los Angeles 7 The top three scoring firms were invited to participate in virtual interviews for final selection. Following the interviews, Hunsaker & Associates was determined to be the most qualified firm for construction management of the project. In accordance with the RFP, staff recommends awarding an agreement to Hunsaker & Associates (Exhibit 2). Their proposal demonstrated a high degree of technical competence and experience performing similar services. The proposal contains a clear path toward achieving City goals and objectives as required by the RFP. ENVIRONMENTAL IMPACT there is no environmental impact associated with the action. FISCAL IMPACT Funds are budgeted and available for expenditure in the current Fiscal Year 2020-21 Capital Improvement Program (Project No. 20-2731). The table below indicates the estimated expenditures by fiscal year. Any remaining balances not expended at the end of the agreement term will be carried forward for expenditure in the event the optional extension periods are exercised. Fiscal Year Accounting Unit - Account No. Fund Description Accounting Unit - Account No. Description Amount PRCSA Santa Ana River 2020-21 16113263-66220 Capital Conservancy Program, $20,270 (May -June) (20-2731) Grants Improvements Other Than Building PRCSA Santa Ana River 2021-22 16113263-66220 Capital Conservancy Program, $140 135 (July -June) (20-2731) Grants Improvements Other Than Buildin City Council 16 — 2 5/18/2021 Agreement with Hunsaker & Associates for Design Services May 18, 2021 Page 3 Accounting Unit Fund Accounting Unit - Fiscal Year . Account No. Description Account Amount No. Description PRCSA Santa Ana River 2022-23 16113263-66220 Capital Conservancy Program, $85,595 (July -June) (20-2731) Grants Improvements Other Than Building PRCSA Santa Ana River 2023-24 16113263-66220 Capital Conservancy Program, $4,000 (July -May) (20-2731) Grants Improvements Other Than Building Total $250,000 EXHIBIT(S) 1. Project Location Map 2. Agreement with Hunsaker & Associates Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 16 — 3 5/18/2021 Exhibit 1 SANTA ANA Project No. 20-154: :A Santiago Park Main St. ', A ,C MRK$A�FNn I Entrance AGREEMENT TO PROVIDE DESIGN SERVICES FOR THE SANTLACO PARK MAIN STREET ENTRANCE DFSLGN PROJECT THIS AGREEMENT is madec and entcrcd into on lhis 18111 day of May, 2021 by and bCtti eca Htm5akcr & Associates lzvine, Inc. ("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'). RECITALS A. On December 2, 2020, the City issmd Reddest for Proposal No. 20-1 54, by which it sought a Consultant to provide design services for the Santiago Park Main Street Entrance Design Project. B- C.UTrstrltant submitted a responsive proposal that was selected by the City- Consultant represents that it is able and willing to provide the services described in the scope of work that was included in REP No. 20-154. C. In undertaking the perfc» nance of this Agreement, Consul41111 represents that it is knowledgeable Ill its field and that any services performed by Consultant under this Agreement will be perlonned in compliance with such standares as may reasonably be expected ftorn a protessional consulting hrin in the held. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the tenrrs atrcl Conditions hercinalicr set lin-th, the parties agree as follows= 1. SCOPE OF SERVICES Consuhant shall perform the services described in the scope of work that was inCluded in RFP No. 20-154, "'hich is attached as Exhibit A, and as more specifically delinCatCd in Consultant's proposal, which is attaa:bed as Exhibit B and incorporated in hull. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payinem for its services for City, the rates and charges identified in Exhibit C. The total amount to be expended under this Agreement shall not exceed $250,000 during the term of this Agreement, including mry extension periods. I'he stun is comprised of (1) the base mnptlm of $248,702 and (2) a contingency in the amotmt 01'$1,298 for additional services at the City's sole discretion. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not bec made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City- 3. TERM This Agreement shall continence on the date first written above and terminate on May 17, 2024, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be City Council ' -'- ' "'1'5 — 5 5/18/2021 extended fill- two 1-,year periods upon a writing executed by the City Manager and City Attorney. 4. PRFVAII.ING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as Cahlornia Code of Regulations, Title R, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the perfonnanec of other r-cgttiremcnts on "public works" and "maintenance" projects. If the scrviecs being performed arc part of au applicable "public works" or "maintenance" project. as defined by the Prevailing Wage Laws, and the total compensation i, S1,01111 or more, Consultant agrees to fully comply with ;Lich Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents tree and harmless from any claim or liability arising out of any failure or alleged tailure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, daring the entire term of this Agrccrncnt, be construed to be an incicpcncicnt contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by C0113uharrt shall be provided in a Liiauncr consistent with all applicable standards and regulations govcrning such scrviecs. Consultant shall pay all salaries and wages, anployer's social security taxes, uncrnployrncnt insurance and similar taxes relating to employees and shall be responsible Inr all applicable withholding taxes. 6. OWNERSHIP OF MA FERIALS This Agreement creates a non-exchrsive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, design;, and other intellectual property enthodied 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 tnagneticall-y or othet-wise tecorcled on computer diskettes, which arc prepared or caused to be prepared by Consultant under this Agrccrncnt ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license [Or ally Documents & Dula Lhe subcontractor prCares Linda- this Agrccrncnt Consultant represents and warrants that Consultant has the legal right to licensee any and all Documents & Data. Consultant makes no such representation and warranty in regard to documents & Data which were provided to Consultant by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such nse not within the purposes intended by this Agreement shall be at City", sole risk. 7. iNSitRANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below_ a. Commercial General Liability insurance. Consultant shall maintain commercial general liability insurance naming the City, its otliecxs, cmployccs, agents, volunlccrs and City Council 2 1 — 6 5/18/2021 representatives as additional insured(s) and shall include, hot not be limited to protection against claims arising from bodily and personal injury, including death resulting thereli-om and damage to property, resulting fiarn any act ur ocuurcncc arising Out of Consultant's operations in the pCrtornlancc 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 andperonal injury, including death resulting thereli-om, and property damage, in the total amount of $1,000,000 per occttrrenee, with S2,000,000 in the aggregate. Such insurance shrill (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 progranns maintained by the City; and (c) contain standard separation of insureds Provisions- b- Business automobile liability insurance, or equivalent limn, with a combined single limit Of not less than $1,000,000 per occun-crncc. 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-insw-ance. Prior to comatcncing the pci-formancc of- the work under this Agreement, Consultant agrccs to obtain and maintain any emplover's liability insurance with limits not less than S 1,000,000 per accident. d. If Consultant is or employs a licensed professional such ns an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit ollrot less than $1,000,000 per claim with $2,000,000 in the aggregate- e- The titllowing requirements apply to the insurance to be provided by COnsultamt pursuant to [Iris section: i. Consultant shall maintain all insurance required above in hill force and effect for the entire period covered by this Agreement. ii- Certificates of insurance shall be furnished to the City upon execration of this Agreement and shall be approved by the City- iii. Certificates and policies shall state that the policies shall nut be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv- Where the amounts or coverage provided by the certificates ol'inswance provides urocrage grcata- than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agrectnent. V. Consultant shall supply City with a fully executed additional insured endorsement. 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 fierce and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not aClect COnsultaant's right to be paid for its time and materials expended prior to notification oftamivatiou. Consultant waives the right to receive compensation and agrees to indemnity the City for any wort: performed prior to approval ofinsurance by [he City - City Council ' ",v - -'1'S — 7 5/18/2021 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnity and held harmless the City, and its ofliccrs and employees tiom liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitablereIiefarisingout ofcIaims lorpersona I injury, inc ludingdeath. and cIaiins for property dam age, which may arise Iron the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from an_y claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of any breach of the terms of this Agreement. This indemnity and hold htnmless agreement applies to all claims for damage,, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the negligent acts referred to in this Section or by treason of the breach of the telins of this Agreement. The Consuhant further agrees to indelmtif-y. hold harmless, and pay all costs fur the detense of the City, including tees and costs for special cotutsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting That personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of thee terms of, or effects arising from this Agreement- City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extern Consultant's services are subject to Civil Code Section 27g2.8, the above indemnity and defense obligation shall be limited to the extent provided by Civil Code Section 2782.8, and to claims that arise out of, pertain to, or relate to the negligence, recklessness, or will fit] misconduct ol'the C:011suhant- 9. INTELLECTUAL PROPERTY INDEMNIFICATION C 011S dtantshall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, foi infringement of any TJruted States' letters patent, trademark, or copyright inlringcntent, including Costs, entrained in the work product or documents provided by Consultant to the City pursuant to this Ag*reement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be perfonried under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expendilures, and disbursements charged to the Cily lax a ntininutm period of three (3) years, or for any longerperiod required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly idcntifiable. 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 refptlar husiness honrs- Consultantshall allow- inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years fi-otn the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY Tf Consultant receives from the City information which due to the natuic of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or City Council ' ",_ ' "'1'5 — 8 5/18/2021 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 infonnaLion oflike importance, but in no event less than rca�unablc care. "Conlidattial lnlormatiun" shall include all nonpublic inforluatiun. Colll'idcntial intormation includes not only written intornratiun, but also information transferred orally, visually, electronically, or by other means. Conlidenlial infornralion disclosed to either party by ;try subsidiary and/or anent of the other party is covered by this Agreement. The foregoing obligations of nun -use and noodisclostu-c shall not apply to any information that (a) has bean disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightrtil possession of the Consultant without an oblieation 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 Consttllanl covenants Thal it presently has no interests and shall not have irueresls, direct or indirect, which would conflict in any manner with perfimnanec of services specified undo- this Agreement. 13. NON-DISCRIMINATION Cunsultanl shall nut cbscrintivate because of race, color, creed, religion, sex, marital status, sexual oricauatiun, gender- identity, gatda- expression, gender, medical wnditiurs, garetic informatiun, or military and veteran status, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the rec uilnnenl, selection, leaching, lraining, utilization, promotion, tenminalion orother employment related activities or any services provided tinder this Agreement. Cnnstrltatu 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 stlterrtem between the City and Consultant, and supersedes any itd all other agrcanents, oral or written, between the parties. In the event ofa contliet between the tcrnrs ofthis Agreement and anyattachnrents hereto, the tcrnrs otthis A��recmcnt shall prevail. This Agreement may not be modified except by wriI[en instrument signed by the Cily and by an authorized represauative ofC'onsul[anL. The parties agree that any Loins or conditions of any purchase order Or olha- ins[rvrncn[ that are inconsistent with, or in addition to, the tarns and conditions hereof; shall not binI or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducenrenrs, promises or agreements, orally or otherwise, have been made by any parry, or anyone acting on behalf of any party, which is not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement k intended to secure the specialized services of Consullanl, C 'Olrstl LanL may not assign, transfer, delegate, or subcontract any interest herein without the prior written conscnt of the City and any such assignment, transfer, delegation or subcontract without [hc City's prior written conscnt shall be considered null and void. Nothing in this Agreement shall be construed io limit City Council . `''v : -'1,6 — 9 5/18/2021 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- Trr such event, Consultant shall bec entitled to receive and the City shall pay Consultant conipensation for all services performed by Consultant prior to receipt of such notice of termination, sub_jcel to the following conditions: a. As a condition of such payment, the Executive Director stay require Consultant to deliver to the City all work products) completed as of such date, and in such case such work product Shall be the property of the City unless prohibited by law, and COTI uhanl con,ent, to the City's use thereof fin- such purposes as the City deems appropriate- b- Payment need not be made tin- work which fails to meet the standard of perlirnnance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, IailurC. of any condition, or any right or remedy contained in or granted by the provisions of this Agrcerucnt 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 decnmed a waiver of any other breach, failure, tight or remedy, whether or not ,imikr, , not ,hall any waiver canulilute a continuing waiver unless the writing so speelfies- 18. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, intcrprntation, pa-fin-rnancC and cnfitrccinem of any of the clauses of this Antecincnt shall be dctarnined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of. in connection with or byre:rson of this Agreement. 19. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulationS of the TTnited Statcs, the Statc of California, the City of Santa Ana and all other govcrnmcn(al agcnCiCs- Consultant shall notify the City immediately and in w-riling of' its inability to obtain or maintain Such permits, 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 hilly, including reasonable costs and attorncy's fees, for any City Council 1 — 10 5/18/2021 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 shell be incorporated as iC Cully set Forth in the body of this Agreement. 21. NOTICE Any notice, tender, demand, delivery, or other cotnntttnication pursuant to this Agrcancnt 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 coamittruCation in the manner provided in this Section, to the following Persons_ To City: Clerk of the City Council City of Santa Ana 20 Civic CcntcrPlaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Pax: 714- 647-6956 With courtesy copies lu: Nabil Saba Fxeculive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1955 Santa Ana, California 92702 Fax. 714-647-5635 To Coustlltant: Richard Norton Projcet Managcr Hunsakcr & Associates Irvine, hic. 3 Hughes Irvine, CA 9261 H (949) 768 - 2509 A party ntay change its address by giving notice in writing to the other party. Thereafter, ally communication shall be addressed and transmitted to the now address. If sent by mail, comnntnication 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 lax, conlmunicatiun shall fie clfcetivc or deemed to have been giver) twenty-t?01.1r (24) }touts after the. time City Council ' -'- , "'1'6 — 11 5/18/2021 set firth on the transmission report 1SSned 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. TN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above Wtlticn. ATTEST: Daisy Gontec Clellc ut the Cutmeil APPROVED AS TO FORM: SONIA R. CARVALIIO City Attorney By: VI. Assistant City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director I'ublic Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: /l Doug Staley, PE� President City Council . `''v " -'1,6 - 12 5/18/2021 Appendix ATTACHMENT 1 SCOFF OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS TOR SANTIAGO PARK MAIN STREET ENTRANCE DESIGN RFP NO. 20-154 1110111 MITO liar" I DION:ACil Ke] bkX11"►`i C Santiago Park is a 35-acre linear park located in the northern edge ofthe City of Santa Ana along Santiago Creek_ It is the city's oldest and largest wilderness Panic_ The part: contains both passive and active recreation opportunities which t-tun along both sides of Santiago Creek and includes acres of restored riparian habitat, recreational trails, a nature reserve, the "Wildlife and Watershed lnteiliretive Center," the "Wildlile and Habitat Viewing Facility," the Santiago Park Lawn Bowling Clubhouse and greens, archery, tennis courts, a baseball field, ling cabin, and playground equipment_ At the west end of Santiago Park is a dated large barren area, approximately 229K acres adjacent to Main street and Santiago Crcek that is in need of repair and revitalization to serve both community, visiting bicyclist, joggers and Discovery Muscum patrons. Public access to this area is from Main Street on the west and Memory bane no the north and Valencia Sheet on the east. The "Santiago Park Entrance Sign Improvements" (thc project) includes the relocation of the existing, park maintennnee road to the south. This will provide space to construct sep:hr:ate bike and hiking/jogging trails adjacent to Santiago Crock_ Project will include two viewing decks overlooking the crock with interpretive signage that will be accessible trout the trails. Picnic tables will be constructed throughout the site along with small parking lot for park patrons. An existing large Parking lot is available off Memory Lane_ Other intprovcrtetats will include security lighting, drinking fountain, irrigation, native riparian and drought tolerant pinntirrg. An existing* park restroonr, play equipment and log cabin is located and available to park patrons on the east end of the project site_ A major Shopping Center and relaattu-ants are located north of the project site. The park area comprising the project's Scope of Work, is between the existing play equipment / children's play area (to the east), Main Street Roadway (to the west), and the Santiago Creek to the north and the Business Center on the south_ It is shown in a diagp-aunrnatic site plan included in this Request for Proposals as part of this Attachment 1. The project, as represented in the concept plan and as outlined below under Consultant Responsibilities Shall include the lbllowing components: • Park 5lg,nalpe • Viewing Deck with seating areas • Park Roadway with Parking lot inrprovancnts at Main Street, including gate, bollards and entrance signage City Council City of Santa Ana FJW20r354 5/18/2021 Page Al-1 • Vedeslrian Bridge to complement existing pedestrian bridge over week • Concrete Walkways with decorative score line pattern • Decomposed C:ranile walkways with split rail Fencing around landscape areas • California Native/Riparian landscaping, butterfly garden, including trees, plant identification signagc • Sitc and Vicwing Dcck Lighting • Automatic irrigation system • Sitc Amenities, including interpretive signage, intomiation board/kiosk, [arches, picnic tables, bike racks • Drainage which utilizes "Low Impact Development" concepts with goat for Hill site infiltration. • Asphalt Bike Trail to minor existing trial along hike path The improved area is to he utilized by Santiago Park Wildlife and Watershed Center local residents, bicyclist, joggers and visiting patrons from the Discovery Museum and by various programs eomducted by the Santa Aim Parks, Recreation and Community Service stall' The City will pursue grant Ilnding for this project and expects the total Project Budget to he approximately S-1 mil. Consultant Responsibilities: The Consultant's responsibilities include the following, and shall consist of the_follotring project tasks: Consultant is responsible for providing all design and engineering as required lor all components within the project scope of work. This includes, but is not limited to, survey, civil engineering, gcotechnical investigation and roport (tor soils analysis), infiltration testing, elcetneal engineering. C'onsttltarrt will also be responsiblec for facilitating up to 3 meetings with City Staff to obtain input and finalize concept plan. COn]tlhatnt shall provide review sets in _pdf tormat. Final plans shall be provided in AuIoCAD or Microstation lormat, and .pol' lonnat- Task 1: Pre -Design Preliminary design shall include Kick-oll'mecting with City Staff w discuss scope of work, project goals and objeclives, potential elements and issues and schedule. Pre -Design will also include up to 3 meetings with City Statf' (facilitated by consultant) to obtain input and finalize concept plan. r Dclivciables shall include up to 3 rendered concept plans, which incorporate City Staff input and provide basis for discussion at meetings. Y Final Concept shall he approved by Cily Slafl' City Council City of Santa Ana FjFW2()f454 5/18/2021 Page Al-2 Task 2. /)esign Development (50%plans) Design development will involve the schematic development of plans based upon the approved conceptual design plan, which shall include arcliaCCILItal, landscape arehitcetural, civil engineering, and electrical engineering (including photometrics), drab technical specifications and "opinion of estimated cost'. - Deliverables shall inchtde a 50'/o set of plans, draft specification and "Opiuiou of Probable Cost'. Task 3: Construction Docrrmerrts (90% rrrrd 100% plans) Construction Documents (('Ds) shall include tinalizing approval dcliventblcs tiY111 the Design Development phase. 'Phis includes the provision of detailed engineering and constntction drawings that will serve as the hasis for both bidding and construction by a general contractor. ➢ Deliverables shall include 90% and 100'/o plans, final technical specifications, and a finalized ..Opinion of Probable C'ost"- Plans shall include, but are not limited to the following: • Tide Shea • Civil Lngincering o Sitc I•rosion Phut o Parking Lot at Main street with (late, bollards o Bikc Trtil o PCdCStflan Bridge c� Viewing Deck with seating area n Park si-Inage o CUnCrCLC Walkways o Decomposed Gnmitc Walkways o Horizontal and Vertical Control Plan o Grading And On -Site Drainage Plan 0 Site Utility flan • Landscape Architectural o Sitc Latyout/Construction Plans And Dctails o Site Sections, as applicable o Planting Plans/DetaiLJNotes o Inigation Plan s/Dctails/('a]culati oils/Notts • l-.lectrical o Elcciical Site Plan, including lighting, clee rical outlets o Photomctrics o Location of panels, switchgear, meters o Schedules o Detail, o Notes, specifications City Council City of Santa Ana FJW20i-554 5/18/2021 Page Al-3 Pkua Check & Permits C,orl Str7rCtlon drawings shall be in accordance with the 2019 California Building Code and the Americans with Disabilities Act and will nquirc review/approval by the City Plarrnin., and Building Agency. As a condition of plan clleck approval_ plans, specifications and StrnCltual CalCulanons 111rr5t be signed by a California licensed arclikeet / landscape atchltect / civil engiocclas appt'opi iate. Construction drawings shall be submitted at QW/o completion tirr constrttctability review by Public Works Design Constivetion linLincering Divisions, and revised as directed. The 100% complete construction drawing package will then be subirilled for final City review to the rollowing Cily Agencies: • Parks, Rcereation and Community Services Agency • Planning and Building Agency (Building, Electrical, Plumbing, SAPD) • Public Works Agency Drawings should be inclexed and oreanized so they can he separated cleanly for individual reviews by the Planning and Building Agency. The Public Works Agency Project Manager will coordinate the submittal and review process- Once wmplete, the a>nsuhant will revise the Contract Documents Technical ,Specijication.s Technical specifications for all components listed above shall be provided by Consultant, or their Sub -consultants, to the City in CST (Construction Specifications Tnstiuuc) lirrntat- City Staff will combinee these specifications with the City Boiler Plate Specifications which together, will become the Project Manual. Final Opinion of'Prohuble Cost Con chant shall ptovide updated opinion ol'pr-obable construction cost which ;hall reflect finalized plans, materials, systems, details of constnlction, and known or anticipated chauges in the bidding market relative to the project. Should project scope exceed available budget, project plans/speci f ications will be phased as appropriate. Task 4: Bid Advertisement, Construction Administration, Record Drmvings: Bid_Adr rtiscincrrt Consultant shall provide support to the City during the Bidding phase by assisting with questions, requests for information/clarification, or conflicts arising out of the bidding process. Consultant shall also attend pre -bid meeting, if scheduled. Constriection Adrniretstratiou Consultant shall provide support to the City during the Construction Administration phase by assisting with questions, requests for intormation/clarification, and reviewing submittals. City Council City of Santa Ana IIrW2"54 5/18/2021 Page Al-4 Record Drawings /As-hailt Pianc: Upon construction completion, consultant shall incorporate as -built information, as provided by the General Conu-actor, into the drawing files to provide record drawings for City arcbives. Fee Prnpnsrtl: In addition to Section 1V.R.3 (Submittal Requirements: Fee Proposal) f'ee schedule shall he structured to correspond to the above mentioned tasks as lirllows: Task 1: Pre -Design Task 2: Design Develohincnl Task 3: Construction Documents Task 4: Bid Advertisement, Construction Administration, Record Drawings Total Fee; Fee schedule for each task should include an hourly breakdown that con-esponds to the task total. ('its- Resimnsibilities The City will be responsible for the following items: • Providinp copies of available plans and existing docttntcntation on file. + Providing standard City boile1j)late speeilicatioti. + Acting as a liaison with the appropriate decision rnalcing bodies, as necessary. • Furnish electronic design files with City title block and title slicct (24" x 36") + Process plans for governtnental agcucy approvals haciugjurisdietion over rite project. City Council City of Santa Ana FIFW20f754 5/18/2021 Page Al-5 Imm PLANNING ,NWNFFKING S'. kVFYING GOVERNMENT RELATIONS IRVINNL LOS ANGCLCS HIVFRSIIJF SAN Dl ECIO PRINCIPA. S: FRED GRAYLEE Rk Afn FY HAY F'AUL HUDDLESTON KAM AL I I. KARAM IlQkJOI A) I ) AlIFT KRIS WEBER fosFPH F. WIGHTMAN FOUNClING PAkTNFR$; RICI IARD I IUNSAKCR I OM R. HcGANF ON JOHN A HIPMLLK DOUCLAi C. SNYDEk TM1rcu I R,F,Fur Irv'. ,.. Calif. nda 92n19 SP,11 HUNSAKER & ASSOCIATES I R V I N E I N C February 19, 2021 Mr. Michael Ortiz Public Works Agency CITY OF SANTA ANA 20 Civic Centre Plaza, M-22 Santa Ana, CA 92701 AFy1W* • Responsive with maximum depth of resources to meet City's needs • Highly capable PM with 45 years of experience and City knowledge • Past success for many public agencies on infrastructure work • Same subconsultants on team that have worked together successfully • Firm has over 44 years serving clients with engineering services Subject. RFP 20-154 Santiago Park Main Street Entrance Design (REVISED) Dear Sir- Hunsaker & Associates Irvine, Inc. (H&A) is pleased to submit this revised proposal for your consideration. We have made the following scope adjustments: • Deleted cantilevered viewing decks and replaced them with ground supported paved areas to accommodate viewing of the creek area • Deleted pedestrian bridge and replaced with fill and pavement to "cross" the stone walled ditch These scope changes have resulted in deleting the structural firm and cost from our proposal and reducing the geotech scope and fee significantly. H&A has made some other changes to the cost of various tasks and the proposal total is now slightly below the $250,000 target amount. We still need to address the input from our legal counsel who has proposed some minor wording changes to clarify the indemnification provisions, comply with recently enacted California law and prevent voiding of the professional liability insurance required by the City. Should you have any questions, please do not hesitate to contact our project manager at 949-768- 2509 (direct), 949-293-6537 (mobile), or via email at marton( hunsaker.com. Very truly yours, HUNSAKER & ASSOCIATES IRVINE, INC. Doug St�ey, PE President tnrmwmR�R�GOsA oinn-rn-door (9,9) co al r.I r. r,.. r9.91 !@ity,Oouncil www. hunva'..car.com 16 — 19 Richard Norton, PE Project Manager 5/18/2021 SECTION 1 STATEMENT OF QUALIFICATIONS t r S ,if, of ,I , (.i l I(f I � SI �I F l i Il. � ol, Hunsaker & Associates Irvine, Inc. (H&A), established in 1976, is a California Corporation. Our company is a full -service civil engineering firm with headquarters in Irvine and affiliated branch offices in Los Angeles, Riverside and San Diego. Our services will be performed out of our Irvine headquarters. H&A has a staff of over 300 professional engineers, surveyors, planners, surveyors, administrative and support personnel. Our strength lies in the company's experience and versatility. H&A has carefully selected the core staff for this project from our in-house personnel augmented by experts from several subconsultants. NUVIS izi P No >rl-ivy ;nfiagn P ash M aizi ll� , f f.ullan�: fb..iy�n • Highly capable PM 45 years of experience and City knowledge • Same core team that had past success for numerous cities for infrastructure upgrade projects • Highly responsive team with strong working relationships from past and present projects • All necessary capabilities provided by exceptional firms selected for this assignment The firm has been in existence almost 50 years creating outdoor design solutions from its headquarters in Orange County and branch offices in Los Angeles, the Bay Area and Las. Vegas. The NUVIS team of 20 passionate and dedicated design professionals work closely with public agencies, developers and communities to provide customer driven solutions through hands-on collaborative workshops and design charrette facilitation. tl,raa (V la, Ptu IrtAA: w fk6lpVa,t4i l if, r*vl.,cd lit a,JJ✓ ml `tiy'nctt f c anefigavtlaTai89,I B/ffrrB an(I duck,; aelf f q'Yw iP?.^,Waa hpa it.p? rvr6wufla'tcbd,).. ORSA Engineering ORSA was established in 1986 and specialize in Utility Relocation, Underground and lighting design, photometric studies, and have provided engineering and design services to many Cities, Transportation agencies and Utility companies including City of Anaheim Electrical Engineering Division, SCE, LADWP, Burbank Water and Power and OCTA. Leighton Consulting Leighton has a wide range of skills on public and private sector projects including utility lines, educational and municipal buildings, roadways and transportation related structures, public infrastructure facilities, pavement rehabilitation, commercial and industrial facilities and structures projects. These have included park facilities, underground utilities, public parking structures and building, and traffic signals projects for cities all over the southern California. On the following page is the Organization Chart. A Staff Qualifications Matrix (11 x 17 placed at end of proposal) is provided with a list of our team members, their experience, education, registrations and capabilities to perform the services required by the RfP. One page resumes have been included in the appendix for additional information. Revised to eliminate structural engineering firm from team since cantilevered viewing decks and pedestrian bridge eliminated. City Council 16 — 20 5/18/2021 nUNNAMR& 1N0(1AfINfRVJNE.INC. kjj'l III ?,P. ID m t +v .,Ill: ill.. Vojta Safranek, PE Jason Fukumitsu, PE Ed Mandich, PE Farhad Mohammadi, PE Aylene Chu, PE Alan Oveisi, EIT NUVIS Tom Munoz, RLA Robert Stone, RLA Juan Guadarrama Baz City of Sania Aria - PUbhc Works Agency Richard Norton, PE Gary Guan, PE Patrick Pagaduan, PE Dang Diep, EIT Kris Weber, QSP/QSD Tommy Hsu, QSPtQSD Martin Parker, QSP Cho Design Associates No longer needed in revised proposal since cantilevered viewing decks and pedestrian bridge eliminated. Leighton Consulting John Haertle, PE, GE Dian Chandra, PE, GE Itl P No >rl_ [5A ;nfiagn i' arh M airiII� , f l.ullan�: ib..i��n Jason Kinnie, PLS Bob Epstein, PLS GaryTackett, LSIT Jon Crisp, PLS Mike Tice, PLS Robert Wheeler, PLS ORSA Engineering Misha Davoodian, PE HrandAvanessian, PE Al Fonseca Over 200 Supporting Personnel (Engineers, Designers, Drafters, Technicians) 30 Fully Equipped Field Crews led by Certified Party Chiefs Cit� Council 16 — 21 5/18/2021 f1UNNAMRh 1N0(1AfIN(RV)NL.INC. ;i P No >rl_[M 1 ;n[iago t' arh M aizill� f [ f.ullan�: fb„i��n / 7 KEY FACTORS The City of Santa Ana wants to upgrade the Main Street Entrance to Santiago Park to be more attractive for users and provide a positive expression of Santa Ana's high value of park facilities in the city. The Santiago Creek Trail Access plan and related descriptions provided with the RFP define a series of components to be included in the design. From our research of available information and several site visits made to better understand the constraints and opportunities of this site, the H&A Team has identified several potential challenges and developed initial solutions that address them to keep costs within budget and avoid possible delays. °r.(f hh l II W f,i rf , Understanding based on knowledge of the existing project conditions and constraints Awareness of the community and park users needs Insights gathered by project manager and other team members from doing projects in urban areas Projcct managcr's knowledgc of the City policies and procedures from his past work for the City O V iut Nn;kodp' IbIbIR'G;: rctlrlq: avAa"iwi,. 0(l �,Y9 rtY�,Pn1". tiai �Brea;T; a tidrd?BIr: vT;rd.Rl vB'f'winq pld•9,td" d.l9BBBm awd, I Iu fl, ANd cif' If. Ptr[ Itlua'AGjq a "pIMIMIiP.dal✓lo" pan a-1:vi:{o"dfit dc'( o, olh PRiwdr., ][ �M11G,1 Ip.NYdR,'�ir^a rtAg'dg'Mldol'.Plyl�r„^ ar'n a'PPPA9^'n7Jrt'll.Y9'rt'lhrt',.",.31 "aB9kdfc a:."PBBIdIW'pfWi[vPn d q/BW'RAmvi Kltlma.li7s P.'"iB49BBARfdttl9d,'l,. r Apparently due to the ground being highly compacted over time, some of the existing overside drains no longer function and runoff goes over the channel banks. In one location, this has resulted in demolition of the original stone lined overside drain. To prevent future darnaae. the H&A Team proposes to excavate the too several feet of compacted soil and orade the area to drain back from the channel bank to a stone lined swale consistent with the recent one near the ulavoround area. The additional soil volume will consist of topsoil placed to facilitate growth of the proposed plantings , balad la�rrcaldror ;�f,f,Par;rablaa in aa,,aara;a�td lna�rl,ur.nul <,iraa;m,,o l.��rt9ma;as'aapp f�r'arlaged e�1r99999d�Pa��a. The existing lighting system is not functional as verified by an evening site visit. In addition, the poles and fixtures appear to need at least refurbishment to return the system to operation. Given the apparent age of the existing equipment, replacement would be preferred since the new fixtures would be more efficient and reduce the City operating costs. The H&A team proposal includes replacement of the luminaires, poles. underground conduits, electrical service and all wiana to provide cost efficient. up-to-date lighting for the bark and provide benefits to the City and park users. City Council 16 — 22 5/18/2021 nUNNAMR& 1NOC1A(1N(RVJNE.INC. 1 ;n[iago P ash M aizi tili� f [ f.ulian�: fb„i��n The existing surface runoff patterns were planned to drain toward the creek and then pass thru several stone lined override drains (it appears these may have been constructed as a WPA project in the 1930's). With today's regulatory focus on water quality, treatment of the runoff before entering the creek may be required. To minimize the amount to be treated, the use of permeable pavements for the access road, parking and bikeway would enable rainfall to permeate into the underlying soil. When compared to the existing surface areas, H&A staff believes we can show the amount of runoff has been reduced and the need for water guality treatment can be done effectively with one of more stone lined swales incorporated into the landscape areas using infiltration andlor biological uptake saving the City both construction and operation costs of alternative water quality treatment systems. The site plan in the RFP has several deficiencies that need to be remedied as the design evolves. First the cul-de-sac as shown does not comply with City standards that are based on emergency vehicle maneuvering characteristics. Second the parking located radial to the center will require the minimum width to be available at the "narrow end". The H&A Team has developed an alternative configuration that addresses these deficiencies while remaining generally consistent with the site plan arrangement (see followingpaoe) The exceptions are a loss of planting between the roadway and bike trail (we believe the existing pavement may be reused for the bike trail in the H&A layout to save the City money) and some added curves in both the bike trail and decomposed granite walk to accommodate the revised cul-de-sac. City Council 16 — 23 5/18/2021 nUNSAMR& )NOCIAHN(Rv1NE.1NC. ��llH SNIVw x o v I. Irv, 0 ;I1''No 'rl-ISi ,;Irl agn ['ash (� wl J114f,1 f.nllan<<, fk,a��n To address this topic, H&A has provided on the following page a Project Data Table containing project names, brief project descriptions, agencies involved and indicating RFP services performed for each project. One page detailed project descriptions are included in the appendix. Below is a matrix of 6 client references for H&A for recent or on -going projects. We have selected a variety of clients, projects and services performed to demonstrate our commitment to client satisfaction. County of Orange — OC PARKS County of Orange 13042 Old Myford Road 601 N. Ross Street Irvine, CA 92602 Santa Ana, CA 92701 Natalia Gaerlan, Senior Project Manager Lily Sandberg, PLS, Deputy County Surveyor (714)973-6865 (714)967-0846 City of Irvine City of Anaheim 1 Civic Center Plaza 200 South Anaheirn Boulevard Irvine, CA 92623 Anaheim, CA 92805 Steve Sherwood Keith Linker, Principal Engineer (949)724-7372 (714)765-4141 City of Alhambra City of Lake Elsinore 111 South First Street 130 South Main Street Alhambra, CA 91801 Lake Elsinore, CA 92537 Dennis Ahlen, General Manager Remon Habib, City Engineer (626) 570-3274 (951) 674-3124 ext. 213 Cit� Council 16 — 26 5/18/2021 nUNNAMR& 1N0(1AfINfRVJNE.INC. SECTION 2 SCOPE OF SERVICES AND SCHEDULE The [asks described below are listed in [he RFP and [he adjacent WBS expands on those tasks with additional activities in more detail. The WBS is also used for the design schedule and cost breakdown developed for this proposal. The added detail makes it easier to manage the project and quickly identify any areas that vary from the planned budget and schedule. -;nfiagr�["ask[W'W1.., TQT*T:%^ Approach based on knowledge of urban park design components Awareness of the community and need for effective solutions Insights gathered by project manager and other team members from prior projects in urban areas In-house experts at FEMA floodplain We arc proposing to prepare the drawings at 1"=20' scale with one sheet modeling and impacts adequate to cover the project area. At this larger scale, the design will be more easily communicated to bidders and avoid potential construction claims against the City. The tasks described below are listed in the RFP and the adjacent WBS expands on those tasks with additional activities in more detail. The WBS is also used for the design schedule and cost breakdown developed for this proposal. A. ''. "� Y n J MII 5,,,,. x x v P 1h 118NAW,/IlIll The H&A Team will establish the basis for the project task B ;Budgeting H&A Team scopes, budgets and schedules and the overall project monitoring process at the start of the project with City input 0 C Cost Accounting H&A Team to ensure City staff will receive the information needed as it happens. D Scheduling H&A Team E Progress Reporting H&A Team Kick-off Meeting Immediately upon receipt of Notice to Proceed, we will schedule a Project Kick-off Meeting between key members of the project team and the City staff. H&A will prepare the agenda and any handouts and also prepare the meeting minutes. This meeting will be attended by the H&A project manager and project engineer to initiate the project and discuss the following detailed scope and applicable criteria, special project concerns and/or constraints; schedule milestone dates for submittals and meetings; obtain pertinent project information, including As -built drawings and Utility Maps. City Utility contact list, if any. City's boiler -plate specifications, standards and/or drawing files. Kick-off meeting - prepare A ;agenda, hold meeting, prepare minutes H&A Data collection of available B Santa Ana documents H&A :Data collection of 1 C documents from other : agencies (FEMA, Orange County, etc. H&A D Perform field survey and process data into base map H&A Perform geotechnical E : investigation and prepare H&A Research Cit� Council 16 — f1UNNAMRh 1N0(1AfINfRVJNE.INC. nli [ Itl I''IVn '11-1�9 .;;rl Or r, [' ash M �izi o Tl f,l f.nllan<<, f Research will include records data gathering from all utilities and public agencies operating facilities in the vicinity of the proposed project. All data gathered will be incorporated inlo the digital base -map and evalualed in conjunction with the field information to identify inconsistencies, missing information and apparent conflicts. Surveying Research on available survey control points and monumentation will start the process. Field survey will establish the project control and place targets for the aerial topo flight. While the flight data is being processed, field crews will gather the cross section information, dip manholes and drain inlets and locate surface utility features. Existing monuments will be accurately located and ties placed to enable post -construction efforts. Concept Plan Development The site plan in the RFP shows there has been some advance planning and H&A will build on that to develop 3 concept plans. These will also reflect the findings of our rescarch, field survey, gcotcchnical investigations, landscape analysis and initial structural developmen UP) Ba,auo�aa aurrprrr.Br.p,f aaa aarvd.r_a,f 11zaa,�ri,:;a�f :;aes.r• a,�aaeadarnrnrraaaf n�aan,�aaa%fp afara ftsa aroraaf /aa�da:;,B,�area tMraa&q�ft; aabaea¢a�azEaaaf,� H&A looks forward to the three meetings with City staff that we envision to be interactive design workshops with one, or more held at the site to better visualize how the concepts fit with existing conditions. The final activity will be selection of the preferred alternative by City staff to be the basis for the construction documents. The H&A Team will be focused on setting the configuration of the various project components and determining design parameters from calculations done for the grading, drainage, structures, electrical/lighting system and irrigation requirements to support the proposed planting. Cost Estimate The construction estimate will use the project specifications measurement and payment clauses that will be based on the Greenbook standards H&A personnel will 2 BreakdownWork F Perform evaluation of H&A existing electrical equipment Perform evaluation of H&A Team existing electrical equipment H Evaluate existing plantings H&A Team and irrigation system Develop 3 concept plans I using RFP site plan and H&A Team compiled base map 1 st City review - prepare agenda, hold meeting, CITY and H&A prepare minutes, revise Team concepts 2nd City review - prepare agenda, hold meeting, CITY and H&A K prepare minutes, revise Team concepts 3rd City review - prepare L agenda, hold meeting, CITY and H&A prepare minutes, revise Team concepts A Develop design plans - Civil H&A I cam Engineering Develep des gFi plans 81ruetu al (No f ,nqf �r B /oaa/oay. RP^Aaaka'ar H&A Team n"lrardfr°wrr�ef+f wea�wpmff{ t,JB"BafO/0.' gi'9f969'pAPR"dfQ"af.j C Develop design plans - H&A Team Landscape D Develop design plans - H&A Team Electrical E Develop cost estimate H&A Team F Identify required technical H&A Team specifications determine quantities usina CAD software and confirmed by Cit� Council 16 — 28 5/18/2021 HUNNAMR& 1NOC1A(1N(RVJNE.INC. nli [ Itl I''IVn 'li-1�9 .;;rl Or r, [' ash M �izi o Tl f,l f.nlian<<, f checking. Unit prices will be based on recent City projects adjusted for inflation using applicable price index data. An appropriate contingency will be included to reflect the level of design at the time of the estimate. An updated estimate will be included with each plan submittal (90% and Final). At this stage, the opinion of probable cost will be a key item since with the added design evolution it will be more accurate and any variance from the available funding can be addressed by scope adjustment (increase or decrease as needed). In the Understanding of Need section above, the H&A Team has identified several cost reduction measures to be considered. Prior to the submittal to the City for review, the documents will go through the H&A QA/QC process described elsewhere in this proposal. AS 'N.3 ...r.„ —.', rrI"Z5 The H&A Team will first address all City staff review comments made on the 506A submittal and make the necessary revisions. Next the documents will be developed into a complete set of bid documents for the 90% submittal. H&A intends there will be few, if any, City review comments on the 90% submittal. The package will include all of the items listed in the RFP on page A1-3 and be ready for building permit submittal with all required supporting calculations and documentation. Specifications The specifications will include the City's boiler -plate specifications and technical specifications complete and in full conformance with City requirements. All technical specifications will be based on Greenbook standards or City provided sections. Permitting As with the earlier packages, prior to the submittal to the City for review, the documents will go through the H&A QA/QC process described elsewhere in this proposal. Our goal is to have a single building permit review and then approval upon resubmittal; however, we have included a second cycle in our schedule to be conservative. The final set of bid documents will incorporate all the City review BreakdownWork G : QC Review H&A Team 50% City review - prepare agenda, hold meetinq, CITY and H&A prepare minutes, revise Team plans NlliiiPl A Develop 90% design plans - H&A Team Civil Engineering Develop 90% design plans — Structural (fvf, fo)wic B1'r .ffr"^v� B'Bd gn NB'; s?q:f 8sparv.<..;rad.^;arrtq H&A Team d;.ltl@D�Bfd?WdTP"'a"d/WM6omlarua;f rfr3d"b'6"„I �apbv:,'d pCrd 4fF"+»frd rdpY farga'hio 01m9gBB al0q..1) Develop 90% design plans - H&A Team Landscape 0 Develop 90% design plans - H&A Team Electrical 3 E Update cost estimate to H&A Team 90% level F Prepare draft technical H&A Team specifications G QC Review H&A Team 90% City review - prepare i agenda, hold meeting, CITY and H&A prepare minutes, revise Team plans Develop 100% design plans H&A Team Civil Engineering 16-29 5/1 S/2021 nUNNAM R h h1NO( W I N MVIN E. 1 NC. nli [ Itl I''IVn '11-1�9 ;;(I Or r, [' arh M wl o T .l f,! f.nllant r, (k,at�n through a final QA/QC check before submittal for City approval and obtaining the building permit. r x 0 , '." ) " ^,. kIN ,m n The H&A Team looks forward to supporting City staff in the bidding and construction process since we agree the design team can be very valuable during this critical stage in protecting the City from problems. H&A has anticipated both pre -bid and pre -construction meetings to be attended and is ready to provide rapid responses to any issues that arise from City staff. The H&A Team will also be proactive in warning the City and contractor of potential problems based on our intimate knowledge of the bid documents. Our proposed schedule on the next page is based on the same WBS used for the detailed scope of services above. We are proposing a schedule that is 10 months in length based on moving forward without restraint and compliance with anticipated review periods for the City. However, a substantial portion of the tasks are being done by external parties and their delays could impact the overall time required. Also, based on the RFP "Terms of Contract Agreement', the availability of funding may be the key factor in determining the schedule. DIG -ALERT MEMBERS LISTED IN THE PROJECT AREA DIG ALERT CODE UTILITY OWNER ATTDSOUTH AT&T Dstribin on COSANTAANA City of Santa Ana DLMrS Tne Swce Group/APEX LVL3CM Level 3 Communications SAN02 City of Santa Ana SAN02A City of Santa Are SCG2Wy SC Gas - DistrRdion TCG AT&T Tna smss,on UCHTRW_C5 Spectrum -Garden Grove UOC11101 Orange Courny Water Dietrict USCEOR SCE Distribution - Orarge Develap 100% design plans cat;: (No lo;f ier K fsrtrrbw al miwo H&A Team t,ardileveredf V&P11r19 L Develop 100% design plans H&A Team Landscape 3 M Develop 100% design plans H&A Team Electrical N Prepare final cost estimate H&A Team o Prepare final technical H&A Team specifications P : QC Review H&A Team CITY APPROVAL (Final Q PS&E) including building CITY Pre -bid meeting - prepare A agenda, hold meeting, CITY and H&A prepare minutes, revise Team B Respond to bidder RFI's H&A Team C Assist in bid evaluation H&A Team Pre-const. meeting - D prepare agenda, hold CITY and H&A q meetinq, prepare minutes, I earn revise plans E Respond to contractor RFI's H&A Team F Review contractor H&A Team submittals G Monthly Site Visits by PM H&A Team Prepare record dwgs from H contractor single set of H&A Team Cit� Council tJUNNAMR& 1N0(1AtINtRVtNL.tNC. iziPi o >rl_[M 1 udlago P uk M aizi "I SECTION 3 FEE PROPOSAL Our fee proposal is in a separate envelope and is based on the same WBS used for the detailed scope of services above. Based on the RFP `Terms of Contract Agreement', we have used billing rates to determine the individual task budgets that we will hold constant the initial 3 year period of the contract. SECTION 4 CERTIFICATIONS H&A has provided completed and signed the required City forms in the appendix as follows: • Non -collusion Affidavit • Non -Lobbying Certification • Non -Discrimination Certification City Council 16 — 32 5/18/2021 HUNNAMR& 1N0(1A(1,SMVJNE.INC. HIi I d H V4 [I [gn i (/ SLrcl I g[ RFP SERVICES PROJECT DATA MATRIX �(y� 6[roiPnlM1 CynpIW ... IyM�rc(Ni19ru]ty(vl{(Inl[45Gu[IW 4W�q Iw WMlbS al gpGtiu Vp�On. ///1/[[ � ^q� INlryl f(cl h y/n InM NI[b.V 4W.. LH CIMM X�i X// i:�/ xX'ii i� X- / .. ...II[MM'gi. ... ..Mrortull.. Newpv7Coept leery. Flta rymui IDmrvApr WW qop r[,+eG pnYygJolu1N pp n / J 'K 64�Y Ch/f.�./ �µ NIN V.GByIp�9M0/GJ W!%'/' lry.ovI1NM1P YX r� C ydAVewpgP {1WgM1 X/ XJJ X �� Xf %`�. X % % f..f1 Y Y U1Yy 11lG'M NOIL IJL'MIW '6111. Y II&P IXb gn lyylF1'q'ryc If: In 6�3�[I...yll gMLV[y t}0 M(jl � ���////// '. X �X � '.% '� 9ror �eW v en%����/ Ky }ueln lq wm(e la'wrce°7 n"a Va lA we vmo[.inlml iiif <lwmYfA9[PeL*'!: Xf[ X'ff X•. % �C/A X kf X� I £ R _ 5 .p PM}nq .fin, fl,eMa Rn i. Bf!'tf en¢(f [rl :rilgar. u�. [,ynrPr 3[nu✓Sl o�or� C✓`+l lrviu3 X X X X X X X X X X X X X y( iv in l;A X N4YW,We9 glR/n rtgf rM'r]GCXA IW - nT.aHry. ai .tll[ty Fn40 9com Trt[il dA SIz.A WA lur% eWl X{ [db (A fq LM va_ACCE OnyF C¢m[yN40 [[mrc M1q BrgyPpco[qu»� CryNlniW X X X X X X X X X X X X X Vµ CvunV [N Pnn GA q f f rrvM-f aV lrne lfyw:f GPI i-A CUAC M q lo�u qli Me�m�G Cnyd (gran [iqm' X X X X X X X X X X X X X __ N --- — G[ ruler >, ___ __ rt A V11 ql AU pJ[ N y IUN q fNC C ____ __ __ __ __ �A��(p�+. CA Wa Vi�q nwtry. nvt [%V utl NY�llm 1piigtvo UyId LS AnpW X X X X X X X X F'rnr0110L CVWIIm NN ifY'� W . tl4 NY .t I o4X q v . sg9.1 1,,CA W V pry vngaW ytmm meWgon tW aeVSICM ¢no OTfrn Laq Pet2n x X X x x X NtliO[Y V ,SIT ve n 1 1 I[ r xi^I ry<u oJ+nkJ++ry] .In nxe l[.ez x x x x x x . Deal CA o 1:enrwe A V n.(c,La• _c,ogo Igrnirr ,W+exim Cuwn l�apo loorM I �4d pIMMIIfXMxN blfi p. rtP nT l4j Mt rIF(f tlam tp ^U.ry(A NfM[F15(WII X x X x ^x X x x x. Nony]T 6CW1[CA .4rWu UW ql tlo rn[Fa NomWI N[Ip l.t allfmc[O PE't. C.[MVlwtry O G Ignn itld T wwWeaae d�—1 dfy. 04lald ryGafdM eaM[+'4l YlUnpnxl �O ryLuiU ryMY aryMay IINe 101hi(I.w4 (.1N (Q F[4'vW X X x X X X X x X X 6 I[nioriq[CA Y!(l VW p[9 G� JM Wmhry CWlmuntY Fi�IWIMCNM T 1 1 )' aWai.. puM Mt l(Jn (t[Ja NM1W cu.[a1a CltY of lrvlM X X �X X X X X X X X x X X �--C'(. W ----(bgX[WNMtlnvWtl'.Xrf'o'l�wlll[NnIhMP6Ug---- �Ct ----- 'A"', nq�oLvwmiN� AI Vva�ny�� hA Nl Urauf=tu]f [u[]bwGWIL I[Y4gwlr eln el gLrt of lug h �fA+� c e_ a[murciry .l�. n W F Up .0 'm c -uon co -um. c v nv X X n, m nR�nv. W ^ [mm xi. 0 WW..nn A ea J mVMu uLLr „(([q UrUry tnq aWelcm Beat �w LC obeemarr.e rp ,ofrnmw els v nr x X enn JWo.CA eN, rl[ an..ow City Council I1I!h'lAAI".1 "I"( IAI1, IA11N, 111. 16 — 33 5/18/2021 I:I P Id I'A r I,tgn P.+ ro SI rct I 1 . , n"... RFP SERVICES STAFF QUALIFICATIONS MATRIX ap.oll 0 � nnnen ny 0 �jmlp4v, (wdcM mgcaF, i, IuutuC ----WA (ileac-- - 0! O O 4. O' O O ---n— --T4m --- c°tOwa M"� p£ Yo,+nWmrt i'ptu'ub / X x X X O O O O O PpMnT FVKnO p 3t pc on ka.nna.a m'TMa .r X X % U U U U aerucn„JT IL SS +CTIrOH O[ % % % O O O O O Map' ...Piro twm b.y Ff .X 0..... nrurnw 10 JI pamwYvwr......... x x O O 0.... O PoUM9)'. FVxnq 1LtpGirl oru Clru Fl rTtWn +0 t0 row Pc % O O O v Or.n.r uxlrq I4 ='1 +f.?VFM Li X X % O O O O O am+r "x o x x o 0 0 r � wwau. p ,eprnmoa the"� n acxn.rco ve 0 x x 0 0 0 rror x o 0 o rm*w.o----.w _ _ ____ ___ __ __ _____ __ __ ru �rra aa. t m e oaa_" o x x 0 0 0 e.ai�s.�� " ° ""y x x 0 0 0 m„0----U" o 0 o x x x r<. o 0 o x x x (rYYw n. NM 1 Y") rr tnnp �nwr nl{NA) 10 34 .nrq 9.,uh iam .. O O O % % % ('mn •i.cm 1u v. prier, '' (r O O O x x x 1L.o wrm.e. +15n1 i0 '1 M <xn t— O O O X X X G• ..� JF 1bn Mmu ----- Nmxl:Vrp1 p N FiA % v. r r . r�rrrr vn..urn arw OwM. y M ttirf. n. uA O O % O O O C„c.r�ncm+ro .. n %x. nn W ....... .... ................. .... .................. .................. .................. .................. .................. ..... ............ ................. 0p q 08E [ O O X O O O o daC Cno — � agot mvvw nra.ru propofu unac YJ.on.ra poa.nrrr Y, aOu. mn.m ICno D9.Vn 'r'irl .rxrw Cnn xe lv,purr..n.nr�r.,..n prw=.,t vnc.carmu.un.wr�on ,...n p.n..r1.. ny u.mr...n v tic. u 1 Out 0 W � % 09t efr 0 S 7, .OF 'A A O O O O O' O X nmmam coewn,m >-M+•r un...rvnw,.worn punC oar Oawvnncn y 1O.Dl Cnw ) ttOSC �I pc O O O O O O< G % f wVmM CPtw nnO [ ✓p vw 0 wag nAnM :. lu 7S m.r r nn umw.np i r.vl ma loluU.t 14 N oe Lrylmrv.ryl it rvnmk .o ..... p[ Irrr r,mam rn ay nt ' o o o.... o pim..1,1-1y mug' o o 0 o o x City Council I1I!h'l/+AI".1 "I"( IRI1, IA11N, IN(. 16 — 34 5/1 S/2021 ------------------- -- -------$ ------ --- - - R �4p .......... .......... I LL CD 00 VIF Is' L ------ ------ --- -- --- ------- - ------- --- --- --- --- -------- - ------- ---- 15 If CD 00 VIC Is' L - \ t � - !!}>!} ~{}\\* >. . . . . . . . . . : «« . .. . . . . . . . . . .. - ` & § 2 ! ® . ® 4 ƒ! {\ � - /- m- a \ % ■ Public Works Agency https://www.santa-ana.org/pw Item # 17 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: License Agreement Template AGENDA TITLE Approve a Template Agreement for the Licensing of City -owned Real Property and Authorize the City Manager to Enter into Such Agreements RECOMMENDED ACTION Approve a template license agreement for the licensing of City -owned real property and authorize the City Manager to execute such agreements, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency provides administration for several types of assets, including managing the licensing of unused parcels of land to contractors and other interested parties. The parcels of land are unused due to, among other things, their shape, size, accessibility, or because the project for which the land is intended has yet to be constructed. The Public Works Agency requests the current market lease rate or in -kind services as compensation for licensing such vacant parcels. Recently, construction contractors and other entities have expressed interest in temporarily licensing various unused parcels of land. Staff seeks approval of a template licensing agreement (Exhibit 1) in order to standardize language, structure, and requirements, and to expedite the processing of these agreements by authorizing the City Manager to execute them. The timely licensing of these parcels can offset some of the negative consequences of these assets remaining vacant, including illegal dumping and other illicit activities. Expedient processing also allows staff to respond quickly to contractor requests to license unused parcels following the award of construction contracts. Construction activities require a safe, off-street location for storage of construction materials. Approval of the template license agreement allows staff to work quickly with contractors to determine which assets are best suited for construction activities, which minimises impacts to Santa Ana residents and businesses. City Council 17 — 1 5/18/2021 Approve License Agreement Template May 18, 2021 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT there is no fiscal impact associated with this action. EXHIBIT(S) 1. License Agreement Template Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 17 — 2 5/18/2021 Mm.rm i.TCENSE AGRF.F.MF.NT This T TCRNSF A6RFFMFNT ("Agreement") is daLCd as of date], attd crLLcrcd into by and between the CYI Y OF SAN I'A ANA, a charter city and municipal corporation existing under the constitution and laws ofthe State ofCalifoinia ("City"), and [insert entity/company name] ("Licensee" )- RECUALS A- The City is the owner of that certain real property located in the laity of Santa _Ana, County of Orangc, Cnlifolnia, mitre specifically identified as [insar location] (APN [insert APN #]), as depicted on F.xhibit A ("License Area"). B- T.icenscc desires to use the T.icense Area I'rn- purposeS of [insert purpose — i.C- "storing vchielcs, ntatatals, and olher con3uuclion ctluipnlcnl and slockpile"] during the Liccnsc period ("P(;rmim d Uses"). (,. The City has agreed to J;ranl Liccnscc n license to use the Liccnsc Arca, On the terms and conditions set for-th in this Ann -cement. NOW THEREFORE, for and in consideration of the mutual covenants and agreements heroin contained and for other good and valuable consideration, the receipt and sufficiency of which is hereby aclalnwlcdsrcsl, the panics hcrclo asp -cc aS Billows I. License. fhe City hereby grants to Licensee a nonexclusive license for the right to enter and use the Licelsc Area beginning on [inscrr date] for the Permitted Uses descrihed in Recital B. upon the tCrllU and Conditions sct forrh hp-ein ("I.icensr"), subicet to I.icatscc's perforniancc of till of its obligations uncica this Asgccmcnt. This T.icense shall remain in effect umil [inscri d;uc], unless extended in wlitinst by the Executive Director of the Pti blic Works Agency, or his or her cicsignec. 1'he Liccnsc may be terminated by city upon thirty (30) days written notice. Thi. Agreement is intended and ;hall be crntstrued only :u a revocable license to U3C the License Area and not as a Icase or grant of any possessory Or Other interest- ?. Restoration and Clean Ln. At its sole cost. Licensee shall, tiler use of the License Area, restore the License Arca to its original condition in which it existed immediately prior to the Agraemcrrt, leave the License Area in a neat and clean condition to the sole saTtAft6on of the City, flee of trash and dchri , and remove all property and Materials of Licensee. Licensee shall cause the License Area to he cicancd, kith Such work to be completed no haler Illan the limes specified in the Liccnsc as slated in paragraph 1 above, and the License shall be extended to such time for the limited purpose of allowing the cleaning wotic to be completed. 3. Compliance with laws. Licensee shall cause all activities of Licensee under this Ag ccmcnt and all acliciiics on the Liccnsc Arca to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations, and permits. 4. Licensee shall include, implcmcnl, and maintain but not be limited to the following Bcsl Management Practices (BMPs) at the License Area: M Waste management and Materials Pollution Conuol RMPs shall be implemenmd to prcvenT The comaminalion of slonnwalcr by Conslruclion waslos and mala-ials. b) Tracking conlrol (IC) BMl's to control o1T-site udintcnl tracking shall be implemented and maintained. City Council rage 1 ot1t7 — 3 5/18/2021 c) Sedintatt control (SC) BMPs shall be implentclucd at all locations along the site perimeter, at all operational storm drain inlet; and at all non -active ;lopes, as appropriate. (1) PoIIIalolI Prevention practices shall he irnPlerlei Iled e) Non-slonnwaler lrwriagcmem lucasures to prevent illicit discharges and control stormwatcr pollution sources - I) Erosion Control BIVIN, shall be implemented, as appropriate. g) Wind erosion eontrol TiMPs (dll r control) Shall be implcntpucd, a3 apprppriarC. Ill Non-slurnuaterRMPs shall be implemented to reduceorprevenl [he Coll xminaIion ofstornwater from consiructlon acii%itics. For specific guidance 17Cfel-erICC, t-efer-UnCe the Construclion Runt /flea dance Manual (Change County Sturawaux Progruu, Dccclubcr 2012) [haas/Jnledia ucguv.cum/guv/pw/watersheLls/documents/bmp/constructionacLivities.asn] or the CaIiIonia SLnrnrwater Quality Association (CASQA) Stormwater BMP Handbook to[- COnsLrttetlon. 5. Dnm;wc. In the ccenl. that Liccatxec damages any portion of die T.icensc Area or the improvcnicros or equipmUtL Lhacin, Liccltsec shall inunccliatcly tepait the damage at Licensee s sole cost. Alternatitrely, the City may, at its election, repair the daaLtge in which case Licensee shall reimburse the City for ils cost within fifteen ( I5) days of receipt of written deviand ti-otn City. 6. 1 icensee Parties. I icensee, together with its employees, subcallractors, agents, representatives and all pea sons entering the License Area, by or through or at the direction Lit Licensee, are collectively referred to herein as the "Licensee Parties." Licensee shall be responsible for the Licensee Parties and shall cause the T.icenNee Parties to comply with dle icnns of dtia Aln-cemenl. 7. Fee. As consideration for this Agreement, Licensee shall pay City a total license fee of $[insert amount]. Licensee shall pay this amount upon till execution of this Agreement_ Licensee shall pay the monthly fee of $[in;crr amount] for any extension of the Agrccmcnt pursuant to Section I . S. AS -IS Condition. City makes no rcpresentation or warranty of any kind as to the condition of the License Area or any other matter relating to Licensee's use of the License Area. Licensee hereby disclaims and waives any and all ohjections to the physical and other characteristics and conditions of the Liccnsc Arca. Licemcc acknowledge, and agrees that the Luc of Lhc Liccnsc Ate a will he on the basis M, Llcenscc'S own investigation of the condition of the License Area. the license to use the Liccnsc Area shalt be granted on an "AS -IS," "Wf1H ALL FAULTS" basis, widlouL represenLaukhl or warranty expressed or implied by City, or by operation of law. City expressly disclaims, which Licensee hereby acknowledges and accepts, any implied warranty of condition or tiutess for a particidar purpose or uic. L1cCnS00'S Use of LhC Liccmu Arca -shall be SLtbICCL it) d1c LlectliC Aren belnL? In a LLsahIC dt1d.sale condition at the time of Licensee's use and Licensee shall be responsible for dctcrminitu, whether the Liccnsc Arca is in such condition. In connection therewith, in the event that the License Area otaccess thereto is damaged or obstructed or the use by Licenico is otheriviso impaired, prevented or limited, City shall have no obligation or (Jury to repair the damage or recrify rile Condirion to make the Liccnsc Ai ca usable ur safe. 4. Insurance. Licensee shall secure or cause its agents or contractors perforating any envy onto the License Area to secure, prior to commencing any activities under this Agreement, and maintain or cause to hC maintained during the term ol'this Agrccmcnt, insurance uweragc as follows: a. Commercial General T.iability Tnxurancc. Licensee shall maintain commercial general liability inset ance which shall include, but not be limited to, protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occun-coce al-Ning out ol'T.icensec Parties usC of Lhe License Area, includirt_„ rvilhouL limitation, acts City Council I at;c - vif7 — 4 5/18/2021 involving vehicles. The amounts of insurance shall be not less than the tollowiug: single limit coverage applying to bodily and personal injuly. includiny death resulting therefrom, and property damage, in the total xlruuant nl'`(;1,000,000 per occirn-enec and S2,000,000 ill the xga;regate. Such in.vin-auce shall (a) narnc the City, its officers, employees, agents, volunteers and represemativcs as additional insured(s); (b) be primary and not contributory with respect to insurance or sell -insurance plagrams maintained by the City; and le) contain standard separation of insureds provisions. b. Wurkcr s Compensation Tngulalrep as required by California law. c. Comprehensive Automobile Liability Coverage, including as applicable owned, non - owned, and hired autos, ill en amount of npt less than S 1,000,000 per ocau-rence, combined single limit, written in all occurrence form. 10. lndennuty. Licensee shall indemnify, dcfcnd, and hold hanntcss City, and its respeetivc agent, representative;, employees, subsidiaries and affiliates (`Covered Parties") trum and against any and all actions, suits, claims, dernands, judgments, losses, expenses, or liahilities, injuries and damages to person., and properly, including death, arising out of or rclalcrd to LlccnsCC's use of the Liccnse Arca, the entry by any Licensee Party on the License Area or surrounding property, or Licensee's breach or default in the performance of any of its obligations under this Agreement-, provided, however, that Licensee will nor be obligated to Indemnify the hovered PBrrlcs fl'otnl any elaltnls at'Ising solely from the groSS ncgl IgencC ur willful rniscunduct. ul'a C'bvCl-Cd Parly. Tf any actiun urproccctling is brought. again. L[ any Cuvcrcd. Party by rcasun of any such claim, Liccnscc, upon receipt of wiiunn notice from Covered Party, shall defend the same at Licensee's expense with legal counsel reasonably acceptable to Covered Party. Payment shall not be a condition precedent to recovery tutder any indemnification in this Agreement, and a finding of liability Of -.)It nhligalion to indcnulify shall notbe a condition prcccdcnlto the duty to defend. The provisions of this Scctiun 10 shall survive the lemrinaliun or expiration of lhis Agreeniclv.. IL Miscellaneous - I I I F.nrirc Anleernent Wniva-and Arncndmcnl_s. Thi Agrccmcnl incorporate: all of the terms and conditions mentioned herein, or incidental hereto, and supersedes all negotiations and previous agreements between the parties with respect to the subject matter of this Agreement. All waivers of the provisions ofthis Agreement must he in writing and signedby the appropriate authorities of the party to hC chargCd. Any alnicn(bnent of Inodlflcation to this AgicelnCnt must bC In wrltiM,1 alid CYCLLnCd by the appropnalc suthonticx oflhe City and T iccnscc I 17 Sevembility. If any term, provision, covenant, or condition of this Agreement is held by a court of competent jurisdiction to be invalid, void, or unenfiorceablo, the remaining provisions of he Agi "im:nr ,hall continue in full force and effect, unlesti and to the exrenr ncv rights and ubligatiun5 of one or boili parlics has bccn malcnally altered or ablidgcd by such holding. 113 No Assignment. Licensee shall not assign or transfer or otherwise convey any interest in this Agroomcnt to any party "1111rlut the express prior wl-iucn eonscm of City, which consent tnay be withheld in Ciiy's sole and absohnc discrclion. 11.4 Applicable Law. This Agreement shall be consnucd and enforced in accordance with the internal law. of the Stnre of California. 11.5 Liligation Expenses. If cilhcr party to this Agrccmctut commences an aclion against the other party to this Agreement arising Out of or in connection with this Agreement, the prevailing City Council I "t'" vif7 — 5 5/18/2021 party shall be entitled to recover reasonable attorneys' fees, expert witness fees, costs of investigation, and coat; of suit from the losing party. 11.0 Authoriiv. 'the persons execuling this Agcemcnt on behalf of the panics herclo represent and wan ant to the other party that they are duly authorized to execute and deliver this Agreement on behalf of such party, and by so executing this Agreement, said party is formally bound to thee provisions of rhk Agroomcnt. 11.7 Notices Any notices, requests, or approvals given under this A--Tecmcni from uric party to another shall be in writing and shall be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, by certified mail, return receipt requested, to the addresses of the ilther party as stated in this section, and shall he dctixned to have boon I cveived at the time of pe�onal delivery or three (3) bays alter the deposit for mailing, Notices shall be sent to: If to Licensor [Insert Fntity/Company name) Attn: [insert name] IInsert Strccl Address [City, State Zip Code] Ifto Ciry: Clerk of the Ciry Council City of Santa Ana 20 Civic CcntcrPlaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1989 II.R Fxccution in C'ounlcrParl.. This Atn-cernciu may be executed in several counterparts, and all so execiucd shall constitute one aiLTacment bindings on both oC the parties hereto, notwitlistanding that both parties are not signatories to the original or the same cotmterpatt. IN WITNFSS WHFRFOF, City and Licensee have emend into this Agrccmcnl as ol'Ihc day and year first written above. CITY OF SANTA ANA ATTEST Kristine Ridge City Manager APPROVED AS TO FORM Soma R. Canmlho City Attorney Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saha Exccutitc Director Public Works Agency Daisy Gomez Clerk of rho Council LICENSLE 13y: l rs: City Council 1 "t'" ml 7 — 6 5/1 S/2021 Finance and Management Services https://www.santa-ana.org/finance Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Recognition of Revenue for Certain Unclaimed Monies from Various City Funds AGENDA TITLE: Approve the Recognition of $241,876 of General Fund Revenue for Certain Unclaimed Monies from Various City Sources RECOMMENDED ACTION Approve the recognition of $241,876 of revenue in the General Fund for certain unclaimed deposits, as allowed by state law. DISCUSSION Annually, the Finance and Management Services Agency (FMSA) reviews a listing of unclaimed monies that are older than three (3) years. The nature of these monies includes unclaimed monies related to deposits, commissary account, and uncashed checks. State law allows the City to publish a notification of the unclaimed monies, offering the public an opportunity to claim them. In the absence of any claims, the City can recognize them as revenue. State law also allows the City to transfer unclaimed monies, held for a period of one (1) year, without publication for individual items $15 or less or any amount if the depositor's name is unknown. FMSA has identified $241,876.16 of unclaimed monies that can be recorded as revenue in the General Fund for the fiscal year ended June 30, 2021. The break-out of the unclaimed monies is as follows: Funds Greater Than $15 Amount Deposits held $212,974 Uncashed checks 28,460 Total $241,434 Funds $15 or less Amount Uncashed checks $ 442 Grand Total $241,876 City Council 18-1 5/18/2021 Recognition of Revenue for Certain Unclaimed Monies from Various City Funds May 18, 2021 Page 2 Due Diligence Efforts City staff reviewed and reconciled accounts with unclaimed monies in order to attempt to identify and reach out to the appropriate owners. To ensure the public was aware of the existence of unclaimed monies on file with the City, FMSA staff published a Public Notice (Exhibit 1) in the Orange County Register in March 2021 and April 2021 for two (2) successive weeks in accordance with the applicable Government Code sections. The City did not receive any inquiries regarding the unclaimed monies as a result of the publication. Part of the unclaimed monies included individual items that were less than $15. These monies were not included in the publication per Government Code section 50055. If the City Council approves the Recommended Action, unclaimed monies in the amount of $241,876 will be recorded as revenue in the General Fund, in accordance with the Government Code section 50053. Fiscal Year 2020-21 budget does not include any revenue estimate for unclaimed monies. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Unclaimed monies in the amount of $241,876 will be reclassified to the General Fund (account no. 01102002-57010 — Miscellaneous Recoveries). EXHIBIT 1. Public,- Notice Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 18 — 2 5/18/2021 1*:1:11-jIll il CALIFORNIA NEWSPAPER SERVICE BUREAU DAILY JOURNAL CORPORA I ION Mailing Address 91S E FIRST ST. LOS ANGELES. CA 90012 Telepnone (213) 229i5300 J Fax (213) 229.5481 Vlslt us (nil WWW.LEGALADSTORE.COM NORMA OROZCO SANTA ANA/CITY CLERK 20 CIVIC CENTER PLAZA M-30 SANTA ANA, CA 92701 COPY OF NOTICE Nntire Type- GPN GOVT PUBLIC NOTICE Dnclaimad monay 2021 Ad Description To the right is a copy of the notice you sent to us for publication in the ORANGF COUNTY RFGISTFR. Please read Ibis nolice carefully and call us with any corrections. The Proof of Publication will be filed with the County Clerk if rertuired and mailer) In you after the last date helnw. r'uhliratinn det6(s-) for this notice a (are)' 03/27/2021 . 04/03/2021 Thu chargu(s) for this urdLr Is as fulluws. An Invulcu will bu sunt after thL lasT date of publication. If you prepaid this order in full, you will not receive an Involco. Daily Journal Corporation Serving your cgal advonlslnq needs throughout Callfornla. Call your local RUSINFSS JOURNIAI . RIVFRSIDF (951) 764-0111 DAILY COMMLRCL. LOS ANGLLLS (213) 220-5300 LOS ANGELES DAILY JOURNAL L05 ANGELES (213) 22El-trM0 ORANGE COUNTY REPORTER. SANTA ANA (t14) b4J-202/ SAN FRANCISCO DAILY JOURNAL SAN FRANCISCO (300) 640-4829 gAN JOSF PUgT-RFC:ORD, SAN JOSF (4Um) 287-4b66 TV IF nAll Y RFCCRnFR, SACRAMFNTC) (915) 444="1" THE DAILY TRANSCRIPT. SAN DI EGO (619) 232-3183 THE INTER CITY EXPRESS. OAKLAND (510) 272 4747 CNS 345479A PUBLIC NOTICE cnmpininT nrd OF UNCLAIMED si,in s upon the MONEY FIELD YY CITY Treasurer. A CITY copy oI Toe R�JANTA npl Ulnr and on:t h.. This is n p!-bli( "avca within thirty notice that the City (!a) clays of Cl Santa And rccclvinr Trlc CITY's ("CITY" J 1, In r.ohCr. the claim was of certain r leered. Fnrrher rcfundnblc infnrmntinn ,m ennn!xtion with rcgnraing th �: the fnunwing list Unclaimecl Monies nomo uclow In nlc moy nc outalnca ttIIoI amount of Irarll the CITY n PProxlrnnTAv Trensurer, CITY of $241,434.30 The:: snntn Ann, 20 Cfvit d.pasitcrs arc no Crntcr Plnzn. Snntn longrr nn hic with Ana California The Uhy. 92702 Claims or lurther InlnYmaTlnn The above fund, re aTtd to lln, Inim zd Mon., (ollcrh: l(r*;(civcd may nlsn h- by the City nT Santa submittrcl by cmc.ii Ano. The iunds ncIYE To beer. dap,€itsd Into 1jccounhnrri4;arna- rhe CITY', onn. urg. dulynafed financial DEPOSITED Inetltatloh's funds FUNDS WITH THE as listed below CITY: ("lln[almEU Mnnle.."). Pil re:an,d Fund aid t Cnm: deecripticn In soctinn SnnSn t. o which hri are it is proposed the held, Arnaunt unclaimed Monies Uperahny rund. shall become the $71.09 PruperTY of the CITY wur Kers' on May 18, 2021. o)mpl:n:.ntinn Fnnd, won nos Ccntntissor, legalAnynnn,C a ego) clahrl to TILE Account ACCou nT Cun<I. ,lode) meU Monies: Ea,70a.1a rdwfile a written Wrier Cund, niin m with +bc City S:,2A.99 on or Rmd. b,To, MaI�ry 18, $1j,1"l at ire aciclre65 'IT The less Treosuie Treasurer's Wrenn, pravlaed below. The Cunrl, E;a,hi- rnh, Itit $212,9 4 Sd thY not of thm 1127,411121 (In claimont. the CN -3431 claimant's currrnT ORANGE CO ORANGE COUNTY address ana prone REGISTER nurr,ner, The 0111OIJ , clnlrnm, mv1 Ththe which Th, e rhdnim :s fnondnd. Ins CITYThe IrchtV Ycr Iles lightILII t0 110 demmla ITY Pond of I Ind t, and nthnr In, to isn only (in In only and moy accept (Ina he B reject a alm. i me Is rele It" E It" . nlrnara rnaY 'n.v MI. n wl lord s. or r,cow, rCCn ell1, aY a a rnoTEU port 41 no IIes the lCl line d Murde.. h1 ,,,-i a unlri ul nt Pi,,tit ti on within !oni 9c County ttia he serve U copy ci ire serve 18 — 3 5/18/2021 City Manager Office https://www.santa-ana.org/cm Item # 19 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Climate Resilience AGENDA TITLE: Receive and File Informational Report Relating to Climate Resilience Policies RECOMMENDED ACTION Receive and file an informational report relating to climate resilience policies. DISCUSSION Introduction At the March 2, 2021 City Council meeting, Councilmember Lopez added a discussion item to the meeting agenda: Disarss and Consider Directing City Manager to Direct Staff to Research and Bring to the City Council within 60 Days a Resolution Declaring a Climate Emergency, Committing to Policies Opposing Fossil Fuel Expansion and Accelerating the Clean Energy Transition as Part of the SAFE Cities Movement, and Endorsing the Call for a Global Fossil Fuel Non -Proliferation Treaty. While members of the City Council engaged in a thorough discussion about this topic, there was not a consensus among the City Council to move forward with a resolution for consideration. However, there was substantial discussion on this item and questions were posed to staff, including the following' (1) If cities not to use fossil fuels, what is the proposed energy material to be used to meet the City's energy needs? (2) What are the City's current energy costs for electricity and natural gas, on a yearly basis? (3) What is the cost to upgrade the City's existing utility infrastructure, to replace natural gas and other fossil fuels with electricity? (4) Where would the City look to pay for these initiatives? (5) What is the plan for resiliency in case of an emergency or natural disaster that disrupts the delivery of energy? Considering and responding to such questions would require a substantial amount of City resources (for example, funding to hire a series of third -party consultants to conduct a study and use relevant data to produce meaningful findings). At this time, there is no staff direction to conduct such a study. However, staff has prepared the following information to respond to the inquiries posed by members of the City Council. City Council 19 — 1 5/18/2021 Climate Resilience May 18, 2021 Page 2 Climate Change The term climate refers to the general weather conditions of a place over many years. For example, Santa Ana's climate is characterized by hot, dry summers and mild winters with moderate rainfall. The summer months of June to September average a daytime high of 83 OF and a nighttime low of 63 OF. The winter months of December to March average a daytime high of 70 °F and a nighttime low of 48 "F. Rainfall averages about 13.6 inches per year, most of which falls from November through April. While Santa Ana's weather may vary slightly over time, its climate generally remains consistent. This slight variation is more commonly associated with changes in the weather. Unlike slight changes in the weather, climate change is a significant variation of average weather conditions. Examples of climate change include conditions becoming warmer, wetter, or drier —over several decades or more. What differentiates climate change from natural weather variability is that climate change is longer -term. And while "climate change" and "global warming" are often used interchangeably, global warming —the recent rise in the global average temperature near the earth's surface —is just one aspect of climate change. Scientists attribute the global warming trend observed since the mid-201h century to the human expansion of the "greenhouse effect" — warming that results when the atmosphere traps heat radiating from Earth toward space. The greenhouse effect occurs when certain gases (commonly referred to as "greenhouse gas emissions") in the atmosphere block heat from escaping Earth, thereby raising Earth's overall temperature. Some of the most commonly occurring greenhouse gases are water vapor, carbon dioxide, methane, nitrous oxide, and chlorofluorocarbons. While the consequences of increasing greenhouse gas emissions are difficult to predict, below are likely consequences: On average, Earth will become warmer. Earth will experience more frequent extreme weather conditions, such as droughts, floods, wildfires, extreme temperatures, and more. • Warmer conditions will likely lead to more evaporation and precipitation overall, but individual regions will vary, some becoming wetter and others dryer. Elevated carbon dioxide levels may increase plant growth. However, other factors, such as changing temperatures, ozone, and water and nutrient constraints, may more than counteract any potential increase in yield. Among the evidence for rapid climate change is a global rise in temperature, the warming of the ocean, shrinking ice sheets, glacial retreat, decreased snow cover, a rise in sea level, declining Arctic sea ice, extreme events and ocean acidification. Observable evidence indicates that the net damage costs of climate change are likely to be significant and to increase over time. Climate change will certainly have a devastating impact on all of Earth's ecosystems. City Council 19 — 2 5/18/2021 Climate Resilience May 18, 2021 Page 3 Global Response to Climate Change: The Paris Agreement The 2015 Paris Climate Agreement generated strong momentum for global collaboration. The Paris Agreement is a legally binding international treaty on climate change. It was adopted by 196 parties in Paris on December 12, 2015 and entered into force on November 4, 2016. Its goal is to limit global warming to well below 2, preferably to 1.5 degrees Celsius, compared to pre -industrial levels. To achieve this long-term temperature goal, countries aim to reach global peaking of greenhouse gas emissions as soon as possible to achieve a climate neutral world by 2050. The Paris Agreement is a landmark in the multilateral climate change process because, for the first time, a binding agreement brings all nations into a common cause to undertake ambitious efforts to combat climate change and adapt to its effects. Implementation of the Paris Agreement requires economic and social transformation, based on the best available science. The Paris Agreement works on a five-year cycle of increasingly ambitious climate action carried out by countries. By 2020, countries submit their plans for climate action known as nationally determined contributions (NDCs). In their NDCs, countries communicate actions they will take to reduce their Greenhouse Gas emissions in order to reach the goals of the Paris Agreement. Countries also communicate in the NDCs actions they will take to build resilience to adapt to the impacts of rising temperatures. In the United States' NDC, the U.S. government is setting an economy -wide target of reducing its net greenhouse gas emissions by 50-52 percent below 2005 levels in 2030. To better frame the efforts towards the long-term goal, the Paris Agreement invites countries to formulate and submit by 2020 long-term low greenhouse gas emission development strategies (LT-LEDS). LT-LEDS provide the long-term horizon to the NDCs. Unlike NDCs, they are not mandatory. Nevertheless, they place the NDCs into the context of countries' long-term planning and development priorities, providing a vision and direction for future development. The U.S. set a goal of achieving an 80- percent reduction of greenhouse gas emissions by 2050 as part of its LT-LEDS. California's Response to Climate Change Among U.S. states, California has been a pioneer in advancing climate resilience policies, such as implementing the world's first vehicle emissions regulations in 1996, the 2006 Global Warming Solutions Act to return to 1990 emissions levels by 2020, Policies to double energy efficiencies in homes, factories, and businesses, and more. Moving past 2020 to 2030, former Governor Jerry Brown established an ambitious 2030 greenhouse gas reduction target of 40 percent below 1990 levels, offering policy approaches ranging from increasing the use of renewable energy, to sequestering carbon in lands, to reducing the petroleum used in the vehicle sector. Throughout the City Council 19 — 3 5/18/2021 Climate Resilience May 18, 2021 Page 4 state, individuals, communities, businesses and land managers are taking on the challenge to address these climate goals with grants and incentives from governments and foundations, and voluntary and regulatory action. More recently, on April 23, 2021, Governor Gavin Newsom took action to phase out oil extraction in California. More specifically, Governor Newsom directed the state's Department of Conservation's Geologic Energy Management (CaIGEM) Division to initiate regulatory action to end the issuance of new permits for hydraulic fracturing (commonly referred to as "fracking") by January 2024. Additionally, Governor Newsom requested that the California Air Resources Board (GARB) analyze pathways to phase out oil extraction across the state by no later than 2045. Under today's directive, CaIGEM will immediately initiate the rulemaking to halt the issuance of new hydraulic fracturing permits by 2024- Additionally, CARB will evaluate how to phase out oil extraction by 2045 through the Climate Change scoping plan, the state's comprehensive, multi -year regulatory and programmatic plan to achieve required reductions in greenhouse gas emissions. Addressing Climate Change in Santa Ana Climate Action Plan The City of Santa Ana has taken steps to reduce greenhouse gas emissions and conserve resources citywide. As a result, Santa Ana's per capita emissions are lower compared to other California cities and the State. Energy efficiency and sustainability have been guiding principles to ensure that the actions taken today preserve the ability to meet the needs of future generations. In 2014, the Santa Ana City Council adopted the following emissions reduction goals: For community -wide emissions, the reduction goal is 15 percent below the baseline year 2008 by 2020, and 30 percent below the baseline year 2008 by 2035. • For municipal operations emissions, the reduction goal is 30 percent by 2020 and 40 percent by 2035. Consequently, in December 2015 the Santa Ana City Council adopted the Santa Ana Climate Action Plan. The purpose of the Climate Action Plan is to develop and implement strategies to reduce greenhouse gas emissions from City operations and the community. These strategies include using energy and water more efficiently, increasing renewable energy, enhancing access to sustainable transportation modes, recycling waste, and building sustainable communities. These actions benefit the community by boosting the local economy, reducing traffic congestion, improving air quality, lowering energy use and cost, and improving the quality of Iife.The Climate Action Plan represents the City of Santa Ana's commitment to improving quality of life by reducing carbon pollution, both from its own operations and from the community as a whole. City Council 19 — 4 5/18/2021 Climate Resilience May 18, 2021 Page 5 The Climate Action Plan identifies a comprehensive list of calculated measures to reduce greenhouse gas emissions. Below is a summary. Transportation and Land Use Measures • Development of local retails service nodes • Local residential nodes near retail and employment • Traffic signal synchronization program • Local employment nodes near residential and retail areas • End of trip facilities in new projects • Safe routes to schools • Design guidelines for external and internal bike/pedestrian/transit connectivity • Adjust parking ratios • Communitywide bike sharing stations • Municipal operations measures Communitywide Energy Measures • Property assessed clean energy (PACE) Financing --Commercial and Residential SCE Small and Medium Business Direct Install • Solar photovoltaic systems - new private installs • SCE and SCG residential and commercial programs Weatherization Streetlight purchase and retrofit • Benchmarking and retrocommissioning Title 24 energy efficiency standards - commercial and residential • Solar hot water heating systems for laundromats Green business challenge program • Municipal operations measures Municipal Operations Measures Building energy efficiency retrofits Street lighting LED retrofits • Retrocommissioning • Water pump retrofits Solar photovoltaic systems Vending machine retrofits Solid Waste, Water, and Wastewater Measures • AB 341 commercial and multifamily recycling • Food waste digestion Rainwater harvesting • Turf removal City Council 19 — 5 5/18/2021 Climate Resilience May 18, 2021 Page 6 The implementation of these measures are on -going. Through staffing, partnerships, outreach, education, and evaluation, the City will continue its work toward achieving its greenhouse gas emissions reduction goals. Draft General Plan Update and Conservation Element In addition to the Climate Action Plan, the City's Draft General Plan Update includes policies and implementation actions that promote sustainability and furthers the City Climate Action Plan objectives. For instance, Sustainability is one of the five community Core Values within the Draft General Plan, described as follows: "Santa Aria values land use decisions that benefit future generations, plans for the impacts of climate change, and incorporates design practices at all levels of the planning process". The draft Conservation Element is an example of the proposed policies and actions that support environmental sustainability and the CAP objectives. These include implementation actions regarding air quality planning, encouraging LEED (Leadership in Environmental Design) / Envision certification of buildings, updating the Citywide Design Guidelines to include energy conservation principles, partnerships for funding energy projects, exploring clean alternative energy technologies, and reducing the carbon footprint through the expansion of the City's urban forest. The City continues to be engaged in federal, state, local, and applicable laws and regulations relating to climate resilience. ENVIRONMENTAL IMPACT As this item is an informational report only, an environmental impact analysis has not been completed. FISCAL IMPACT As this item is an informational report only, there is no fiscal impact associated with it. EXHIBIT(S) Submitted By: Kristine Ridge, City Manager Approved By. Kristine Ridge, City Manager City Council 19 — 6 5/18/2021 Public Works Agency https://www.santa-ana.org/pw Item # 20 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Memorial Plaque AGENDA TITLE Approve Installation of Memorial Plaque Honoring Charlene Hansen RECOMMENDED ACTION Approve the installation of a memorial plaque in the public right-of-way at the southeast corner of Civic Center Drive and Lacy Street honoring Charlene Hansen. DISCUSSION The Civic Center Bike Boulevard project, bounded by Broadway Street to the west and Santiago Street to the east, was designed to improve the safety of pedestrians and those that travel by bicycle. The project's primary goal is to promote the concept of 'sharing the road' and thus encourage multimodal transportation. While still accommodating vehicle traffic, the street improvements were designed to encourage a neighborhood -oriented feel and increase the quality of life for residents. On June 17, 2017, Santa Ana resident Charlene Hansen passed away as a result of a pedestrian -auto accident while crossing the street at the intersection of Civic Center Drive and Lacy Street, which is at approximately the mid -point of the project. A life-long resident of the City of Santa Ana, Ms. Hansen was a prominent and highly regarded community member and worked for the Postal Service for over 30 years, delivering mail to the Floral Park area where her grandparents once lived on Heliotrope Drive. She lived in an apartment which overlooked her childhood home on Lacy Street and was 71 years young when she passed. A local community organization has requested the Civic Center Bike Boulevard project include a plaque in the public right-of-way at the southeast corner of Civic Center Drive and Lacy Street to honor Ms. I lansen's contributions to the community and acknowledge the traffic safety enhancements and awareness brought about by the project. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. City Council 20-1 5/18/2021 Approve Installation of Memorial Plaque May 18, 2021 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Funds for the procurement and installation of the plaque are available through the Civic Center Bike Boulevard project appropriation. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By. Kristine Ridge, City Manager City Council 20 — 2 5/18/2021 Police Department https://www.santa-ana.org/pd Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Contract for Modular Restroom Building at the Centennial Park Police Department Training Facility AGENDA TITLE: Award a Contract to Pacific Mobile Structures, Inc. for a Modular Restroom Building at the Centennial Park Training Facility for a Five -Year Period in the Amount of $126,758 (Specification No. 21-057) (General Fund) RECOMMENDED ACTION Award a contract to Pacific Mobile Structures, Inc. for the lease of a new modular restroom building at the Centennial Park Training Facility, for the period of June 1, 2021 through May 31, 2026, in an amount not to exceed $126,758, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION At the May 4, 2021 meeting, members of the City Council requested additional information relating to the use of the Centennial Park Training Facility, including restrooms, and requested that this item be continued for two weeks. Attached is a detailed summary of the use of the Centennial Park Training Facility (Exhibit 1). The Centennial Park Training Facility is located on the south/west corner of Centennial Park and is utilized by the Police Department, Parks and Recreation Department, Orange County Fire Authority, and the Public Works Department to train personnel in various disciplines. On average, the Centennial Park Training Facility is reserved for use fifteen (15) days per month. The Santa Ana Police Department Training Division utilizes the Centennial Park Training Facility to provide Police personnel throughout the County with continuous professional training, as required by the California Police Officer Standards and Training. Additionally, the Training Division regularly hosts police training presented by outside inslruclors. Finally, the Human Resources Division also utilizes the facilily to conducl testing for police applicants. To provide this training, the Training Division requires safe, working restroom facilities for instructors and course attendees. The current rnodular restroom building was installed over 15 years ayo, and despite City Council 21 —1 5/18/2021 Contract for Modular Restroom Building at the Centennial Park Police Department Training Facility May 18, 2021 Page 2 numerous repairs through normal wear and tear, has reached a point where it is no longer serviceable and is in need of replacement. In researching options for replacing the existing modular restrooms, the Santa Ana Police Training Division has determined the best option is to lease a new modular restroom building for a period of five years, rather than purchasing the mobile structure. The Police Department Training Division plans to conduct future improvements to the training facility and leasing the mobile structure offers flexibility in future improvement design and layout. The restrooms are modular and can be relocated if needed. However, there will be an expense to relocate water, sewer and electrical. The contract includes a monthly lease amount of $1,729.81, a $7,474.56 startup charge, a $3,971.56 end of lease charge, and a $11,523.48 contingency for cost of repairs that may fall outside of the vendor's standard warranty. Purchasing and Police Department staff reviewed procurement options for modular restroom buildings. The Pacific Mobile Structures, Inc. and The Interlocal Purchasing System (TIPS) cooperative agreement was selected based on their competitive pricing, service levels, and product offering that meets standardized equipment requirements. Santa Ana Ordinance No. NS-2312 authorizes the City to utilize purchase contracts from any public agency employing a competitive bid process. TIPS has awarded an agreement for portable modular buildings and made it available to public agencies. Utilizing the contract awarded to Pacific Mobile Structures, Inc. will ensure efficient procurement of a replacement modular restroom building. FISCAL IMPACT Funds for [his contract in [he amount of $126,758 are available in [he Police Department's Training Division contract services account (no. 01114410 62300), and will be budgeted in future fiscal years as follows: Accounting Unit - Accounting Unit, Account Fiscal Year Account# Description Amount 01114410 62300 Training Division, Contract $9,396 FY 2020-21 Services 01114410 62300 Training Division, Contract $23,062 FY 2022-23 Services 01114410 62300 Training Division, Contract $23,062 FY 2023-24 Services 01114410 62300 Training Division, Contract $23,062 FY 2024-25 Services 01114410 62300 Training Division, Contract $23,062 FY 2025-26 Services City Council 21 — 2 5/18/2021 Contract for Modular Restroom Building at the Centennial Park Police Department Training Facility May 18, 2021 Page 3 01111410 62300 Training Division, Contract FY 2026-27 1 Services $25,112 Total 126,758 EXHIBIT(S) 1. Summary of the Use of the Centennial Park Training Facility Submitted By: David Valentin, Police Chief Approved By. Kristine Ridge, City Manager City Council 21 — 3 5/18/2021 Training Division TO: Chief D. Valentin (via the chain of command) FROM: Commander M. Sorenson DATE: May 5, 2021 SUBJECT: Centennial Park Training Facility Purpose The purpose of this memorandum is to provide context regarding the usage of the Centennial Patio Training Facility, the demonstrated benefits of utilizing the location, and the necessity for improving the facilities. Racktround hi 1991, the iJ-S. Department of Education deeded a parcel of land, located in Lhe south/west corner of Cetucvnial Park, to the City of Santa Ana for educational purposes. At that time, the Santa Ana Fire Department assumed operational control of the location and developed a 1.2-acre piece of the parcel to conduct training. Originally designated as the Santa Ana hire Training Facility, the Centennial Park Training Facility provides City personnel with a secured location to conduct training in various specialties. In 2013, with the dissolution of the Santa Ana Fire Department, the Police I elftrnent, in conjunction with Parks and Recreation, assumed operational control. The facility consists ol'a developed and undeveloped area. The developed area is 1-2 acres and consists of a concrete pad with two bungalow classrooms and a single mcri's/woman's restrootn bungalow. Additionally, on the north side of the complex sits a facility housing a portion of the Parks and Recreation Departmprt. Finally, there are eight Conncx boxes on the grounds used to ,tore equipment liar the Homeland Security, Training, Field OperaLions Divi,ion,, anti the Orange County Fire AuthoriLy- Factllty L1sa(,c The following City departments utilize the Centennial Turk Training Facility: 1) Police. 2) Public Works, and 3) Parks and Recreation. Tn addition, the Orange County Fire Authority conducts training at thee facility, and the Human Resources Division conducts rrtonthly physical agility testing, interviews, and background pre-screening at the facility. Lastly, the Police Department Training Division uses the facility to host courses from inside and outside presenters that Lure open to all law enforcement personnel throughout the County and State. For example, in 2021, county -wide training in Tactical Emergency Casualty Care and Basic huelview and Interrogation occurred- For linthcr details regarding, the facility usagC, see the attached annual report Deputy Chief Cionrinsky submitted to the U.S. Department of F.ducation. Facility Renetits The sizC, and cotrrbination of open area with available classrooms, offers several benefits to training for those who utilize it. The concrete pad provides enough room for the Police Department, Orange County Fire Authority, and other City departments to conduct behind -the - wheel drivers training- This type of training is critical to reducing the liability associated with vehicle operations. Additionally, effective in July 2021, the California PohCC Officer Standards allac �•tcr t}y�� s 11 will rcgturc all police litncCr o_a can uenrnu-Lnc-wnca - IT6), hang iusteail'o CCriving Simulation. While behind -the -wheel drivers uaiuing is a new requrrenient for POST, the Police Departinew began conducting the Graining in 2019. I ollowing the training, Police Department vehicle collisions in 2020 dropped 33% when compared to 2019. Additionally, at -fault crashes dropped 44% during the same period. In 2018, the Policc Department assessed its training* program and identilicd improvements. First and tirretnost, the Division implemented scenario -based situarional training involving role players. The Division also determined that students are more engaged when the instnrctors divide the students into smaller groups and rotate students from scenario to scenario_ Training topics undertaken in this manner include. interpersonal unnnuulications, critical incident response, scenec supervision, arrest and control techniques, and tactical repositioning. The Training Division presents tare above curriculum in support of the Department's de-escalation strategy_ The Department's focus on this type of training resulted in a 14`/o rcductinn in the use of Rtrce, a 22% reduction in community member injuries, and a 26% reduction in officer injuries between 201() and 2020_ As the statistics show, conducting training in thin manner is hugely infhicntial but requires significant space to prevent intertcrenee trom one sintatioa to another. Facility Ituyrovenrent Needs The Centennial Park Training facility is an important training location for several stakeholders; howcvct, the facilities have aged and prescnt salcty conccros. The Policc Department Training Division has taken stops to improve the classroom and restroorn bungaloN s. Improvements include repainting the structures, shoring tire ramps required for ADA access, and replacing student chairs and de,ks. Hie Training Division conducted the improvements above without inclining additional costs to the City or Deptu-ument_ l'he area of remaining concern is the testroom bungalow. It has sustained Weather -related damage, which resulted in root' leaks degrading the Iloor structure. While the Police Department took steps to repair the roof and flooring, it is to the point that replacement is necessary to reduce the risk of attendee in The Training Division conducted extensive research and weighed various replacement options. Ultimately, we determined leasing a new restroorn bungalow was the most fiscally responsible option that meets the needs of all who utilize the facility. Fiscal Impacts of Restroom Replacement The total cost of a 5-year lease is %126,759.00. The chart below illustrates the fiscal impact by fiscal year. Fiscal Year Accounting Unit, Account Description Amount FY 2020-21 Training Division, Contract Services $9,398 FY 2022-23 Training Division, Contract Services $23,062 FY 2023-24 Training Division, Contract Services $23,062 FY 2024-25 Training Division, Contract Services $23,062 FY 2025-26 Training Division, Contract Services $23,062 FY 2026-27 Training Division, Contract Services $25,113 Total 126,759 Funding for the project is available in the Training Division's contract services account and will not require a budgetary increase over the lease agrecrnerrt term. City Council 21 — 5 5/18/2021 Conclusion Lffective, documented, and verifiable training of employees is critical to reducing a City's liability, Locations to condnct training. particularly police training, are in limited supply and typically come at a cost when available. The Centennial Park Training Facility meets the training, uccds of scvcral slakcholdcrs at a mcagCr pticc to the City and various Departments that Ilse it. Maintaining the developed area as a training facility benefits those that Ilse it and, ultimately, the community we serve. Stilh the facility s age necessitates infrastntcture improvements to ensure safety and reduce risk. Respectfully suhmitted, Mat Sol erison Training/HR Division Commander Auachmem Rcpurt Of to the US Dcpl_ of Cducatiun 2/20-3/21 City Council 21 — 6 5/18/2021 MAYOR Vicente Sarmicnto MAYOR PRO I EM David Penaloza COUNCILMEMBERS Phil Bacerra Johnathan Hyan I Icrnandcz Jessie Lopez Nelida Mentl07a Thai Viet than CITY OF SANTA ANA POLICE DEPARTMENT 60 Civic Centcr Plaza • P.O. Box 1981 Santa Ana, Cslifnrnia 5)2702 vmv. sa nta-ana.ora/od March 4, 2021 Barbara L. Shawyer Federal Rcal Property Assistance Program U.S. Department of Education 400 Maryland Avenue, SW, 2C123 Washington DC, 20202-4553 Dear Mrs. Shawyer, CITY MANAGER Kristine Ridgc CI I Y A I I OHNEY Sonia R. Carvalho CLERIC OF I HE COUNCIL Daisy Gornez Enclosed is the City of Santa Ana Police Department's Annual Report for the year of March Sth 2020 through March 5th 2021, regarding property utilization of the parcel that was deeded to the City of Santa Ana on March 7th, 1991. The property was formerly identified as. "FCC Monitoring Station." In the 2020/2021 reporting period, the Department has continued to operate the location as a Regional Law and Fire Training Facility. Didactic training sessions take place in one of two classrooms, and manipulative law -fire ground evolutions take place outdoors on the tarmac and dirt areas. This facility continues to allow both public safety entities to offer educational opportunities to not only our agencies but to regional partners. Over the course of the above listed time frame, training that has occurred at the location consisted of the below: • COSA - Class B Driver Training • C'OSA - Santa Ana Backhoc Operator "'mining • OCFA -Mass Casualty Trio-��=e Training • OCFA - Multi-C:innpany Commercial Fire IYaining • OCFA - Residential Nig}tt-Time StiveRu'c Fire Tritiiiing City Council SANTA ANA CITY F4jLJN(L L 5/18/2021 \G[ .l..t m�INaYnf 01.I tI PIn.91- Tn.IIVIE,.. Pn],l xLnp... P,11 E,,.,.t I�Ta M1In Ry.,, ri.:Onne1G N M:nnO, :. Mavof Yfo Lm, 4V.lr[IG W9mt W9mL Wam9 W9Mu WaaG ean,�un,cPPao ttapnaxn menal.,+aCLwnre-Pn0.orn to .nnPRaFlnraa,aovl iaaalal,ra')DAP Ird-anpl+,!I f+wte a(Lau rte P,a! wan -,a ao d�ae„eaw.-,n� +n,g,pontapna,m� • OCFA - Santa Ana College Fire Academy Rope Rescue • OCFA - SCBA & Sclf-RCSCLIc. Training • SAPD - Active Shouter Response Training • SAPD - .Arrest Control "I'cchniqucs IYaining • SAPD - RANI Interview/Interrofrations Course • SAPD - Correctional Officer I esling • SAPD - Crimc Sccnc Tnv. Drivcr Training • SAPD - Ca isis Negotiations Training • SAI'D- Fxplorer Post Meeting • SAPD - Field I raining Officer Fraining • SAPD - Jail Transport Scenario Training • SAPD - New Officer Orientation • SAPD - Parent Academy 7 raining Day • "AN) - PerishableSkills Iraining • SAPD - Pre-Finploynrent Training Class • SAPD - Recruit Acadcmy Training • SAPD - Sergeams Training • SAPD-SWAl lraininz) • SAPD - Tactical F.nrergency Casually Care • SAPD - Tactical Movement and Clearing Course Official Training Schedule (Formal Training): Year Date Field q of Persons Formal/Informal TrainedClass Trained 2020 3/5/2020 COSA Class B Driver I raining Emergency 14 Manapement FORMAL 2020 3/6/2020 COSA- Class B Driver Training Emergency 14 Man anent FORMAL 2020 3/7/2020 OCFA -SCBA&Self-Rescue Training Fire 24 FORMAL 2020 3/8/2020 SAPD- Tactical Emergency Casualty Care Law 25 FORMAL 2020 3/9/2020 COSA- Class B Driver Training Emergency 12 Management FORMAL 2020 3/10/2020 COSA- Class B Driver Training Emergency 12 Management FORMAL 2020 3/10/2020 OCFA- Mass Casualty Triage Training Fire 24 FORMAL 2020 3/11/2020 COSA- Class B Driver Training Emergency 12 Mangernenl FOHIVIAI 2020 3/11/2020 1 OCFA- Mass Casualty Triage Training Fire 24 FORMAI 2020 3/12/2020 COSA- Class B Driver (raining Emergency 1212 FORMAL )WO 3/12/2020 OCFA- Mass Casually Triage Training Fire 24 FORMAL City Council SANTA ANA CITY 4�UN(k 5/1 S/2021 Tnd.. vlra FAOA 1. -1'.., 1,1 Ell n "I,In'..I,..I Ry. n X.x1 n1, MTver M9vnrvm lCm warm \v.lrnI w9n lr w9m] w9mb vv9m f, vaamaanu�Cn+xprr>onpnm ln= 11 1 Will .un 1Alr oTap,rn ena.uo 0 FlzmuPpaFl,rua a r, 2020 3/13/2020 COSA- Class B Driver (raining Emergency 12 Management FORMAL 2020 3/13/2020 OCFA- Mass Casualty Triage Train ing Fire 24 FORMAL >0>0 3/16/2020 COSH - Classes Driver Training Emergency 16 Management FORMAL 2020 3/16/2020 OCFA- Mass Casualty Triage Training Fire 24 FORMAL 2020 3/16/2020 OCFA- Santa Ana College Fire Araderny Fire Rope Rescue 24 FORMAL 2020 3/17/2020 COSA- Class R Driver Training Emergency 1616 FORMAL 2020 3/17/2020 0(=FA-Mass Cd5Udlty Iriage Iraining Fire 24 FORMAL 9090 3/18/2020 C.O SA - CIaL+ H D_rTraining Emergencyver 16 Mana ement FORMAL 2020 3/18/2020 OCFA- Mass Casualty Triage Training Fire 24 FORMAL 2020 3/19/2020 COSA Class B Driver Training Erergen(y 16 Mana gernenl FC)RMAI 202o 3/19/2020 OCFA- Mass Casualty Triage Training Fire 24 FORMAL 2020 3/20/2020 COSA- Class B Driver Training Emergency 16 Management FORMAL 2020 3/20/2D20 OCFA- Ma, Cdhrially TridBe Trainin8 Fire 24 FORMAL 2020 3/21/2020 OCFA- Residential Night -Time Structure Fire Fire Training 41 FORMAL 2020 3/23/2020 COSA- Class B Driver Training FrneBenry 12 Management FORMAL 2020 3/24/2020 COSA- ClassB Driver Training EmergencyManagement 12 FORMAL 2020 3/24/2020 SAPD- Crime Sr:ene Inv. Driver Training Law 10 FORMAL 2020 3/2S/2020 COSA- Class B Driver Training Emergency 12 Management FORMAL 2020 3/26/2020 COSH - CIassRDrivcr Training Emergency 12 Management FORMAL )WO 3/27/202D COSA- ClassHDriver Training Emergency 1) Management FORMAL 2020 3/30/2020 COSA Class B Driver Training Fmergency 14 Management FORMAL 2020 3 31 2020 / / COSA- Class R Driver Irainin . g Emergency 14 Management FORMAL 2021) 4/1/2020 COSA Class B Driver Training Emergency 14 Management FORMAL 2020 4/2/2020 COSA- Class B Driver Training Emergency 14 Mmiagcmcnt FORMAL 2020 4/3/2020 COSA - Class B Driver I raining Emergency 14 Management FORMAL 2020 4/27/2020 SAPD Recrulr Academy Training Law 30 FORMAL 7090 4/28/2020 SAPID- Rerruil Arademy l raining Law 30 FORMAL 900 4/29/2020 SAP)- Recruit Araderny Training Law 30 FORMAL 7020 4/30/2D20 SAPD- Recruit Araderny Trainin8 Law 30 FORMAL 2020 S/1/2020 SAPD- Rerruit Arademy Training Liw 30 FORMAL 2020 5/4/2020 SAPD- Recruit Academy Training law 30 FORMAL 2020 5/S/7070 OCFA - Santa Ana College Fire Academy Fire Rope Rescue 24 FORMAL 2020 S/S/2020 SAPD- Recruit Academy Training Law 30 FORMAL City Council INTVGr M9vnrVm lcm WamL vaPrinla m�Ple+xpV>o.arn r-naLvafnaa irtranaon SANTA ANA CITY F4UN(� 5/18/2021 TI, VIEI 1p1� Pet Ell I !'r,1,.I,..1 fly. n X.x1n11. M1^L �rA lnp.o_i w.rrn wrrn:r w.im w.im vv.im r, Will ariarn 2020 5/6/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 5/7/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 5/8/2020 SAPID Recruit Academy Training Law 30 -ORMAI 2020 2021) 5/11/2020 5/12/2020 SAPU Recruit Academy (raining SAPU Hccruit ALadcniy Iraining Law Law 30 30 FORMAL FORMAL 2020 5/13/2020 OCFA-Santa Ana College Fire Academy Rn a RpPrue Fire 24 FORMA( 2020 5/13/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 5/14/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 S/1S/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 S/19/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 5/20/2020 SAPID Rocruil.Acadunry Training Law 30 FORMAL 2020 5/21/2020 SAPU- Recruit Academy l raining Law 30 FORMAL 2020 2020 S/22/2020 5/22/2020 OCFA - Santa Ana College Fire Academy Rope Rescue SAPID - RCCftuL Academy Training Fire Law 24 30 FORMAL FORMAL J09U 5/24/2020 SAPD- Recrui l Academy Training Law 30 FORMAL 2020 5/25/2020 SAPU- Recruit Academy Training Law 30 FORMAL 2020 5/26/2020 SAPD- Recrult Acaderny Training Law 30 FORMAL 2020 S/28/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 S/29/2020 OCFA - Santa Ana College Fire Academy Rope Rescue Fire 24 FORMAL 2020 5/29/2020 SAPU HucruiLALadcnry Raining Law 30 FORMAL 2020 6/1/2020 SAPU- Recruit Acaderny Iraining Law 30 FORMAL 6/2/2020 OCFA - Santa Ana College Fire Academy202U Rope Rescue Fire 24 FORMAL 2020 6/2/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 1 6/3/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 6/4/2020 SAPU- Recruit Arademy Training Law 30 FORMAL 2020 6/5/2020 SAPID- Recrult Academy Training Law 30 FORMAL 2020 6/8/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 6/9/2020 SAPD- Recruit Acaderny Iraining Law 30 FORMAL 2020 6/10/2020 SAPD- Hecruil. Acaderny Iraining Law 30 FORMAI 2020 6/11/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 6/12/2020 SAPD Recruit Academy Training Law 30 FORMAL 2020 6/15/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 6/16/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2D20 6/17/2020 SAPID Recruit Acadcmy Training Law 30 FORMAL 2020 6/18/2020 SAPID Recruit Academy Training Law 30 FORMAL 2020 2020 6/19/2020 6/22/2D20 SAPU- Rperuit Academy Training SAPD- Recruit Academy Training Law Law 30 30 FORMAL FORMAL 2020 6/23/2020 SAPID- Recruit Academy Training Law 30 FORMAL 2020 6/24/2020 SAPD- Recruit Academy Training Law 30 FOHIVIAI 2020 6/25/2020 SAPD- Recruit Academy Training Law 30 FORMAL City Council SANTA ANA CITY FY] JN(jL0 Pr n.l n,.l T,1 v:. rI Pp.11t L IN.lvcr M.lvnrvm Icm warm Av.lrn l warn lr �aemaa mlCn+enV>olprt-, r-war.+cfnaa lrtranao,-, Will aanr.ae lFl ,un 1Alr Tap ire ena.>n, 5/18/2021 PI.I Ell:1 .!nil. 1,.. l,..1 fly. 1X.::.1nn11i wam wam vvam r, o Fl�mePDaFl aea e no6Ree to pie cm. ., mcoeaneFl ate a,p wn 2020 6/26/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 6/29/2020 SAPD Recruit Acatlemy Training Law 30 FORMAL 2020 6/30/2020 SAPD- Recruit Academy Training Law 30 rORMAi 2020 2020 7/1/2020 7/2/2020 SAPU Recruit Academy (raining SAPU RCErult Academy Iraining Law Law 30 30 FORMAL FORMAL 2WO 7/3/2020 SAPD - Reeruil Academy Training Law 30 FORMAL 2100 7/6/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/7/2020 SAPD- ReCruil. Acaderny Training Law 30 FORMAL 7020 7/8/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/8/2020 SAPD-SWAT Training Law 42 FORMAL 2020 7/9/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/9/2020 SAPD-SWAT Training Law 42 FORMAL 202o 7/10/2020 SAPD Recruit Academy Training Law 30 FORMAL 2020 7/13/2020 SAPU-RAII Interview/Interrogations Course Law 25 FORMAL 2020 7/13/2020 SAPD- Recruit Academy Training Law 30 FORMAL 7020 7/14/2020 SAPD BATI Interview/Interrogations Course I aw 25 FORMAL 2020 7/14/2020 SAPD- Recruit Acaderny Training Law 30 FORMAL 2020 7/1S/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/16/2020 SAPD- Recruit Academy Training. Iaw 30 FOHIVIAL 2020 7/17/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/20/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/21/2020 SAPD Recruit Academy TraininE Law 30 FORMAL 2020 7/22/2020 SAPD Recruit Academy Training Law 30 FORMAL 2020 7/23/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/24/2020 SAPU RecruiI.Acodcmy Troining Law 30 FORMAL 2020 7/27/2020 SAPD- RecruitAcademvTraining Law 30 FORMAL 2020 7/28/2020 SAPD-Recruit Acaderny Training Law 30 FORMAL 2020 7/29/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 7/29/2020 SAPD -Tactical Movement and Clearing Course Law 2S FORMAL 2020 2020 7/30/2020 7/31/2020 SAPU Recruit Academy Iraining SAPD Recruit Academy Training Law Law 30 30 FORMAL FORMAL 7D70 8/3/2020 SAPD- Recruit Acaderny Iraining Law 30 FORMAL 2020 8/4/2020 SAPD- Recruit Acaderny Iraining Law 30 FORMAI 2020 8/S/2020 SAPD- Recruit Acaderny Training Law 30 FORMAL 7020 8/6/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 8/7/2020 SAPD- Recruit Academy Training Iaw 30 FORMAL 2020 8/10/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 8/11/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 8/12/2020 SAPU- Recruit Academy Training Law 30 FORMAL 2020 8/13/2020 SAPD- Recruit Academy Training Law 30 FOR City Council INTVGr M9vnrem Icm WamL vaPrinla m�Ple+xpV>o.arn r-naLvafnaa rirranaon SANTA ANA CITY F4 5/18/2021 TI, VIEI 1p1n Pet Ell( "1, 1, 1,..1 fly. 1X.::.1n11, M1^L rrA lnp.o_i w.rrn wrrn:r w.im w.im vv.im r, 1 npncRaam.:enasun aAlr r, 2020 8/13/2020 SAPD - SWAT Training Law 42 FORMAL 2020 8/11/2020 SAPD Recruit Academy Training Law 30 FORMAL 2C20 8/17/2020 SAPD- Recruit Academy Training Law 30 FORMA( 2020 2020 8/18/2020 8/18/2020 SAPU Recruit Academy (raining SAPD Recruit ALadcrny Iraining Law Law 30 30 FORMAL FORMAL )WO 8/18/2020 SAPD- Retruil A(aderny Training Law 30 FORMAL )WO 8/19/2020 SAPD- Retruil Academy Training Law 30 FORMAL 2020 8/20/2020 SAPD- Retruil Ataderny Training Law 30 FORMAL 2020 9/21/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 8/24/2020 SAPD- Recruit Academy Training law 30 FORMAL 2020 8/25/2020 SAPD- Recruit Academy Training Law 30 FORMAL 2020 8/25/2020 SAPD- Tactical Emergency Casualty Care Law 2S FORMAL 2C20 8/26/2020 SAPD Recruit Academy Training Law 30 FORMAL 2020 8/27/2020 SAPD Rcciuit Academy Training Law 30 FORMAL 2020 8/28/2020 SAPD- Rocrult Academy Training Law 30 FORMAL 2o2o 8/29/2020 OCFA- Multi -Company Commercial Fire Trainln Fire SO FORMAL 2020 8/30/2020 OCFA Multl Company Commercial Fire Training Fire 50 FORMAL 2020 9/31/2020 SAPD- Tactical Emergency Casualty Care Law 2S FORMAL 2020 9/1/2020 SAPD- Tactical Emergency Casualty Care Law 25 FORMAL 2020 9/4/2020 SAPD- Tactical Emergency Casualty Care Law 25 FORMAL 2020 9/8/2020 SAPD- Tactical Emergency Casualty Care Law 25 FORMAL 2020 9/14/2020 SAPD Tactical Emergency Casualty Care Law 2S FORMAL 2020 9/21/2020 OCFA Mass Casualty Triage Training Fire SO FORMAL 2020 9/21/2020 SAPD- Tactical Emergency Casualty Care Law 2S FORMAL 2020 9/22/2020 OCFA Mass CasualLy Triage Training Fire 50 FORMAL 2020 9/23/2020 O(=FA-Mass Casually Triage Training Fire 50 FORMAL )W0 9/24/2020 OCFA- Mass Casually Triage Training Fire 50 FORMAL 2020 9/28/2020 SAPD- Perishable Skills Training Law 60 FORMAL 2020 9/28/2020 SAPD- Tactical Emergency Casualty Care Law 2S FORMAL 2020 2020 9/29/2020 9/29/2020 COSA - Santa Ana Backhoe Operator Training SAPD Pcrishablc Sl(ills Training COSA Law 35 SS FORMAL FORMAL )DAD 9/30/2020 SAPD- Perishable Skills Iraining law SS FORMAL 2020 10/1/2020 SAPD- Perishable Skills Iraining Law 54 FORMAI 2020 10/2/2020 SAPD- Perishable Skills Training Law SS FORMAL 2020 10/S/2020 SAPD - Perishable Skills Training I aw S6 FORMAL 2020 10/6/2020 SAPD - Perishable Skills Training Law 57 FORMAL 2020 10/7/2020 SAPD- Perishable Skills Training Law 55 FORMAL 2020 10/8/2020 SAPU- Perishable Skills Training Law 55 FORMAL 2020 10/9/2020 SAPU- Perishahle Skills Training Law 55 FORMAL 2020 10/12/2020 SAPD- Perishable Skills Training Law 60 FORMAL City Council SANTA ANA CITY UN(11.2 D.-vlPr n.l n,.l T,1 v:. rI Pp.ln IN.lvcr M.lvnrvm Icm warm Av.lrn l wlrn lr �aamaa mlCn+xnV>olprt-, r-wlr.+cfnaa lrtranao,-, Will aanr.ae lFl ,un a,.hr>n, 5/1 S/2021 PI.I Ell:1 .!nil. 1,.. l,..1 fly. 1X.::.1nn11i wam wam vvam r, o Fl�muPDaFl aua e no6R3a to pie cm. ., mcoaaneFl tle a,p wn 2020 10/13/2020 SAPID- Perishable Skills Training Law 60 FORMAL 2020 10/14/2020 SAPID Perishable Skills Training Law 60 FORMAL 2020 10/15/2020 SAPID Crisis Negotiations Training Law 2S FORMAI 2020 2020 10/15/2020 10/15/2020 SAPD Jail I ransport Scenario Iraining SAPD Perishable Skills Iraining Law Law 20 60 FORMAL FORMAL 9W(i 10/16/2020 SAPD -Perishable Skills Training law 60 FORMAL )Illy 10/19/2020 SAP) - Peri3 h8 ble $kills Training I aw S8 FORMAL 2020 10/20/2020 SAPo- Perishdble Skills Training Law 58 FORMAL 7070 10/21/2020 SAPF) - Perishable Skills Training I aw S8 FORMAL 2020 10/22/2020 SAPID- Perishable Skills Training Law 58 FORMAL 2020 10/23/2020 SAPID- Perishable Skills Training Law 58 FORMAL 2020 10/26/2020 SAPID- Perishable Skills Training Law 60 FORMAL 2020 10/27/2020 SAPID Perishable Skills Training Law 60 FORMAL 2020 10/28/2020 SAPID Perishable Skills Training Law 60 FORMAL 2020 10/29/2020 SAPD- Pcrlshablc Skills Training Law 60 FORMAL 2020 10/30/2020 SAPD- Perishable Skills Training Law 60 FORMAL 2021) 11/18/2020 SAPID- Arrest Control Techniques Training Law 33 FORMAL 2020 11/30/2020 SAPID- Sergeants Training Law 48 FORMAL 2020 12/1/2020 SAPID - Active Shooter Response Training Law 2S FORMAL 2020 12/1/2020 SAPD- Sergeants Training Law 48 FORMAL 2020 12/2/2020 SAPD-Sergeants Irauwlg Law 48 FORMAL 2020 12/3/2020 SAPD- Sergeants Training Law 48 FORIVIAL )DA) 12/12/2020 tiAPF)- Rerrnit Arademy Training law 30 FORIVIAL 2020 12/13/2020 SAPD- Recruit Academy Iraining Law 30 FORMAL 2021 1/2/2021 SAPD- Recruit Academy Training Law 30 FORMAI 2021 1/3/2021 SAPID Recruit Academy Training Law 30 FORMAL 2021 1/26/2021 SAPID Correctional Officer Testing law 36 FORMAL 2021 2021 2/16/2021 2/23/2021 SAPID - New Officer Orientation SAPID- Correctional Officer Testing Law Law 30 27 FORMAL FORMAL 2021 2/24/2021 SAPD- Field Training Officer Training Law 42 FORMAL • Total of 6.221 individuals received lornlal raining Items Not Included In Official Training Schedule (Informal Training Year Date(s) Class Field # of PersonsTrained Formal /Informal 2020 3/10/2020 SAPID Explorer Post Meeting Law 40 INFORMAL 2020 3/11/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 3/14/2020 SAPD- Pre -Employment Training Class Law 41 INFORMAL 2020 3/17/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL City Council SANTA ANA CITY N2 j JN(jL3 D.-v , Pr n.l n,.l T,1 v:.rI Pp.ln L � IN.lvcr M.lvnrvm Icm warm w.lrn l wlrn lr �aamaa mlrn+xnV>olprt-, lr-wlr.+cfnaa lrtranaor-, Mill aanr.ae lFl gun 1Al, Tap lrn ena.>n, 5/1 S/2021 PI.I Ell:1 .!nil. 1,.. l,..1 fly. 1X.::.1nn11i wam wam vvam r, o Fl�muPDaFl aua e no6R3a to pie cm. ., mcoaaneFl tle a,p wn 2020 3/18/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL 2020 4/1/2020 SAPD Explorer Post Meeting Law 40 INFORMAL 2020 4/8/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 2020 4/15/2020 n1612020 SAPU Lxplorer Post Meeting SAPU Lxplurcr Post Mccting Law Law 40 40 INFORMAL INFORMAL XW) 1/13/>00 SAPD- Fxplorer Posl Meeting law 40 INFORINIAI >0>0 i/IG/)M SAPD- Pre-Fmployment Training Class law 37 INFORMAI 2020 /20/2020 SAPD - Explorer Post. Meeting Law 40 INFORMAL 2020 5/30/2020 SAPD - Pre-Fmployment Training Clnss law 67 INFORMAI 2020 6/3/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 6/10/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 6/17/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL 2020 6/27/2020 SAPD Pre Employment Training Class Law 60 INFORMAL 2020 7/1/2020 SAPD Explorer Post Meeting Law 40 INFORMAL 2020 7/,4/2020 SAPD - Explorer Post Mecting Law 40 INFORMAL 2020 7/1S/2020 SAPD - Explorer Post Meeting; Law 40 INFORMAL 2020 8/S/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL 2020 8/12/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL 7070 8/17/7070 SAPD - Pre-Fmployment Training Class law 39 INFORMAI 7070 8/19/7070 SAPD- Fxplorer Post Meeting Iaw 40 INFORMAI 2020 9/2/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 9/9/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 9/16/2D2D SAPD Explorer Post Meeting Law 40 INFORMAL 2020 9/16/2D2D SAPD- Parent Acatlemy Training Day Law 21 INFORMAL 2020 10/7/2020 SAPD Explorer Post Meeting Law 40 INFORMAL 2020 10/10/2020 SAPU Prc Enpluynicnt l iainiuA Clam Law 52 INFORMAL 2020 10/14/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 10/21/2020 SAPD- Explorer Post Meeting Law 40 INFORMAL 2020 11/4/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 11/18/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 11/21/2020 SAPD- Pre -Employment Training Class Law 28 INFORMAL 2020 12/2/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 12/8/2020 SAPD- Pre -Employment Training Class Law 27 INFORMAL 2020 12/9/2020 SAPD - Explorer Post Meeting Law 40 INFORMAL 2020 12/16/2020 SAPU - Explorer Post Meeting Law 40 INFORMAL 2021 111,12021 SAPU - Explorer Post Meetmg Law 11) INFORMAL 2021 1/13/2021 SAPD Explorer Post Mccting Law 40 INFORMAL 2021 1/16/2021 SAPD- Pre-Ernployinent Iraining (lass Law 64 INFORMAL 2021 1/20/2021 SAPD - Explorer Post Meeting Law 40 INFORMAL 2021 2/3/2021 SAPD - Explorer Post Meeting Law 40 INFORMAL 2021 2/10/2021 SAPD Explorer Post Meeting Law 40 INFORMAL 2021 2/11/2021 SAPD - Prc-Employment Training Class Law 62 INFORMAL City Council SANTA ANA CITY FY]UN( jLr4 D.-v , Pr n.l n,.l T,1 v:.rI Pp.ln L � IN.lvcr M.lvnrvm Icm warm Av.lrn 1 ll,m lr vaPm,la ID�crePn4Y0lard r- .11Al, ox+e lw eoa.u., 5/18/2021 PI.I Ell:1 "1, 11,..1, 1 fly. 1 X.::.1n 11, wam wam vvam r, o Fl�muPDaFl aua e no6R3a to ple cm. ., mcoaaneFl tle a�aw�l 2021 1 2/17/2021 SAPID- Explorer Post Meeting Law 40 INFORMAL 2021 2/20/2021 SAPD Pre Employment Training Class Law 41 INFORMAL 2021 3/3/2021 SAPID Explorer Post Meeting Law 40 INFORMAL • Total of 2,019 individuals received informal trainin; There were approximately 8,240 students that received both formal and informal training at the facility by over 30 trainers during this reporting period. A listing of the 22 various law, fire and public safety entities that received training at the facility, are listed bel ow. • Anaheim Police Department • Brea Police Department • BucnaParkPoliccDcpartment • CalilortiaHighway Patrol • Costa Mesa Police Department • Cypress Police Department • Federal Bureau Of Tnvestigations • Fountain Valley Police Dcpatmcnt • Fullerton Policc Department • Garden Cirm e Police Department • Huntington Beach Police Department • L-vine Police Department • Laguna Beach Police Department • Newport Beach Police Department • Orange Policc Deparument City Council SANTA ANA CITY N2 jUN( JI-5 5/18/2021 D-- 1m.9n.' Tnn vlra Fn.,n 1,1 Ell I "I, In I,,,I Fy. n mwcr mavnnm mm warm warn w�rn:r wam wam vvam r, �aamaanu�Cn+xnV>onpcm n=nnlr.+cfnaa „tranaor,� r npnfAapnLaenFl .un aiahcso Tap,rn ena.un 0 FlzmuPDaFl,rua a no6R3a to p,e cm ., mcoaaneFl tlp asp wn • Orange County District Allorney's OI'lice • (.)range County Probation Department • Orange County Fire Authority • Placentia t'olice Department • Santa Ana Police Department • Santa Ana Lhiified School Police • Tuslin Potiee Depawrnenl There remains three mobile buildings installed on the property, two of the three buildings are utilized as classrooms while the third is a bathroom facility. These buildings are not new additions over the last year and their status is unchanged. No new major capital improvements were made during the last year. No facilities were damaged or destroyed during the past year. 100% of the conveyed and developed land is being utilized for training purposes. No leases, mortgages, easements, or any other rights of usage have been granted to other parties. There are no liens or legal claims against the property. Our organization is in full compliance with all anti -discrimination laws. Should you have any additional issues or concerns please contact me. KEN GOMINSKY Deputy Chief Investigations Bureau — Santa Ana Police Department City Council SANTA ANA CITY N2 jUN( JL6 5/18/2021 D.-r, Pr roll' Tod.. vlra FAOA 1. .ln _1'.., 1,1 Ell n "I,In'..I,..I R nX.xMM.., mavcr mavnnm mm warm warn warn-r w.im v wam vvam r=, �aamaanu�Cn+xnV>onpc1 .11iehcso Tap,rn ena.un 0 FlzmuPpaFl,rua a no6R3a re p,e cm ., mcoaaneFl tlp asp wn FIALI F A' Ik "qVLAIIk jAAI UUMMIMA Photographs City Council SANTA ANA CITY FY]UN(IL7 L Tn1.. v:. rI FAOA INTvcr M9vnrvm Icm warm \v.lrn1 wTn lr �aamaa m�Cn+x rrno�art-, r-nnln-cfnaa irtra ranr, i nanoR11.11 e A,un a..hr >n, 5/18/2021 P,,I E.Ir: :l "1, 11,..I,..1 Fy..r 1A :.,.:,...�.,i wam � wam � vvam r, o Fl�muPpaFl aua a no6R3a to e.e cm. ., mcoaaneFl tle a,p wn Southwest Portion Facing Northwest East Portion Facing West West Portion Facing East City Council SANTA ANA CITY 49UN(jL8 Vlttrnc5,r fllo Gf,vlrlGmA n.n T11 III P,Nn uavcr mavurvrc, lem ware_ vvarn� uv.�rn-�, �aamaa m�Cn+emsa`wcm tlnanalc'p maa,rrala,,;i tonanfAaemrana-oni pelora�lap+ru ana.un 5/18/2021 1,, 1 Ell n,l Mr:Nr I.Il 1Au wam wam vv.im r. 0 FlzmuFl�aFl lrua a eo6R3a ra-cna-col abcoa6PeFl tle enp vn Bathroom Building Northern Training Room Southern Training ;.•u City Council SANTA ANA CITY N4UN(IL9 Pr n.l n,.l T,1 v:.rI PA. A IN.IVGr M.lvnrvm lcm warm \v.lrnI wlrn lr �aamaam�Cn+xnV>olprt-, r-wlr.+cfnaa lrtranao,-, tnanrRaam.aelFl ,un a,.hr>n, 5/18/2021 PI.I Ell:1 "1, 11,..l,..1 fly. 1X.::.1nn11i wam � wam � vvam r, o Fl�muPDaFl aua e no6R3a to ple cm. ., mcoaaneFl tle a,p wn Western Property Area — Paved Road and Fire Apparatus Training Pad City Council SANTA ANA CITY N2 jUN(k o.,— Pr n.l n,.l T,1 v:.rI FA. A IN.IVGr M.lvnrvm lcm warm \v.lrnI wlrn lr �aam,lam,crexmrro,arr, r-wlro�fnaa,rtranao,-� tnanru+am++,n„", a,.nr.o x+e lw eoa.u., 5/18/2021 PI.I Ell:1 "1, 11,..l,..1 fly.1X.::.lnnr.�i wam wam vvam r, o Fl�muPDaFl aua a no6R3a to e.e cm. ., mcoaaneFl tle a,p wn Police Department https://www.santa-ana.org/pd Item # 22 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Municipal Code AGENDA TITLE: Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Municipal Code Prohibiting Spectators at Illegal Speed Contests and Reckless Driving Exhibitions RECOMMENDED ACTION Approve first reading of an ordinance to prohibit spectators who knowingly attend or assist with illegal speed contests and reckless driving exhibitions. If approved, Article XV, sections 36-706 through 36-710 entitled "Street Racing" will be added to the Santa Ana Municipal Code. DISCUSSION As a result of the serious public safety threat street racing poses to other drivers, residents, and visitors, the Santa Ana Police Department, in partnership with the Public Works Agency, developed a comprehensive program to deter street racing and reckless driving exhibitions in Santa Ana. The program, dubbed S.T.E.A.R.R.D (Strategic Traffic Enforcement Against Racing and Reckless Driving), is a three -pronged approach to address the racing and reckless driving problem in the City. The three prongs of the program are Enforcement, Engineering, and Education. The Public Works Agency (PWA) has been actively involved in S.T.E.A.R.R.D's Engineering component. Public Works has strategically re -phased specific traffic lights to "Rest in Red" along major arterial roadways throughout the City. The re -phasing deters street races by presenting a traffic signal resting in red rather than green. PWA is also evaluating roadway designs and speed limits where street racing and reckless driving exhibitions arc prevalent. The Police Department emphasizes the educational component of S.T.E.A.R.R.D through various social media platforms, focusing on the dangers and consequences of street racing and reckless driving exhibitions. The Department also produced a recently City Council 22 — 1 5/18/2021 Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Municipal Code April 20, 2021 Page 2 released anti -racing video. The Police Department continues to educate about the dangers of street racing and reckless driving exhibitions and about legal and safe alternative locations, such as the Irwindale Speedway. Finally, the Police Department has established a partnership with several other law enforcement agencies throughout the County who have been experiencing an increase in street racing and reckless driving exhibitions. The partnership works together to combat street racing and reckless driving exhibitions on a weekly basis. To date, the partnership has completed over 95 enforcement programs. The Santa Ana Police Department has experienced an increase in calls for service related to speed races and reckless driving exhibitions. Drivers and spectators use social media to coordinate these events, which often result in hundreds of spectators. Although most enforcement action centers around the drivers involved in street racing and reckless driving, exhibition scenes also heavily involve spectators. Spectators in the hundreds come and watch these unlawful activities and typically block all sides of an intersection, virtually stopping all traffic flow. These actions interfere with the police response and facilitate the ability for involved drivers to flee. As a result, some law enforcement agencies have adopted ordinances that ban spectating at street racing events. Such ordinances provide an effective tool to combat dangerous activities by curbing and/or eliminating spectators, with the ultimate goal of eliminating street racing in the City altogether. The City has evaluated the needs and concerns of the community in recommending the adoption of an ordinance relating to street racing. Specifically, the proposed ordinance (Exhibit 1) will provide law enforcement with additional enforcement and deterrence tools in its ongoing goal to mitigate street racing and reckless driving exhibitions. The provisions of the ordinance include the following. • The ordinance will allow the Police Department to issue misdemeanor citations to any person who is knowingly present as a spectator of a street race or reckless driving exhibition on a public street, highway, or off-street parking facility. • The ordinance defines present" as a person who is within two hundred (200) feet of the location of a motor vehicle speed contest or reckless driving exhibition or within two hundred (200) feet of the site of the preparations for either of these activities. A violation of this ordinance may be punishable as a misdemeanor subject to a maximum of six months in jail and a fine of $1,000. Staff recommends approval of the ordinance. City Council 22 — 2 5/18/2021 Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Municipal Code April 20, 2021 Page 3 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. 1. Ordinance Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 22 — 3 5/18/2021 Exhibit 1 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING A NEW ARTICLE XV TO CHAPTER 36 OF THE SANTA ANA MUNICIPAL CODE TO PROHIBIT SPECTATORS AT A STREET RACE OR RECKLESS DRIVING EXHIBITION WHEREAS, under the provisions of Sections 23103, 23109 of the California Vehicle Code, reckless driving exhibition and speed contests on public streets are illegal; and WHEREAS, motor vehicle speed contests are more commonly known as street races or drag races and reckless driving exhibitions are more commonly referred to as exhibitions of reckless driving; and WHEREAS, the streets within the City of Santa Ana have been the site of continuing and escalating illegal street racing over the past several years; and WHEREAS, such street racing poses serious hazards and threatens the health and safety of the publir_, interferes with pedestrian and vehicular traffic, creates a public nuisance, and interferes with the right of private business owners to enjoy the use of their property within the City of Santa Ana, and WHEREAS, in most cases, hundreds of street racers and spectators gather on the streets late at night, and in the early morning hours, blocking the streets and sidewalks to traffic, forming a racetrack area, placing bets, and otherwise encouraging, aiding and abetting the racing process and the City has determined the presence of spectators at these events encourage and fuel the occurrence of these unlawful events: and WHEREAS, traffic accidents, property crimes, and calls for police service have increased dramatically. Recently, an innocent motorist was killed in broad daylight by drivers engaged in street racing and in a separate incident, street racers involved in a race struck and killed a pedestrian; and WHEREAS, street racing constitutes a nuisance and the City Council of the City of Santa Ana wishes to promote the City's interest in protecting and preserving the safety of pedestrian and vehicular traffic in, about, or upon public and private streets, parkways, roadways, alleys, sidewalks, and parking areas so as to minimize any dangerous conditions due to street racing. THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. A new Article XV is hereby added to Chapter 36 of the Santa Ana Municipal Code to read as follows' City Council 22 — 4 5/18/2021 Illegal Street Race and Reckless Driving Exhibition -Article XV Section 36-706. Definitions. As used in this Article: "Street race" or "street racing" means any speed contest or exhibition of speed referred to in California Vehicle Code section 23109, as it may be amended from time to time. "Reckless driving exhibition" means any exhibition of reckless driving referred to in California Vehicle Code section 23103, as it may be amended from time to time. Offstreet parking facility has the same meaning as set forth in Vehicle Code section 12500(c), as may be amended from time to time, and includes any public or private parking facility open and accessible to members of the public. Preparations for a street race or reckless driving exhibition includes, but are not limited to, situations in which: (1) One (1) or more motor vehicles and persons have arrived at a location on a public street, highway or an offstreet parking facility for the purpose of participating in or being spectators at a street race or reckless driving exhibition; (2) One (1) or more persons have gathered in an offstreet parking facility for the purpose of participating in or being a spectator at a street race or reckless driving exhibition, (3) One (1) or more persons have gathered for a motorcycle stunting or other exhibition in conjunction with a streel race or reckless driving exhibition; (4) One (1) or more persons have impeded the free public use of a public street, highway, or offstreet parking facility by actions, words, or physical barriers; (5) One (1) or more vehicles have lined up on a public street, highway, or offstreet parking facility with motors running; (6) One (1) or more drivers is revving a motor vehicle's engine or spinning the motor vehicle's tires; or (7) A person is stationed for the purpose of acting as a race starter. A person is "present" at a street race or reckless driving exhibition if that person is within two hundred (200) feet of the location of the street race or reckless driving exhibition, or within two hundred (200) feet of the site of the preparations for either of these activities. Spectatormeans any individual who is present at street race or reckless driving exhibition at a location where preparations are being made for such activities, for the purpose of viewing, observing, watching, recording, or witnessing, the event as it progresses. Spectator includes any individual at the location of the event without regard to whether the individual arrived at the event by driving a vehicle, riding as a passenger in a vehicle. walking, or arriving by some other means. City Council 22 — 5 5/18/2021 2 Section 36-707. Aiding and Abetting Street Races or Reckless Driving Exhibitions Prohibited It shall be unlawful for any person to engage in, or to aid and abet, any street race or reckless driving exhibition conducted on a public street or highway or in an offstreet parking facility. A violation of this section may he punishable as a misdemeanor subject to a maximum of six months in jail and a fine of $1,000. Section 36-708. Spectators at Street Races or Reckless Driving Exhibitions Prohibited. (a) It shall be unlawful for any person to be knowingly present as a spectator at a street race or reckless driving exhibition on a public street, highway, or offstreet parking facility. A violation of this section may be punishable as a misdemeanor subject to a maximum of six months in jail and a fine of $1,000. (b) It shall be unlawful for any person to be knowingly present as a spectator where preparations are being made for a street race or reckless driving exhibition conducted on a public street or highway or offstreet parking facility. A violation of this section may be punishable as a misdemeanor subject to a maximum of six months in jail and a fine of $1,000. (c) Fxemption: Nothing in this section prohibits law enforcement officers or their agents who are acting in the course of their official duties from being spectators at a street race or reckless driving exhibition. Section 36-709 Relevant Circumstances to Prove a Violation. Notwithstanding any other provision of law, to prove a violation of Sections 36-707 or 36- 708, admissible evidence may include, but is not limited to, any of the following: (a) the time of day; (b) the nature and description of the scene; (c) the number of people at the scene, (d) the location of the person charged in relation to any person or group present at the scene; (e) indicia of a street race or reckless driving exhibition, including but not limited to, stickers, posters, markings, flags at or near the scene; (e) the number and types of motor vehicles at the scene; (f) that the motor vehicles present have been altered or modified to increase power, handling or visual appeal; (g) that the person charged drove or was transported to the scene; (h) that the person charged admitted to being a spectator at a street race or reckless driving exhibition; (i) lhal the person charged has previously parlicipated in streel race or reckless driving exhibition; 0) that the person charged has previously aided and abetted a street race or reckless driving exhibition; City Council 22 — 6 5/18/2021 3 (k) that the person charged has previously attended a street race or reckless driving exhibition, (1) that the person charged previously was present at a location where preparations were being made for a street race or reckless driving exhibition or a street race or reckless driving exhibition was in progress. Section 36-710 Admissibility of Prior Acts The list of circumstances set forth in Section 36-709 is not exclusive. To the fullest extext permissible by law, evidence of prior acts may be admissible to show plan, opportunity, knowledge, identity, and/or propensity of the person charged to be present at or attending a street race or reckless exhibition of speed if the prior act(s) occurred within three (3) years of the presently charged offense. These prior acts may always be admissible to show knowledge on the part of the defendant that a street race or reckless driving exhibition was taking place at the time of the presently charged offense. Prior acts are not limited to those that occurred within the City of Santa Ana. Section 3. The City Council finds that this ordinance is not subject to the California Environmental Quality Act Lander California Code of regulations, Title 14, Section 15060, subdivision (c)(2), because the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment nor under subdivision (c)(3) because the activity has no potential for resulting in physical change to the environment, directly or indirectly and so is not a project. Section 4. If any section, subsection, phrase, or clause of this ordinance is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council hereby declares that it would have passed this ordinance and each section, subsection, phrase or clause thereof irrespective of the fact that any one or more sections, subsections, phrases or clauses be declared invalid or unconstitutional. Section 5. The Clerk of the Council shall certify to the adoption of this ordinance and cause the same to be published in the manner prescribed by law. Section 6.This ordinance shall take effect and be in full force thirty (30) days from and after its final passage. ADOPTED this day of , 2021. Vicente Sarmiento Mayor City Council 22 — 7 5/18/2021 APPROVED AS TO FORM: Sonia R. Carvalho City Attor�n^,e1y By:('Vul----: ---- — Tamara Bogosian Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2021 and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Data Clerk of the Council City of Santa Ana City Council 22 — 8 5/18/2021 5 Flores, Dora From: Maria Ceja <ceja.maria95@gmail.com> Sent: Tuesday, April 20, 2021 12 S3 PM To: eComment Subject: Item 28 Greeting Mayor Sanniento and City Council, 1 am opposed to item 28.'['his ordinance criminalizes residents it) their right to he in public right of way. This would subject residents to have encounters with a police department that hold a 37 percent score out of 100_ These punitive measures do not resolve the. issue at hand and can potentially create more safety issues. This is not the approach to create safer streets. The root of the issue must be addressed and the city can begin with consulting with residents and the organizations doing the work on the ground, like Santa Ana Active Streets (SAAS). This ordinance is a barrier that will affect a specific population, not an overall sohaion. Do better than superficial policies and take action_ Sincerely, Maria City Council 22 — 9 5/18/2021 SANTA ANA ACTIVE STREETS April 20, 2021 City Mayor, City Council, City Manager Citv of Santa Ana, Public Works Agencv M-43 20 Civic Center Plaza Santa Ana, CA 92702 eComment(klsanta-ana.org Re: Public Comment, Item 28: Ordinance Adding Article XV, Sections 36-706 through 36-710, Entitled "Street Racing" to the Santa Ana Nlunicipal Code Prohibiting Spectators at Illegal Speed Contests and Reckless Driving Exhibitions Dear Mayor Sann ento; Council Members Phan, Lopez, Hernandez, Pencdoca, Bacerra, Mendoza; and City Manager Ridge: Pm writing to express our opposition to Itcnr 28 street racing ordinance. Santa Ana Active Streets coalition works to advocate for a more accessible, healthier, and safer environment on Santa Ana streets. We understand the dangers associated with street racing and residents' safety concerns regarding street racing. One errant car can result in injury or death of fellow motorists, pedestrians and bicyclists, as we've seen happen on our city streets. We also undenstand that speeding and street racing has increased during the lockdown due to the COVID-19 pandemic I,ockdowns emptied our streets_ which in turn provide increased propensity for speeding and street racing, while residents have lost many opportunities for gathering and recreation. Our coalition disagrees with criminalizing people in public rights of way, as described in the following ordinance. People in a public right of w ty, even as spectators are still not participating in the illegal activity, and so we believe they sbould not be criminalized. Santa Ana bas the highest pedestrian activity out of all OC cities, and under the current criteria laid out in the ordinance, it is unclear as to who is a spectator and who is simply a parser -by. Instead of enforcement strategies, we aim to resolve the root case of'speeding and street racing in our roads. Simply put, Santa Ana's wide main roadways incentivize fast driving. While drivers speeding has grown more pervasive during the pandemic, speeding has always been present in the City's wider, freeway -like streets. In our view, speeding has become more common and faster, and it all corner down to how wide our roads are. People are naturally reacting to their built environment, and they are reacting to it by speeding. The City has invested and continues to invest heavily in improving street and traffic safety, and we applaud such etlorts. We applaud the more than S50 million obtained through grant cycles to City Council`>df1LF1Aria ACLIVeStreefts',450West IoKLL2SLr" Far1LaAria, CA92701 5/18/2021 Tel (Fii7)205-7506 www ri �oaritlou.oio I InfoaA aascoal7tloil.oro Page 2 of 2 transform our streets to snake it safer to walk and bike. Ilowever. we believe more work needs to be done. While progress has been made on some of our major arterial streets, including adding protected and painted bike lanes, they remain environments that incentivize fast driving. The Citys prior plarming ellorts, including its own Safe Mobility Santa Ana plan, has identified arterial streets as constituting only 20% of our roadway netwod , but 60% of all pedestrian involved collisions and 680,6 of the collisions involving people on bicycles occur on them. These data show bow dangerous these wide streets sire for all travellers, whether they be motorists, pedestrians, or cyclists. Yet, limited progress has been made in implementing the numerous street reconfigurations that have been studied in prior city planning efforts that would calm uatfic. speeds. We call on the council to prioritize public work elli>rts on improving traffic safety on arterial roads. We believe that policing will not mitigate Santa Ana's street racing problem. This approach would be reactive, and we believe it more effective approach will be proactive. Rather than improving traffic safety, these measures will have the Unfortunate consequences of policing innocent civilians rather than those breaking the law. We believe the Santa Ana Police Department had good intentions in developing this ordinance, and as our work in Advocacy, Activation, and Education demonstrate, we both have a shared goal of improving traffic safety in the City. But we believe a more ellective effort will hay in cooperating with the Orange County Transportation Authority, and a more ambitious collaboration with the Santa Ana Public Works Department. This tears of agencies should collaborate and set policy and implement capital projects that should changc street design and geometry to discourage street racing. Working with these entities will help to identify a data -driven approach to locate which corridors in Santa Ana see pervasive street racing and where to invest capital improvements directed at mitigating .street racing. Examples of policy changes and capital improvements include: Allowing parking on arterials such as metered parking (which would require policy change at the OCTA level) which would generate revenue for the city, protected bike infrastructure, pedestrian safety improvement,. (ire collaboration with Public Works), speed humps, and more frequent traffic lights and crossings throughout arterials. More ticketing will not improve public safety long term, and we fear it is a slippery slope when we are criminalizing people in the public right of way. We respectfully request the mayor and council to vote against this ordinance. We at SAAS look forward to building a stronger partnership with the City and County in improving trallic safety for all in Santa Ana. Sincerely, Kristopher Fortin Project Director City Council Santa Ana Active StfeeLs 28 C KateI22ke 1 f-)range CA 928e7 5/18/2021 Tel (Fi57) 205-7506 www �ta.,coaritlou.oic� I InfoaA..aascoalnton.oro Finance and Management Services https://www.santa-ana.org/finance Item # 23 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Pension Debt Refinancing Update and Underwriter Selection AGENDA TITLE: Pension Debt Refinancing Update and Underwriter Selection. RECOMMENDED ACTION 1. Receive and File Pension Debt Refinancing Update. 2. Approve the Selection of the following Underwriter(s) to assist the City with refinancing its existing Pension Debt: • Bank of America Securities, Inc.- Senior Manager • Stifel Financial Corp. — Co -Manager • Ramirez & Co., Inc. — Co -Manager EXECUTIVE SUMMARY On March 16, the City Council adopted a Resolution authorizing the initiation of Judicial Validation Proceedings (Validation) to refinance the City's employee pension debt. While the Validation is in process. Staff and the City's Financial Advisor. Urban Futures. Inc. (UFI), conducted a competitive procurement process for bond underwriting services. The Underwriter's role is to develop disclosure documents related to the City's potential debt, assist with a presentation to a credit rating agency, market the bonds to investors, and finally sell the bonds. DISCUSSION Subsequent to the March 16, 2021 City Council action, the City's Validalion Counsel, Stradling Yocca Carlson & Rauth (Stradling), filed a validation action with the County of Orange Superior Court (Court). The Court has commenced the process to determine the City can refinance its existing employee pension debt. The Court distributed a publication of summons to all interested parties, which include the City's employee bargaining groups. The City is on track to receive a derision (i.e. judgement) from the Court on the legality of issuing debt to refinance its pension debt obligations. Pending any challenges to the summons, Staff anticipates receiving the decision within the next sixty (60) - ninety (90) days. City Council 23 — 1 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 2 Request for Proposal (RFP) — Underwriter Services The City advertised Request for Proposal (RFP) No. 21-025 on February 19, 2021 via PlanetBids. In addition, UFI submitted the RFP directly to ten (10) established underwriting firms serving the municipal sector with experience in refinancing pension debt. A summary of the RFPs and offers received is as follows: 15 Vendors were notified 11 Vendors downloaded the RFP 0 Santa Ana vendors notified 10 Proposals received UFI evaluated all 10 proposals and recommended the City interview 7 of the firms. A Committee reviewed the proposals and conducted the interviews. The Committee included: • City Staff - Executive Director of Finance and Management Services Agency (FMSA) and Assistant Director of FMSA • Stradling Yocca Carlson Rauth — Validation Counsel • Urban Futures Inc. — Financial Advisor The Committee evaluated proposals based on the following factors: • Experience of Firm Personnel • Distribution Capabilities (i.e. ability to identify investors who will purchase the bonds) • Structuring of transaction ideas / Analysis of Transaction / related marketing plan for sale of debt • Proposed Fees The Committee determined the best approach was to select multiple underwriters, referred to as a "Syndicate", with one underwriter acting as the Senior Manager and two additional underwriters serving as Co -Managers. This approach ensures the City sells bonds at the lowest interest rate, to reduce borrowing costs and increase pension debt refinancing savings. After evaluating proposals and conducting interviews, the Committee recommends the following Underwriting Syndicate: • Bank of America Securities, LLC (BofA) , Senior Manager (Los Angeles, CA) • Stifel Financial Corp. (Stifel), Co -Manager (Los Angeles, CA) • Ramirez & Co, Inc. (Ramirez), - Co -Manager (Los Angeles, CA) BofA maintains a significant international presence with capacity to market and sell to both national and international investors; has experience issuing large pension debt refinancings within the State of California; and has experience leading various Underwriting Syndicates. Stifel specializes in municipal bonds, including pension debt City Council 23 — 2 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 3 refinancing for cities located in Orange County (e.g. Huntington Beach and Orange). Ramirez was the City's underwriter for its two most recent debt issuances and is most familiar with the City's credit profile, and has relevant experience with pension debt refinancing. All three underwriters submitted well -researched, creative debt structures and marketing proposals to the City, demonstrating their ability to serve the City's needs. As an additional benefit, the proposed Syndicate of Underwriters have complementary strengths. The City will contract with its Underwriters via the Bond Purchase Agreement, which outlines the terms and conditions of the potential debt issuance along with the proposed underwriting fee of $1.75 per $1,000 bond. The Underwriting Syndicate has agreed to a fee split as follows: Fee Arranoement" • BofA 47.50% • Stifel 26.25% • Ramirez 26.25% Total 100.00% `Note: Subject to change bascd upon actual sales by cacti turn Below arc the proposed duties for each member of the Syndicate: • BofA o Numerical and Structuring Analysis , Marketing Plan and Investor Outreach Coordination o Communication between the Syndicate o Review of relevant bond documents (i.e. official statement, etc.) c, Participate on Market Update and Pricing call with the Financing Team • Stifel o Rating Presentation o Review of relevant bond documents (i.e. official statement, etc.) o Participate on Market Update and Pricing call with the Financing Team • Ramirez n Investor Online Roadshow n Review of relevant bond documents (i.e. official statement, etc.) o Participate on Market Update and Pricing call with the Financing Team Next Steps Assuming the Court makes its determination within sixty (60) - ninety (90) days, the preliminarily timeline for the Pension Debt refinancing follows. 1. Receive updated Cal PERS data by July 2021. 2. Develop Bond documents such as the preliminary official statement and bond purchase agreement for City Council Consideration, potentially by September 2021. City Council 23 — 3 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 4 3. Credit Rating Presentation by September 2021. 4. Issue bonds immediately thereafter. ENVIRONMENTAL IMPACT there is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Underwriters receive their compensation from the proceeds of the bond sales. The City cannot sell any bonds until the Court issues its final Judgment and the City Council approves the preliminary official statement. EXHIBIT(S) 1. Request for Proposal (RFP) # 21-025 — Underwriting Services for Pension Refinancing Bonds 2. Response to RFP # 21-025 — Bank of America Securities, Inc. 3. Response to RFP # 21-025 — Stifel Financial Corp. 4. Response to RFP # 21-025 — Ramirez & Co., Inc. Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 23 — 4 5/18/2021 Finance and Management Services https://www.santa-ana.org/finance Item # 23 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Pension Debt Refinancing Update and Underwriter Selection AGENDA TITLE: Pension Debt Refinancing Update and Underwriter Selection RECOMMENDED ACTION 1. Receive and File Pension Debt Refinancing Update. 2. Approve the Selection of the following Underwriter(s) to assist the City with refinancing its existing Pension Debt: • Bank of America Securities, Inc.- Senior Manager • Stifel Financial Corp. — Co -Manager • Ramirez & Co., Inc. — Co -Manager EXECUTIVE SUMMARY On March 16, the City Council adopted a resolution authorizing the initiation of judicial validation proceedings (Validation) to refinance the City's employee pension debt. While the Validation is in process, Staff and the City's financial advisor, Urban Futures, Inc. (UFI), conducted a competitive procurement process for bond underwriting services. The Underwriter's role is to develop disclosure documents related to the City's potential debt, assist with a presentation to a credit rating agency, market the bonds to investors, and ultimately sell the bonds. DISCUSSION Subsequent to the March 16, 2021 City Council action, the City's Validation Counsel, Stradling Yocca Carlson & Rauth (Stradling), filed a validation action with the County of Orange Superior Court (Court). The Court has commenced the process to determine that the City can refinance its existing employee pension debt. The Court distributed a publication of summons to all interested parties, which include the City's employee bargaining groups. The City is on track to receive a decision (i.e. judgernent) frorn the Court on the legality of issuing debt to refinance its pension debt obligations. Pending any challenges to the summons, staff anticipates receiving the decision within the next sixty (60) to ninety (90) days. City Council 23 — 5 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 2 Request for Proposal (RFP) — Underwriter Services The City advertised Request for Proposal (RFP) No. 21-025 on February 19, 2021 via PlanetBids. In addition, UFI submitted the RFP directly to ten (10) established underwriting firms serving the municipal sector with experience in refinancing pension debt. A summary of the RFPs and offers received is as follows: • 15 Vendors were notified • 11 Vendors downloaded the RFP • 0 Santa Ana vendors notified • 10 Proposals received UFI evaluated all 10 proposals and recommended the City interview seven of the firms. A committee reviewed the proposals and conducted the interviews. The committee included the following: • City staff - Executive Director of Finance and Management Services Agency (FMSA) and Assistant Director of FMSA • Stradling Yocca Carlson Rauth — Validation Counsel • Urban Futures Inc. — Financial Advisor The Committee evaluated proposals based on the following factors: • Experience of firm personnel • Distribution capabilities (i.e. ability to identify investors who will purchase the bonds) • Structuring of transaction ideas / analysis of transaction / related marketing plan for sale of debt • Proposed fees The Committee determined the best approach was to select multiple underwriters, referred to as a "Syndicate", with one underwriter acting as the Senior Manager and two additional underwriters serving as Co -Managers. This approach ensures the City sells bonds at the lowest interest rate, to reduce borrowing costs and increase pension debt refinancing savings. After evaluating proposals and conducting interviews, the Committee recommends the following Underwriting Syndicate • Bank of America Securities, LLC (BofA) , Senior Manager (Los Angeles, CA) • Stifel Financial Corp. (Stifel), Co -Manager (Los Angeles, CA) • Ramirez & Co, Inc. (Ramirez), - Co -Manager (Los Angeles, CA) BofA maintains a significant international presence with capacity to market and sell to both national and international investors; has experience issuing large pension debt refinancings within the State of California; and has experience leading various Underwriting Syndicates. Stifel specializes in municipal bonds, including pension debt City Council 23 — 6 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 3 refinancing for cities located in Orange County (e.g. Huntington Beach and Orange). Ramirez was the City's underwriter for its two most recent debt issuances and is most familiar with the City's credit profile, and has relevant experience with pension debt refinancing. All three underwriters submitted well -researched, creative debt structures and marketing proposals to the City, demonstrating their ability to serve the City's needs. As an additional benefit, the proposed Syndicate of Underwriters have complementary strengths. The City will contract with its Underwriters via the Bond Purchase Agreement, which outlines the terms and conditions of the potential debt issuance along with the proposed underwriting fee of $1.75 per $1,000 bond. The Underwriting Syndicate has agreed to a fee split as follows: Fee Arrangement" • BofA 47.5% • Stifel 30.0% • Ramirez 22.5% Total 100.0% `Note: Subject to change based upon actual sa/cs by cacti firm Below arc the proposed duties for each member of the Syndicate: • BofA o Numerical and structuring analysis o Marketing plan and investor outreach coordination o Communication among the syndicate o Review of relevant bond documents (i.e. official statement, etc.) c, Participate on Market Update and Pricing call with the Financing Team • Stifel o Rating presentation c Review of relevant bond documents (i.e. official statement, etc.) o Participate on market update and pricing call with the financing team • Ramirez n Investor online roadshow n Review of relevant bond documents (i.e. official statement, etc.) o Participate on market update and pricing call with the financing Team Next Steps Assuming the Court makes its determination within sixty (60) to ninety (90) days, the preliminarily timeline for the Pension Debt refinancing follows. 1. Receive updated CalPERS data by July 2021. 2. Develop Bond documents such as the preliminary official statement and bond purchase agreement for City Council Consideration, potentially by September 2021. 3. Deliver credit rating presentation by September 2021. City Council 23 — 7 5/18/2021 Pension Debt Refinancing Update and Underwriter Selection May 18, 2021 Page 4 4. Issue bonds immediately thereafter. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Underwriters receive their compensation from the proceeds of the bond sales. The City cannot sell any bonds until the Court issues its final Judgment and the City Council approves the preliminary official statement. EXHIBIT(S) 1. Request for Proposal (RFP) # 21-025 — Underwriting Services for Pension Refinancing Bonds 2. Response to RFP # 21-025 — Bank of America Securities, Inc. 3. Response to RFP # 21-025 — Stifel Financial Corp. 4. Response to RFP # 21-025 — Ramirez & Co., Inc. Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 23 — 8 5/18/2021 EXHIBIT 1 REQUEST FOR PROPOSALS (RFP) NO. 21-025 101N UNDERWRITING SERVICES FOR PENSION REFINANCING BONDS CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES AGENCY Kathryn Downs Executive Director of Finance & Management Services Agency KEY RFP DATES: The schedule below is tentative and subject to change at the discretion of City, with appropriate notice to prospective Proposers. Issue Date: February 18 2021 Deadline for Questions about RFP: February 26, 2021 Proposal Due Date: March 11, 2021, by 5:00 P City Council 23-9 5/18/2021 DCITY OF STA ANA TABLE OF CONTENTS I. BACKGROUND........................................................................................................................3 II. PROJECT PURPOSE.............................................................................................................. 3 III. SCOPE OF SERVICES............................................................................................................ 3 IV. PROPOSED 2021 PENSION OBLIGATION BONDS............................................................... 4 V. AGREEMENT..........................................................................................................................4 VI. RFP SCHEDULE OF EVENTS................................................................................................ 5 VII. RESPONSE TO RFP............................................................................................................... 5 VIII. PROPOSER QUESTIONNAIRE............................................................................................ 11 IX. RESOURCES PROVIDED FOR PROPOSER REFERENCE ONLY ...................................... 11 X. SELECTION PROCEDURES & CRITERIA............................................................................ 12 XI. WITHDRAWALS....................................................................................................................13 XII. LIMITATIONS........................................................................................................................13 XIII. PROTESTS............................................................................................................................13 XIV. GENERAL TERMS AND CONDITIONS................................................................................. 14 XV. AWARD OF AGREEMENT.................................................................................................................... 18 XVI. IMPLEMENTATION............................................................................................................................... 1 B ATTACHMENTS (REQUIRED FORMS TO BE SUBMITTED WITH PROPOSAL) A REFERENCES B PROPOSER'S STATEMENT C NON -COLLUSION AFFIDAVIT D NON -LOBBYING CERTIFICATION E NON-DISCRIMINATION CERTIFICATION EXHIBITS (FOR REFERENCE ONLY) A PENSION BOND REFINANCING STAFF REPORT— FEBRUARY 2, 2021 City Council 23 — 10 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 2 of 24 DCITY OF SANTA ANA BACKGROUND The City of Santa Ana is a Charter City in the State of California located in northern Orange County. The City was incorporated in 1886 and operates under a Council -Manager form of government. The City currently occupies a land area of 27.2 square miles and serves a population of approximately 335,000. The City is bordered by Garden Grove, Tustin, Orange, Costa Mesa. Fountain Valley, and Westminster. The City's fiscal year begins on July 1 and ends on June 30. The City of Santa Ana is a full service City of approximately 1,050 full-time and 510 part-time employees with twelve (12) agencies (departments). City services include police, water, sewer, road maintenance, recreation, library, planning and building, and engineering services. The City contracted with the Orange County Fire Authority to outsource its fire services in 2012. The City Council is composed of an elected Mayor and six (6) Council Members. II. PROJECT PURPOSE The City of Santa Ana (the "City") is soliciting proposals from firms wishing to serve as underwriter for the City's proposed issuance of Pension Obligation Bonds ("POBs"). The City is a participant in the California Public Employees' Retirement System ("CAPERS") and maintains miscellaneous and safety retirement plans ("the Plans"). The June 30, 2019 CAPERS actuarial valuations for the City's two plans reflect a combined Unfunded Actuarial Liability (UAL) of approximately $707 million. Staff has scheduled City Council consideration to initiate the judicial validation process on March 16, 2021, authorizing a not -to -exceed Pension Obligation Bond (POB) up to ninety percent of its projected UAL as or June 30, 2021 estimated to be $671 million. The amount to be issued is subject to change at discretion of the City. Urban Futures, Inc. (UFI) is serving as Municipal Advisor to the City and Stradling Yocca Carlson & Rauth is serving as Validation, Bond and Disclosure Counsel on the engagement. III. SCOPE OF SERVICES The scope of services provided by the successful proposer or proposers must include, but not be limited to, the following. A. Provide review and comment on all documents related to the financing. B. Identify, evaluate, and explain the benefits and risks of alternative financing structures- C. Optimize the overall debt structure while maintaining future flexibility. D. Work with rating agencies to seek the highest possible credit ratings for the proposed bonds. E. Assist the financing team in assessing the benefits of credit enhancement for the bonds. F. Advise the financing team with the timing, size and structure of the bond issue. G. Develop a marketing plan to achieve the most favorable terms for the bonds. H. Market the bonds in a manner designed to achieve the lowest possible borrowing cost. City Council 23 — 11 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 3 of 24 DCITY OF SANTA ANA Provide assistance in closing the bond issue. J. Prepare a post -sale analysis, including, but not limited to, information on placement of the bonds, market conditions at the time of sale, orders, designations, allocations and results of comparable sales. In addition, the City expects the Underwriter, as part of their responsibilities to investors under Federal securities laws, to conduct such review as is necessary to attain a reasonable basis for belief in the accuracy and completeness of the key representations in the Official Statement. IV. PROPOSED 2021 PENSION OBLIGATION BONDS A. It is the City's current expectation to issue pension obligation bonds by December 31, 2021. Describe how your firm would structure the proposed 2021 POBs on a traditional fixed rate basis assuming a not to exceed par value of approximately $671 million (90% of the UAL) and $372 million (50% of the UAL). Please provide the coupons on a maturity -by -maturity basis and the overall True Interest Cost (TIC). Identify spreads to Treasuries on a maturity - by -maturity basis. Furthermore, provide comparable pricing information that supports your proposed spreads to Treasuries. Also, please include a Sources and Uses of Funds with a detailed breakout of all cost assumptions. B. Given current market conditions and interest rate environment, please recommend the optimal POB structure, including any structuring ideas that may be appropriate for refinancing the UAL. Please discuss any specific structuring considerations that may pertain to POBs in general including the specific bases to be funded with POB proceeds.. In your discussion of any alternative financing ideas that the City should consider, please be clear as to the risks and/or considerations involved with the potential structure. C. The City has no outstanding POBs or outstanding General Fund bonded indebtedness. The City's last General Fund rating was provided by S&P in February 2016 as AA/Stable. Please discuss your credit strategy, including assumed credit rating for the proposed POBs, and any effect you believe the proposed POBs will have on the City's credit. D. Discuss the investors you would target for the City's POBs. Briefly discuss your firm's marketing strategy for placing the City's POBs, including whether or not you would use a formal investor relations program and/or internet roadshow. Describe any challenges in the marketing of POBs by a California municipality in the current market. E. In what circumstances, if any, would you recommend a private placement of POBs rather than a public offering? What would be the pros and cons of such a strategy? F. Describe a recent engagement your firm was involved in a debt issuance in which there were multiple underwriters engaged. V. AGREEMENT The successful proposer would be required to engage Counsel (i.e. Underwriter's Counsel) in drafting various agreements related to this engagement. City Council 23 — 12 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 4 of 24 N VII. RFP SCHEDULE OF EVENTS Schedule below is tentative and subject to change at discretion of City, with appropriate notice to prospective Proposers. Issue Date: Deadline for Questions about RFP Proposal Due. Date: RESPONSE TO RFP Thursday, February 18 2021 Friday, February 26, 2021 Thursday, March 11, 2021, by 5:00 PM A. SUBMITTAL INSTRUCTIONS - THIRD PARTY ADMINISTRATOR To be considered, each Proposer must submit their proposal electronically via: (1) Online PlanetBids submission, AND (2) Email to the contact listed below The Proposal must be received no later than 5:00 p.m. Pacific, on Thursday, March 11, 2021. Only electronic submissions will be accepted. It is the responsibility of the Proposer to ensure that any proposals submitted have been received prior to the proposal due date and time. Proposals, including all required sections and forms, shall be submitted electronically as a single pdf file via email to the third party RFP administrator (Project Coordinator) listed below. No other form of submittal will be accepted. It is the responsibility of the Proposer to ensure that any proposals submitted has been received prior to this proposal due date and time the Project Coordinator noted below: Michael Busch, Chief Executive Officer Urban Futures, Inc. michael b(iiiurban fu luresinc.com It is the responsibility of the Proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the proposal due date and time. Proposals, including all required sections and forms, shall be submitted electronically via the City's Rid Management System, PlanetBids. No other form of submittal will be accepted. It is the responsibility of the Proposer to ensure that any proposals submitted has been uploaded to PlanetBids prior to this proposal due date and time. PlanetBids will not accept late bids and no exceptions shall be made. Proposers will receive an c-bid confirmation number with a time stamp from PlanetBids indicating that their proposal was submitted successfully. The City will only receive and consider those proposals that were transmitted successfully. Submit proposal online at: htto://www. i)lanetbids. com/portal/r)ortal.cfrn?Coinpanvl D-20137. Proposer shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Proposer to successfully submit an electronic proposal shall be al the Proposer's sole risk and no relief will be given for late and/or improperly submitted proposals. Proposers experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992-1771. Questions of an operational nature may be directed to the City's assigned Project Manaqer. Neither the City, nor PlanetBids, City Council 23 - 13 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 5 of 24 DCITY OF SANTA ANA makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline. Proposals shall NOT be mailed or sent via telegraphic, or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanylD=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a deter urination of a nonresponsive proposal. B. COMMUNICATION / CONTACT WITH CITY STAFF Unless otherwise authorized herein, Proposers who are considering Subrnitting a proposal in response to this RFP, or who submit a proposal in response to this RFP, are only to communicate with the assigned Project Coordinator(s), and no other City staff about this RFP frorn the date this RFP is issued until a contract is awarded. The City will provide all official communication concerning this RFP in writing via the City's Bid Management System, PlanetBids. General questions regarding this RFP may be directed to the City's assigned Project Coordinator listed below via ernail. Additional information is provided below in Section C regarding Request for Information or Clarification/Questions. The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the official communication process specified herein, unless confirmed in writing by the designated Project Manager. C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFP shall be submitted via entail by 5:00 PM on February 26, 2021. Responses to all questions will be posted on PlanetBids via addendum. All prospective Proposers are advised to visit PlanetBids on a regular basis for project updates. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP. Please direct all questions related to this RFP to the City's Financial Advisor listed below: Michael Busch, CEO Urban Futures, Inc. (UFI) Email: michaelb a@urbanfuturesinc.com Phone: (714) 923-3.541 I1•_\111110l:11i•I07d1 Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's PlanetBids system, httDs://www.planetbids.cons/portal/r)oria1.cfm?ContpanvlD=20137. Proposers shall be City C�Rf %ible for monitoring the site to obtaii2;pforgation regarding this sohm)M21 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 6 of 24 DCITY OF SANTA ANA E. UNDERSTANDING PROPOSAL It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision, or requirement of the RFP that the Proposer does not understand. Responses to inquiries, if they significantly change or clarify the RFP requirements or any aspect of the procurement process, will be forwarded by addenda to all Proposers. The City will not be bound by any oral responses to inquiries. By submitting proposals, Proposers assert that they have fully read the RFP and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully understood and are acceptable to the Proposer. Each Proposer accepts the terms and conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document should be clearly noted in each Proposer's proposal. F. PROPOSAL CONTCNTS Proposals are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFP. Colored displays, promotional materials, etc., are not necessary or desired. Emphasis should be concentrated on conformance to RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Dividers and clear organization of content and material are encouraged. The proposal shall be limited to 15 one-sided pages using a minimum 11-point font size (excluding a maximum two -page cover letter and requested transaction lists). As an aid to evaluation, the proposal should respond to each question or requirement in consecutive order, as follows: Cover Letter Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. Cover Letter shall not exceed two pages. Cover letter will not be counted against the 15-page limit. Cover letter must be addressed to the following: Kathryn Downs Executive Director of Finance & Management Services Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 2. Aoreemeni Statement Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in this RFP. 3. Firm and Team Experience Proposal shall include a profile of the firm's experience including the following: City Council 23 — 15 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 7 of 24 (Z) i. A general description of the firm, including structure, size, number of employees, relevant financing experience, and any past or contemplated changes in ownership. Additionally, the following shall be included: • Provide a list, in tabular form with a grand total, of all Pension Obligation Bond transactions in which the firm has served as senior manager since January 2010, specifically identifying staff members involved and their roles. Provide a list, in tabular form with a grand total, of all Pension Obligation Bond transactions in which the firm has served as co- manager since January 2010, specifically identifying staff members involved and their roles. ii. A description of the size of the firm's governmental staff and the firm's experience with governmental agencies of a similar size, nature, and scope. Emphasis should be placed on assignments undertaken within the past three (3) years and on engagements undertaken by the personnel proposed to be assigned to this agreernent. iii. Name and contact information of the primary and secondary Project Managers to be assigned to the engagement. iv. Indicate level of commitment of each of the assigned key personnel and how you will ensure the accessibility of key personnel to the City during this engagement. v. Resumes for the professional staff assigned to the engagement. Include a brief biography of each person specifically addressing experience relevant to the City's proposed financing. A discussion of educational background and relevant experience of the Partner, Supervisor(s) and Staff which will be assigned to this engagement as well as their assigned responsibilities under the proposal shall be included. vi. A description of the Proposer's experience in providing similar services to those requested in this RFP. vii. Identify three taxable bond issuer references for which the proposed primary Project Manager and the secondary Project Manager have carried out similar responsibilities to those contemplated under this RFP. Include contact information for each. viii. A list of the local office's most significant engagements in the last five (5) years, indicating whether they are public or private sector, and including scope of work, date, and name and telephone number of the client contact. ix. A statement that the firm is independent of the City and that it is unaware of potential conflicts of interest. x. An affirmative statement verifying the firm and all assigned key professional staff are properly licensed to practice in California. xi. A warrant that the firm maintains a prudent amount of errors and omissions insurance that covers negligent acts and is applicable to the work requested City Council 23 — 16 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 8 of 24 (Z) xii. An acknowledgement by signature that the signer is authorized to contractually bind the firm. xiii. Any pending legal actions and litigations against the firm. Legal actions against the firm in the previous five years shall be included. 4. Pension Obligation Bond Experience Describe the firm's and selected personnel's experience within the last thrity-six (36) months regarding the issuance of Pension Oblingtions Bonds. Please include but not limited to the following items: i. Name of Municipality or District ii. Amount of Debt Issuance iii. Par amount of debt issued iv. umber of underwriters within the engagement - if multiple underwriters, indicate if co or senior 5. Distribution Capabilities i. Proposers shall provide a brief summary of their firm's fixed income marketing and distribution capabilities, specifically taxable municipal bonds. Description of firm's corporate bond sales and trading capabilities shall include, but not be limited to the following: Number of sales and trading personnel ii. League tables/rankings iii. Personnel assigned to sell taxable municipal bonds 6. Structuring Ideas and Marketing Plan for Proposed Debt Issuance Provide a brief summary of your specific structuring ideas including the assumptions of which CAPERS UAL bases to fund the maximize savings based on the two scenarios described above. Describe how Proposer would lead the transaction as a senior manager. Specifically, provide your strategies and approaches to help ensure the transaction is executed efficiently. 7. Cost Proposal Provide an estimate of your total, not to exceed, underwriting costs associated with serving as senior manager to the City on a not -to -exceed approximately $671 million issue of fixed rate POBs. Please note that any payment to the underwriter is contingent on the closing of the bonds. In your response, please specifically include: i. Proposed takedown on a maturity -by -maturity basis. ii. Management Fee, if any. III * City Council 23 — 17 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 9 of 24 iv. Underwriter's Counsel. Please identify three firms that you would propose to serve as underwriter's counsel, along with the primary counsel for each firm. The cost for developing the Proposal is the sole responsibility of the Proposer. All Proposals submitted become the property of the City. The proposed fees and rates for this contract will be fixed for the duration of the agreement, including allowable renewal options exercised at the discretion of the City. 8. Certifications (ATTACHMENTS) The following forms, included in this RFP, shall be signed and included as part of the proposal submittal package: + Attachment A: References + Attachment B. Proposer's Statement + Attachment C: Non -Collusion Affidavit + Attachment D: Non -Lobbying Certification + Attachment E: Non -Discrimination Certification 9. References Contractor shall provide three (3) references from public agency customers for which actuarial work similar to services specified in this RFP have been performed, including contact names and telephone numbers, and types of services your firm has provided. Use Attachment A — References. The respondent grants permission for the City to contact any individuals listed as references. City may disqualify a Proposer if • References fail to substantiate Proposer's description of services and deliverables provided; or References fail to support that Proposer has a continuing pattern of providing capable, productive, and skilled personnel, or City is unable to reach the point of contact with reasonable effort. It is the Proposer's responsibility to inform the point of contact(s) of normal City working hours. Information provided by the City is solely for the purpose of conducting an actuarial study and shall not be disclosed to any third party without the City's written permission. 10. Evidence of Financial Caoacitv Proposer may be requested to submit its most recent audited financial statement, evidencing Proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, Proposer may include a letter of credit as evidence of supplemental capacity. City Council 23 — 18 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 10 of 24 (z) 11.Insurance The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City. Subcontractors must comply with the City's insurance requirements as stated herein. Primary Contractor shall not allow any Subcontractor to commence work until all insurance required of Subcontractor is obtained. Additionally, Contractor shall provide the following insurance coverage: A warrant that the firm maintains a prudent amount of errors and omissions insurance that covers negligent acts and is applicable to the work requested in this RFP. Work on the contract shall not begin until after the awarded Contractor has submitted acceptable evidence of the required insurance coverages. VIII. PROPOSER QUESTIONNAIRE Proposers shall [rovide responses to the following additional questions. Response to this section will not count against the 15-page limit. A. Within the past 36 months, has your firm and/or any of its principals been the subject of any investigation relating to the municipal securities industry by the SEC. FINRA, NYSE. or any other State or Federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal securities industry? B. Within the past 36 months, has your firm and/or any of its principals been involved in any litigation, arbitration, disciplinary or other actions arising from the firm's underwriting, management or handling of municipal securities? C. Does there exist any relationship between your firm and any other non-affiliated firm(s) or individuals involving any compensation arrangement that may be associated with your possible engagement to assist with the City's proposed debt issue? IX. RESOURCES PROVIDED FOR PROPOSER REFERENCE ONLY Proposers are encouraged to visit the following websites for their reference while preparing their responses to this RFP. • Comprehensive Annual Financial Report— CAM (FY 2020-21) httosl/www.santa- ana.oro/sites/default/files/finance/Accountino/2020°/o20CAFR.online%20versio n%20(00000002)-pdf • Citywide Budget (FY 2020-21) htt os Jlwww. sa n to -a n a. o rg /sites/d efa u I t/fi I e s/finance /budget/2 020- 2021 /FY%2020- 21 %20Adooted%20Budget/Final%20Budget%20Book/FY%2020- 21%20Adopted%20Budget FINAL.pdf City Council 23 — 19 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 11 of 24 „ E/ CITY OF SA ANA • CalPERS Valuation Reports— as of June 30, 2019 o Safety h LLosa/www.caloers.ca.00v/does/acwarial-reoorLs/2019/sanLa-ana-ci lv- safety-2019.odf o Miscellaneous httos://www. ca Ipers.ca.gov/d ocs/actu aria I -re ports/2019/sa nta-a na-city- miscellaneous-2019.odf Pension Bond Refinancing Staff Report (EXHIBIT A) X. SELECTION PROCEDURES & CRITERIA A. The City will establish a proposal review committee (committee), consisting of Finance staff designated by the Executive Director of Finance and Management Services. The review committee will evaluate proposals based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. B. Proposers will be ranked by the committee based on the following criteria. CATEGORY VALUE Experience of Firm and Personnel Experience on similar financings in California and nationally. 15 Relevant qualifications of key personnel assigned to this financing. Firm Experience with recent issuance of Pension Obligation Bonds 20 Distribution capabilities 25 Structuring of transaction ideas / Analysis of Transaction f related Marketing Plan for 30 sale of debt Proposed Fees - Cost of delivering specified services is consistent with industry standards. 10 - Expected overhead costs for the awarded entity as they apply to management of the contract TOTAL POSSIBLE SCORE 100 C. A final score will be calculated for each submitted proposal and used to rank Proposers. The City is under no obligation to accept any proposal and reserves the right to negotiate with respondents as to fees and terms. The City may reject proposals at its sole discretion. If a proposal fails to satisfy any requirements outlined in this RFP, it may be considered non -responsive and the proposal may be rejected. City Council 23 — 20 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 12 of 24 DCITY OF SANTA ANA The City shall not be obligated to accept the lowest priced proposal, but will make an award in the best interests of the City of Santa Ana after all factors have been evaluated. D. Those firms considered most qualified to provide the desired services based on an evaluation of the written proposals may be invited for an interview. Only those individuals who will be involved with this project throughout its duration should be present at the interview. E. Finance staff will recommend the top ranked consulting firm to the City Manager or City Council for award of contract. XI. WITHDRAWALS Proposers are responsible for verifying all prices and information before submitting a proposal. Prior to the proposal due date, the Proposer or Proposer's representative may withdraw the proposal by providing written notice of the proposal withdrawal to the City Contact/Project Manager. Verbal or telephonic withdrawals are not permissible. XII. LIMITATIONS This RFP does not commit the City to award a contract, to defray any costs incurred in the preparation of a Proposal pursuant to this RFP, or to procure or contract for work. M All Proposals submitted in response to this RFP become the property of the City and public records, and as such may be subject to public review. The City reserves the right to cancel or revise, in part or in its entirety, this RFP including but not limited to: selection schedule, submittal date, and submittal requirements. I f the City cancels or revises the RFP, all RFP holders of record will be notified in writing. The City reserves the right to request additional information and/or clarifications from any or all responders to this RFP. Proposers may file a "protest" to an RFP with the City's assigned Project Manager. In order for a Proposer's protest to be considered valid, the protest must. 1. Be filed in writing within five (5) business days of either the RFP issued date or before 5:00 p.m. of the 5th business day following the posting of RFP Results/Notice of Intent to Award Contract on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and Cty C � nciinclude a relevant, supporting oc2,Ten�tion with the protest at Og/M � g. i RFP No. 2 1 -1 Underwriting Services for Pension Refinancing Bonds Page 13 of 24 DCITY OF SANTA ANA If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Project Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Project Manager will provide a written decision to the protestor within ten (10) business days from receipt of protest. The decision from the Project Manager, or her/her designee, is final and no further appeals will be considered. XIV. GENERAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. AMERICANS WITH DISABILITIES ACT The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 ("ADA"), 42 USG §§ 12101 et seq., and its implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disabilily. Any conlracl entered into by the awarded Contractor (or any subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph. B. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. C. CONFLICT OF INTEREST Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor's employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor's efforts shall include, but not be limited to, establishing precautions to prevent its employees, agents, and Subcontractors frorn providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City. Each Proposer must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFP. Any such relationship that might be perceived or represented as a conflict should be disclosed. The City reserves the right to disqualify any Proposer on the grounds of actual or apparent conflict of interest. No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract. D. CONTRACTOR'S EXPENSE Pre -Contractual Expenses: The City is not liable for any costs incurred by Proposers prior rit., - _ R1 tirely RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 14 of 24 (z) the responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Pre -contractual expenses are not to be included in the cost proposal. Pre -contractual expenses include, but are not limited to, preparation of the proposal, submission of the proposal and additional information, attendance at pre -proposal conference, negotiating any matter related to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date of award and execution, if any, of the contract. Other Expenses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract. E. CONTRACTOR'S PROJECT MANAGER/KEY PERSONNEL Except as formally approved by the City, the key personnel identified in Contractor's proposal shall be the individuals who will actually complete the work. Changes in staffing must be reported in writing and approved by the City. The City shall have the right to require the removal and replacement of the Contractor's Project Manager and key personnel under the awarded contract. The City shall notify the Contractor in writing of such action. The City is not required to provide any reason, rationale, or additional factual information if it elects to request any specific key personnel be removed from performing services under the awarded contract. The City shall review and approve the appointment of the replacement for the Contractor's personnel. Said approval shall not be unreasonably withheld. Standards of Conduct: Contractor's personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City. Criminal Background Certification, Contractor certifies that all employees working on this contract have had a criminal background check at Contractor's cost and that said employees are clear of any sexual and drug -related convictions. Contractor further certifies that all employees hired by Contractor or Subcontractor shall be free from any felony convictions. City reserves the right to require Contractor to pay fingerprinting fees for personnel assigned to work in sensitive areas. F. COST PROPOSAL The price and amount of the Cost Proposal/Fee Schedule must have been arrived at independently and without consultation, communication, agreement or disclosure with or to any other Subcontractor, Proposer or prospective Proposer. Prices offered by Proposers in their proposals are an irrevocable offer for the term of the contract and any contract extensions. The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal. G. DATA RETENTION Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City. All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times City ounci _ 2 d for RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 15 of 24 (z) direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. H. DRUG -FREE WORKPLACE The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug -free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts. I. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFP are fully incorporated. Any irregularities or lack of clarity in the RFP should be brought to the designated City Contact/Project Manager's attention as soon as possible so that corrective addenda may be furnished to prospective Proposers. Proposals which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected. J. EXECUTION OF AGREEMENT Upon successful negotiations, the City and the selected Proposer will enter into an Agreement similar to that as shown in EXHIBIT 3 STANDARD AGREEMENT in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. K. JOINT OFFERS/SUBCONSULTANTS Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime sub -consultant basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub - consultants be offered, the Proposer shall provide the same assurances of competence for the sub -consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub -consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub - consultants in the same manner as the Proposer. The City reserves the right to reject, replace and approve any and all Subcontractors. All Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of City Council 23 — 24 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 16 of 24 (z) L. INDEPENDENT CONTRACTOR Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an employee of City. Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers' compensation or other fringe benefits of any kind through City. M. LITIGATION STATUS Each Proposer must include in its proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer's prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures. N. NEGOTIATIONS The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, and the awarded Contractor's proposal, together with any modificatiuns and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Contractor's proposal, and the awarded Contractor's proposal. Specific exceptions to this general rule may be noted in the final executed contract. Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFP- O. PROJECT MANAGER The selected Proposer will assume responsibility for all services in its proposal. The selected Proposer shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. P. PROPOSAL VALIDITY Services, pricing, and warranties indicated in a Proposer's Proposal must be valid for a period of 90 days at rninirnurn after the submission of the Proposal. Q. PUBLICAGENCIES Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor's acceptance. The City is riot liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency. R. PUBLIC RECORDS Proposals will become public record after the award of a contract unless the proposal or City oun i / / learly RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 17 of 24 (z) label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. S. SUBCONTRACTORS Proposals in response to this RFP must identify any Subcontractors, and outline the contractual relationship between the Awarded Subcontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as par[ of the proposal submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor's obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work. The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFP, and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors. XV. AWARD OF AGREEMENT Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms. A. LXLCUTION OF AGRLLMLNT "Proposer" will hereinafter be referred to as "Consultant" or "Contractor" in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. XVI. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting will be held after selection of Contractor. Contractor and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. City Council 23 — 26 5/18/2021 RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 18 of 24 (z) ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual Phone Number. Facsimile Number: Year: Contact Individual Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21- y Council n erwri utg services or ensrol e nncrng on s 511� 0 of 24 ATTACHMENT B PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain: otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Signed and Printed Name - Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21- y Council n erwri utg services Tor ensrol e WIncing Sonds 5 1 A of 24 ATTACHMENT C 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 proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation, that the proposal is genuine and not collusive or sham, that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain frorn bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, 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 proposal arc true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal 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 proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Stale of California, County of Subscribed and sworn to (or affirmed) before me on this day of 120 , by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 2f- i y Council n erwn ing services Tor ensiolt3 e nncing Sonds 5 9A 1of 24 (z) ATTACHMENT D NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) 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 be paid 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 this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. 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 31. U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed* Title. Firm, Date. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21- y Council n erwri ing services Tor enstolt e anctng Sonds 5 1 A of 24 (Z) ATTACHMENT E NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. 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, dernotion, 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. 5. 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. RFP No. 21- y Council n erwri ing services Tor ensiolp eTiancing Milos 5 1 A of 24 (z) 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, 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 lhal the United Slales enter inlo such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1 /3b, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm - Date. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21- i y Council tt erwri ing senlices Tor ensiojt3 e Tncing Sonds 5 1*cf 24 RFP No. 21-025 EXHIBIT B Finance and Management Services www.santa-ana.org/finance Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report February 2, 2021 TOPIC: Consider Pension Debt Refinancing and Policy AGENDA TITLE: Consider refinancing the city's employee pension debt and adoption of the proposed Unfunded Employee Pension Liability Cost Reduction Policy RECOMMENDED ACTION 1. Determine whether to proceed with refinancing any portion of the pension debt. If City Council wishes to proceed with pension debt refinancing: a. Direct staff to propose a contract for bond counsel services to prepare a resolution for City Council consideration authorizing the sale of pension obligation bonds, which is necessary to begin the court validation process to refinance the pension debt; and b. Adopt the proposed Unfunded Employee Pension Liability Cost Reduction Policy. EXECUTIVE SUMMARY The City's contributions to the employee pension plan continue to grow faster than the City's revenue sources. On April 21, 2020, City Council directed staff to return with a feasibility analysis for refinancing the employee pension liability to save money. Exhibit 1 to this report includes the feasibility analysis prepared by our Financial Advisor Urban Futures Inc. (UFI) in cooperation with staff. Although we considered many different methods for reducing pension debt costs, the most realistic strategy follows. 1. Refinance up to 90% of the pension debt by issuing taxable pension obligation bonds, which could produce annual savings of up to approximately $3.8 million. 2. Use accumulated cash in the Water Enterprise fund to pay its $13.5 million pension debt for water employees, and obtain less expensive tax-exempt debt financing for planned water infrastructure projects. There is a risk to refinancing the pension debt. If the employee pension plan consistently outperforms CAPERS assumptions over the next 20+ years, the City may pay more for its pension debt, as discussed later in this report. City Council 23 — 33 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 2 If the City Council decides to move forward with pension debt refinancing, the proposed Unfunded Employee Pension Liability Cost Reduction Policy (Exhibit 3) is necessary to establish parameters for refinancing and a plan for funding future pension debt, and obtain the best credit rating possible. DISCUSSION The City provides a defined benefit pension plan to its full-time employees and part-time employees who have worked more than 1,000 hours in a single year. A defined benefit is a promise to pay a future benefit based on a formula incorporating salary and the number of service years. The City contracts with the California Public Employee Retirement System (CAPERS) to administer the plan. CAPERS collects contributions from the City and its employees, invests the money, and makes pension payments to retirees. CAPERS employs actuaries to determine the contributions necessary to meet future obligations. When the market value of plan assets are less than the liability for benefits accrued to date, there is an unfunded pension liability. The unfunded liability is a legal debt of the City, and the City carries the risk of plan performance. The ratio of plan assets to the liability is the "Funded Ratio". Ideally, the plan should have a funded ratio of 100% (assets = liabilities). Annual contributions include a "Normal Cost' component for the current accrual of benefits (expressed as a percentage of pensionable wages), and a payment to reduce the unfunded liability (expressed as a dollar amount). If the City remits the annual unfunded liability payment to CaIPERS by July 31, the City receives an early payment discount of approximately 3.3%. CaIPERS Annual Pension Payments N Benefits earned this year Unfunded benefits earned in prior by employees years by employees +retirees % 01 Fixed P@VM00 $ Amount $14 Million $48 Million The City has two (2) different employee pension plans: one (1) for sworn public safety officers, and one (1) for all other employees. Within each plan, there are two (2) levels of benefits: one (1) for employees who became CaIPERS members after the California Public Employee Pension Reform Act (PEPRA) effective January 1, 2013, and one (1) for employees hired prior to PEPRA (referred to as "Classic' members). City Council 23 — 34 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 3 Each year, CalPERS provides the City with an updated actuarial valuation report for its plans, including the updated calculation of the unfunded liability and the required contributions for the following year. The City typically receives the annual reports 12-15 months after the fiscal year end. For example, the City received the report for the year ended June 30, 2019 in July 2020, which includes the required contributions for FY21- 22. A snapshot of relevant data follows, and the total unfunded liability at June 30, 2019, for the Miscellaneous and Safety plans combined was $706,905,205. Miscellaneous Safety June 30, 2019: A, Market Value of Assets $645,902,345 $787,086,636 B, Accrued Liability $948,084,339 $1,191,809,847 Unfunded Liability, A-B $302,181,994 $404,723,211 Funded Ratio, A/B 68.1 % 66.0% FY20-21 Normal Cost paid by City 12.072% of pensionable wages 23.581 % of pensionable wages Normal Cost paid by Employees 8.0% Classic 6.5% PEPRA 12.0% Classic 13.0% PEPRA Unfunded Liability Payment $23,390,827 $26,223,726 Discount for Prepayment $778,061 $872,293 Unfunded Liability Funding Source 72% General Fund 18% Restricted Funds 100% General Fund FY21-22 Normal Cost paid by City 11.9% of pensionable wages 22.93% of pensionable wages Normal Cost paid by Employees 8.0% Classic 7.0% PEPRA 12.0% Classic 13.0% PEPRA Unfunded Liability Payment $26,113,041 $30,102,971 Discount for Prepayment $868.611 $1,001.331 CalPERS announced its investment return for the year ended June 30, 2020 was 4.7%, which is less than the CalPERS 7% assumption. Therefore, we expect the unfunded liability to grow, and the required contribution to increase for FY22-23. The following chart summarizes CalPERS assumed rate of return, and actual investment returns over the last 20 years. The average investment return over 20 years has been 5.8%, which is less than the current assumption of 7%. When actual CAPERS investment returns are less than assumed, the required contributions increase. City Council 23 — 35 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 4 CAPERS Re.U.IMS - ActuH VS. A"UrtipLoon The following chart summarizes the City's contributions over the last three (3) years, the budget for the current year, and the CalPERS projections for the next six (6) years. CalPERS projections used for this chart do not factor in the 4.7% investment return for the year ended June 30, 2020. CaWERS ContributionS in Dollars Mn N"findt f, , n,:aL fy N I'll II �,.r M,;cI,n, ny C rtT,ty 1 cu'Wy 1'rr,n,-n1 City Council 23 — 36 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 5 The adopted budget for FY20-21 included an $18.6 million or 5.7% use of General Fund balance to preserve existing service levels. Considering the projected increasing costs for employee pension and the reduction of the Measure X sales tax rate from 1.50% to 1.0% in 2029, the City must find a way to generate additional revenue or reduce costs to rebalance the budget. Refinancing the pension debt is one potential way to reduce costs. The City has already taken the following steps to reduce its employee pension cost. 1. Employees pay the full employee contribution (some cities pay a portion of the employee contribution). 2. Statewide PEPRA established the lesser benefit for new employees. 3. The City pays the required annual contribution to the unfunded liability by July 31 of each year to obtain an approximate 3.3% discount. 4. In 2016, the City established an irrevocable Section 115 Trust with an initial deposit of $0.5 million, to set -aside money for future pension costs. The City has not made any additional deposits to the Trust. Development of Strategy UFI and staff worked together to narrow the field of potential strategies for reducing the City's pension debt. In general, the City can either make additional contributions to reduce the debt faster, or refinance the debt with better terms. In addition to the Memorandum (Exhibit 1), UFI has prepared a presentation (Exhibit 2) to summarize the most feasible strategies as follows. 1. Refinance the pension debt by issuing pension obligation bonds. The bonds are taxable and carry a higher interest cost than tax-exempt bonds. Although the pension debt is a legal debt of the City, a court validation is necessary to proceed without voter approval. The court validation process, as outlined below in "Next Steps", can take up to six months. We will also need to determine the portion of the pension debt to refinance. Refinancing less than 100% will help mitigate the risk of paying more over the long-term, as discussed below. 2. Use Water Enterprise cash to reduce its $13.5 million pension debt for water employees. The Water Enterprise has a plan to use the cash for water capital projects. If the City employs this strategy, then the Water Enterprise will need financing for these projects. The City can obtain separate tax-exempt financing for water capital projects at better terms than taxable pension obligation bonds. Risk of Paying More When the plan outperforms assumptions (e.g. investments earn 9% instead of the assumed 7%). the pension debt decreases. If the City were to refinance 100% of the pension debt (not recommended), the amount of the debt is set, and if CalPERS investments outperform the assumption, the City's pension debt will not decrease. This may be an unlikely scenario, as CalPERS own actuaries have stated they believe the investment portfolio will earn less than the 7% assumption over the long-term. However, the risk exists. With savings achieved from potential bond interest rates ranging from 3%- City Council 23 — 37 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 6 4% vs. CalPERS charging 7% on the debt, CalPERS investments would have to consistently outperform over the next 20+ years for the City to pay more. The proposed policy document (Exhibit 3) includes an example to illustrate this concept. UFI prepared a Monte Carlo analysis to quantify the risk associated with pension debt refinancing (sec page 14 of Exhibit 1, which explains the methodology and the results). Based on current market rates and recent comparable transactions, the results indicate the City has an 87% probability of saving money with a 90% financing, and an 84% probability of saving money with a 50% financing. New Unfunded Pension Liability After Refinancing When actual plan results do not meet the assumptions (e.g. investments earn 5% instead of the assumed 7%), the pension debt increases. If the City refinances 100% of the pension debt balance at June 30, 2021, negative plan results for each successive year will generate new layers of unfunded liability amortized over 20 years. Therefore, the City will pay the debt service for the pension obligation bonds, plus a contribution to CalPERS for each new layer of liability. Savings Clarification For FY20-21, the City's budget for its contribution to the unfunded liability is $48.0 million ($49.6 million required contribution discounted by 3.3`yo for paying by July 31). By FY26- 27, CaIPERS projects the annual contribution will grow to $71.4 million. If the City were to refinance 90% of the pension debt, the annual bond payment might be $40.1 million. It is tempting to say the pension debt refinancing would save $26 million in FY26-27 ($71.4 million projected by CalPERS, less bond debt service of $40.1 million and FY26- 27 contribution of $5.3 million for the remaining 10% pension liability). However, the City has not yet funded a $71.4 million contribution. The City currently funds only $48.0 million. Therefore, it is more accurate to say our annual budget savings is potentially $3.8 million (current budget of $48.0 million, less bond debt service of $40.1 million, and FY21-22 contribution of $4.1 million for the remaining 10% liability). The General Fund would benefit from approximately 86% of the savings or $3.3 million, as the General Fund pays for 100% of the Safety unfunded liability and 72% of the Miscellaneous unfunded liability. Proposed Policy Before refinancing the pension debt, the City needs a policy to guide refinancing parameters and outline methods for funding future pension debt. Credit rating agencies will look for such a policy to ensure the City Council has made an informed decision and has a plan. The proposed policy document (Exhibit 3) includes the following policy statements, fully explained in the docurent: 1. It shall be the City's policy to use a targeting strategy, and apply any Additional Discretionary Payments to loss bases at the beginning of an amortization cycle to maximize overall savings. City Council 23 — 38 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 7 2. It shall be the City's policy to consider an additional discretionary payment to reduce the unfunded pension liability during each annual budget process, when staff identifies accumulated fund balance in excess of reserve policy requirements. 3. It shall be the City's policy to propose reductions of the City's normal cost contribution during labor negotiations, based upon the plan funding ratio and the City's current and forecasted financial position. 4. It shall be the City's policy to consider paying down the unfunded pension liability when there is at least $20 million of cash available for capital projects, and it is feasible and economically prudent to issue tax-exempt debt for the projects. 5. It shall be the City's policy to consider adding money to the Section 115 Trust account during each annual budget process- 6 It shall be the City's policy to consider issuing pension obligation bonds only if the following criteria exist. a. The City Council must conduct a public meeting to consider the results of an analysis quantifying the risk probability of the City paying more over the life of the bonds. b. To maximize potential savings, the bond interest rate must be at least 30010 less than the plan's current discount rate. c. To ensure the City benefits from the possible scenario of actual plan results exceeding CaIPERS assumptions shortly after issuing debt, the bonds must not exceed 90% of the unfunded liability. d. I he bond structure trust not extend the life of the debt. e. The City must not use bond proceeds to pay the normal cost of the pension plan. Next steps If the City Council directs staff to move forward with the pension debt refinancing, staff will need to propose a contract for bond counsel services, and the bond counsel will need to write a resolution for the City Council to consider authorizing the sale of pension obligation bonds. After adoption of the resolution, bond counsel can move forward with the court validation process with the Orange County Superior Court, which may take up to six (6) months. During that same time, the City can release a Request for Proposals (RFP) for bond underwriting services to ensure the best pricing and Service. Once the City receives its court validation, the bond financing team (staff, bond counsel, financial advisor, and underwriter) will propose a bond indenture, bond purchase agreement, and Preliminary Official Statement for City Council consideration. The City can sell the bonds only after City Council approves these additional documents. A summary of the process follows, and each step requires City Council approval. City Council 23 — 39 5/18/2021 RFP No. 21-025 EXHIBIT B Consider Pension Debt Refinancing and Policy February 2, 2021 Page 8 If the City obtains its court validation in less than six (6) months, the City could sell its bonds sooner than November 2021. FISCAL IMPACT Based on current market conditions, the City could save $3.8 million annually by refinancing 90% of the pension debt. If the City Council directs staff to proceed with refinancing the pension debt, staff and the City's hinancial Advisor will provide updated savings estimates with each future staff report. EXHIBIT(S) 1. Memorandum dated December 10, 2020 from Michael Busch, CEO of Urban Futures Inc. to Kathryn Downs (the Feasibility Analysis from City's Financial Advisor) 2. Proposed Unfunded Employee Pension Liability Cost Reduction Policy Submitted By: Kathryn Downs, Executive Director Finance and Management Services Approved By: Kristine Ridge, City Manager City Council 23 — 40 5/18/2021 EXHIBIT 1 :7y AZC71 415-13 EXHIBIT B UF1�. n TO: KATHRYN DOWNS, EXECUTIVE DIRECTOR AND CITY TREASURER FINANCE AND MANAGEMENT SERVICES AGENCY, CITY OF SANTA ANA FROM: MICHAEL BUSCH, CEO DATE: DECEMBER 10, 2020 RE: STRATEGIES FOR ADDRESSING CALPERS PENSION LIABILITY This memorandum has been drafted in conjunction with the development of a customized pension model used to analyze and evaluate solutions to address the City of Santa Ana (the "City") pension liabilities, based on the most recent actuarial reports dated, June 30, 2019. We have analyzed several potential strategies and developed two pension obligation options for consideration and outlined the necessary validation process required prior to the issuance of bonds. The analysis below is based on our eight (8) step process for analyzing CalPERS pension plans their associated liabilities and to draw upon financial strategies to address current and future liabilities. The objective of the study is to provide a summary of pension plan cost drivers and develop a financial plan necessary to fund increasing liabilities. ,ify ($Sues, (41 options ( 5 ) (.8., % I Continual follow-up an City Council 23 — 41 5/18/2021 RFP No. 21-025 EXHIBIT B 4 Key Factors Driving Pension Liabilities Prior to legislative changes facilitating changes to CalPERS retirement plans, the State of California and CaIPERS member agencies, many local agencies were considered "super funded", which means they had over 100% of their respective CalPERS plans funded. I lowever, in 1999 and 2001, SB 400 and AB 616 were passed by the legislature granting member agencies to enhanced existing benefits for safety and miscellaneous plans. The allowance of enhanced benefits allowed for future retirees to capture a higher benefit level based on prior service with a current employer. The retroactive benefit was unfunded and immediately created unfunded liabilities in most, if not all pension plans, upon adoption. The remaining tour (4) drivers are based on the following: 1. CAPERS Plan Investment Returns, 2. Cost of Living Adjustments; 3. Demographics (Life Expectancy); and 4. CaIPERS Contribution Policies With the adoption of the Public Employees' Pension Reform Act (PEPRA) in January 2013, the ability to provide enhanced benefits was eliminated. However, the remaining four drivers remain in effect and continue to impact the funding status of CalPERS plans throughout the state. In the sections below, we will focus on the impacts of investment returns and CaIPERS policy changes including demographics and contribution policy changes Pension Plan Reporting Basics CalPERS provides two annual "aggregate" actuarial reports for the City's Miscellaneous and Safety employees, respectively. Each group of employees has two tiers: 1" Tier or Classic, and PEPRA. The actuarial reports group together both tiers into a single report. —they only provide a single unfunded accrued liability (UAL). The plans are funded through two (2) categories: 1) Normal cost; and 2) Unfunded Accrued Liability. Normal Costs - Since Normal Costs are based on a percentage of payroll, they are directly linked to the size of the City's payroll and are reported by tier. A portion of these payments are made by City employees based on negotiated terms. Unfunded Accrued Liability ("UAL") - Similar to most CalPERS Plans across the state, the City's UAL represents a financial shortfall of the Plan to meet current benefit funding levels. As of the actuarial report dated June 30, 2018, the UAL was $681 million. The City's most recent UAL for June 30, 2019 is $707 million, reflecting an increase in of $25.8 million from the prior year (see chart below). City Council 23 — 42 5/18/2021 RFP No. 21-025 EXHIBIT B I AN 3AFTTY COMBINED f,.ra r"q .l I I.YIV11 ry (Al w / I oI J 762,i5i,002 $ 2,079,148.456 PA'I(k¢, I v"11, Aw '.w!n;, 4 A%rAlj o ' 1!), a,/ St 77.1,J.28,328 1,398,052,116 H) I = A[ n V/) 1M 'fin :,a.',r 1,k G6 $ 388,022,614 $ 681,096,340 f'1'S 6I'll 67% Unfunded 1 2019 INN '.R"'LL.69. _A'_6tJ'il 15A11:ETY COMBINED Pq.,:�:�,.¢all of�ail�ylBily ^IFlYt,�,l"✓1;%nj $1,9y1,40%941 $ 2,139,894,186 787,086,636 1,432,988,981 [JAI --Al iVIVA '10 ,1Vt YVYA $ 404,723,2IlIl. $ 706,905,205 q 11 GG 670/ CaIPERS' actuarial reports are drafted with a 2-year delay. In practical terms, the June 30, 2019 report provides information about the FY 21-22 UAL and required UAL payment. As a result, the corresponding UAL balance of $706.9 million (reported on June 30, 2019), is adjusted upward for the upcoming fiscal year (FY21-22) to a projected amount of $709.9 Million. The change in value reflects payments made and interest accrued toward the UAL from June 30, 2019 until June 30, 2021 (FY 2021-22). CaIPERS uses the FY 21-22 figure to calculate pay-off amounts on PCBs or pre -payments (ADPs). Consequently, we will use the more current projected $709.9 million figure for the UAL for the remainder of our analysis. PENSION PLAN FUNDING AND FORECASTING Amortization Bases In January 2013, afterthe adoption of PEPRA pension reform legislation, CaIPERS began requiring members to make fixed dollar payments toward their UAL (as opposed to payments based on of payroll). The City's UAL is comprised of a series of amortization bases. Each amortization base operates like a loan to CaIPERS, with 7.0% interest rate; and has a different repayment terrn (maturity), ranging from 5 to 20 years. CalPERS shortened the repayment term from 30 to 20 years in 2019. The City',; projected $709.9 million (JAI is comprised of 46 amortization hases, each with a distinct repayment schedule: • Miscellaneous Plan: 24 Amortization Bases in the totaling $298,799,264 • Safety Plan: 22 Amortization Bases in the totaling $411,056,199 City Council 23 — 43 5/18/2021 RFP No. 21-025 EXHIBIT B )�'ruii 11ftI,AMclw I Year I(CSSon Ifbrnp Ienn b&ISnfe YSymCnl 1 -,cot, FIeSh start NO 17 (1,507,124) (124,360) J Jnn/ Ncnaflr(hl"i, No / 111.)1/h 4bzss¢J 10u/ n.n[flc Lhl1,1 NO S 1'LL]1J 1952s 4 t011Y 0. .r nlPtlnn 1111,1 NU 30 211,911,Ii12 1,�IAI11I LLLI 1pec.. I+a'. 11)/I.— NU Ja LJ,]Ltl llYh L,1/_]ILL 6 2010 S,e ,. IC, ln l!'_o.. No 21 10,805290 774,689 7 2011 AaaamP-; on Cneng. NO 12 12,8S2,043 1374,150 8 2011 SWc lGnL WL.— NO 22 (7,380,4801 1512,9361 9 2012 P]111 en11Gain)/Lam NO 23 .5,629,785 381,500 I 7n11 (C.6'1/I.— Nn 71 I764`11) II70nB) 11 701i (f,fn)j 11v .. 1nn,, 14 1n0,iP4591 fi095471 17 7014 Pnn1Ptlon C.v7 np;. 1n0'A t' PSpi973S 4, i7"967 ti 1114 (Ca3n)Pnc: tno] 9(411411GaJ 14 )01_ (oil1111 n. 160% )6 B) 1112A 1151;45G 15 )016 ALumpvor I'lvnd> fnl7 17 L )GA.114 7,7vQ5) 1G 201C (Cen)/Ln.. AON. 27 17,94129G 19Cs4,4AS 17 2117 A ImpGOr Cn1nPI- GO% I 11,723,G57 747,1A2 19 2017 Ua3n/Lu_, GO% 28 I21,124,2Gn1 1830,1-91 10 2016 Me,IImICr :tT 10% 19 6,357,217 231,819 10 201A Asau In Lion C)a nCe 10N. 19 30, 751,017 1.12l,45& 21 208 (g] 11 um 40% 29 111,919,487) (242,422) 22 204 A SA''I li ca r11u 10.e NO 20 145,209 12,266 23 2019 Nan-II11e:on..1ICi3 111 NO 20 3,048,449 278,180 21 2019 nveatnlen.JNt(Gah)/Lai 20% 20 1d22,161 83,568 m Year I(ea3un I(amp lerm balanfe 12ylnerlL 1 LOOS Fresh Stalt NO 15 $ (2b54991) 5 (215,631) 11. NPn01T Cl11 I'l NO ` I.I E,IAn i7/.1.1 _ LOu9 A`.: a 1111 m n Change N0 10 1a.99'6s1 1, [:91p4✓. a Loot sl,cua (goln)/a-- NU 1n 119/r.LYI. ;]LL.L9u Lulu ]Penal (baln)/I�s N0 Ll hl./Ya...aj ICe. bL) 6 20_1 A._um Phan Cbonge NO 12 16 C014S8 1,707,020 7 2011 SPeci]I (c]iulqu_: NO 22 (4 37a.026) (204,640) 8 2012 P]Ymo'=l9]ir0/1— NO 23 2.240,551 558,418 9 2012 lu]In)/im; NO 23 74450415 5,04`102 In lnil ITT "l/'.— 1Mir. ,3 111f+fi1711 O,OnF,JS] II 1014 1.( F.jl 10/7_S yr. IonI.. IS SVUa q Sa,i ,,1 17 To, (911)/IIll on, 7i (°.¢79ai74) I3 ,n, (e, nJ/In'1 ,o11'A 71, .4,/10ILI 141,4'„ 14 )(M. 7­,0 A rn 7375A 9CrA ,7 14A7771A 140,6;1: 75 )01r (g.,l n)/las qo% )7 ,,.4040R9 ),ri6,34u 1G 2117 717;^..; 1a 72r% C10% ,A 22905, 190 1247,070 17 )617 (aj vW,,: 60% )A 0)L51.3S41 I JA3)11) 18 2018 Mclhod Chcnga 10% 19 G.22,'2r8 191188 13 2018 7.25k-a700k 10k 19 38.600,765 1,111886 20 201£ lrainl/iaii 40k 29 (1l71k09) (39,187) 21 2019 mpn-ervstm •nt [tialn)pC Na 20 `,185,187 472,164 22 2019 1lvrcm+ry rn 20', 20 a 463 87. 97.502 I Combined UAL S 709,655,463 S 56,216,m I The annual UAL payment is an aggregate of 46 loan amortization schedules, which is equal to $56.2 million for FY 21-22, as illustrated in the chart above. New Bases CalPERS adds a new Amortization Base to the existing liability each year, including "credits' for positive investment performance above the discount rate of 7.0%. Based on the CaIPERS Actuarial Amortization Policy, investment gains and losses, a change in actuarial assumptions or actuarial methods, and changes in plan provisions are amortized over a period of 20 years. Specific to investment gains and losses as recognized in the City's valuation shall be the annual amount determined in accordance with the following schedule: • Year 1: 20% of base payment • Year 2: 40% of base payment • Year 3: 60% of base payment • Year 4: 80% of base payment • Years 5 through 20: base payment New bases are based on a combination of policy changes referred to as a "change in methodology" approved by the CalPERS Board and investment performance. For example, a change of methodology was reported for 2018 when CalPERS added a new Amortization Base to account for the reduction in the Discount Rate from 7.25% to 7.00%. In the following year, CaIPERS reported a 6.70% investment return on June 30, 2019. This minimal investment loss (compared to 7.0% benchmark) will be reflected in the up -coming June 30, 2019 actuarial report released in July 2020. City Council 23 — 44 5/18/2021 RFP No. 21-025 EXHIBIT B Impact of COVID-19 Due to the impact of COVID-19 on the economy and capital markets, we anticipated that CalPERS will not meet its investment target of 7.0%for fiscal year 2019-20. In July 2020, CaIPERS reported an investment return of 4.7%. Like the prior year, actual investment performance will be reported as a Toss when compared to the 7% discount. We will know the exact figures when CalPERS will release the June 30, 2020 actuarial report in late summer 2021. UAL Payment Schedule The City will be required to pay a fixed dollar UAL payment of $56.2 million in FY 21-22, in addition to the annual normal costs of approximately $16.5 million. If the City elects to make the UAL payment in July 2021 (as opposed to evenly spread payments over FY21-22), which reduces the UAL payment to roughly $54.3 million. The City's UAL payment scheduled has two peak dates- in FY 2027-28 at $72.4 million and in FY 2030-31 at $73 million — a 30% increase when compared to the FY 21- 22 payment of $56.2 million. 01111 CALPERS PENSION PLAN ADMINISTRATIVE & LEGAL CONSTRAINTS Plan Termination Payment uAI A--,q ,,r,nn V, ...f—T sCt,Gq�5,�03 With PEPRA, the California Legislature took steps to reduce pension benefits for new hires and required new employees to pay 50% of the annual normal costs. However, PEPRA Legislation also protected the benefits for all "classic' employees (hired before 2013). As a result of PEPRA, the Public Employee Retirement Law (PERL) now includes a provision that states that benefits for "Classic" employees cannot be reduced for service/liability already accrued. We understand this provision could be challenged in court, however, major judicial revisions to CAPERS pension benefits is very unlikely, without a major reversal to or reinterpretation of the California Rule. CaIPERS routinely includes a termination payment amount in its actuarial valuations. Based on the most recent CaIPERS report, the estimated termination cost is roughly 2 billion. This is the City Council 23 — 45 5/18/2021 RFP No. 21-025 EXHIBIT B estimated amount the City would need to pay to CalPERS to exit the system. Upon receiving this payment, CaIPFRS would assume the full responsibility of paying all retirees and current employees benefits earned to date. The Termination Payment is calculated using a conservative discount rate (US Treasury Bond rate). In most cases the Termination Payment is viewed as cost prohibitive to fund. Alternatives to CAPERS Notwithstanding the financial and legal constraints, we have included below a brief discussion regarding the City's theoretical options. Defined Contribution Plan (DC) —The City would reduce its retirement costs if it converted to a defined contribution (DC) plan — effectively transferring future performance and funding risk to employees. Under a DC plan, the City would only be required to make its share of annual contributions; employees would assume the risk torthe outcome/funding level. Under a DC plan, by definition, there are no UAL (unfunded accrued liability) payments — the employee assumes general control over investment decisions and assumes the risk of its outcomes. This option requires termination of the CaIPERS contract, with the termination payment noted above. Therefore, this option is not feasible. Under current interpretation, the California Rule effectively requires employers to provide substantially similar retirement benefits to its employees. Employers outside of the CaIPERS system are required to pay into social security, which adds a 6.2% payroll requirement. Split Agency/Mixed Plan (DC)— CaIPERS does not allow an agency to create a split or mixed plan. CaIPERS prohibits is participants from offering current employees' participation in the CaIPERS systern and new employee participate in a DC plan. Alternative Defined Benefit Pension Plan — The City could possibly retain greater control over the investment process if it were to transfer its assets ($1.4 Billion) over to another pension plan/investment manager. In which case the liability would transfer over to the new provider. This alternative will require full approval of both CalPERS and the bargaining units. Moreover, due to the California Rule, we would assume that required annual pension contributions would essentially remain the same. To date, no public agency has transferred management of its pension plan from CalPERS to another plan manager. Such a move would require significant legal analysis, and a probable court challenge. Although hypothetically it appears legally and financially feasible — it would likely require a full transfer of assets and liabilities and thus provide limited savings. CALIPERS FUNDING OPTIONS In 2017, UFI created a pension focus group consisting of 25 public agencies with growing CalPERS plans liabilities. After roughly a year of study, we determined many agencies understood the City Council 23 — 46 5/18/2021 RFP No. 21-025 EXHIBIT B causes of growing pension liabilities, but very few, if any, had a plan to fund increasing UAL payments. This next section is a focus on UAI funding options including the following: 1. Targeting Strategies 2. Use of Reserves & One -Time Monies for Addition Discretionary Payments (ADPs) 3. Leveraged Refunding 4. Tax -Exempt Exchange 5. Ponsinn nhligatinn Ronds Targeting Strategies Before we commence the discussion regarding funding options, it is important to understanding the impact of using "targeting strategies". When making Additional Discretionary Payments (ADPs), assuming the City has available cash to do so, CalPERS requires each agency to specify the Amortization Bases to apply payments. Pw prirri ary purpose of develvpiog u a.i olrnzed fwrosiorr model o> to deterrypirte, viMh prl ci,,iol7, fhc 'tYSP),ppp jitpunr7G4l mpp(ect of e(Ech I'vildim'] a�4�1Ar.10 so tut ion, gig, a�a,rbon Making Additional Discretionary Sixaa ooa Payments (ADPs), the City is 3a°u,00n principally prepaying a loan. 5rsln,noc� ;:f3f� 6110 The City has a total of 46 5u nnu Amortization Bases (totaling $710 52rlGx) million UAL), with terms ranging so from 6 years to 29 years. 11 ARGII Ili. iNGi Sf R All II::GI 11 S �IMllu tlA._10Y my lO YcoaF .n ro0on ■ I�1Vvi =$1; 1I:4,9gQ I';ayrrlenxs �1 10 y<.x-:y:B,Ara L,Ebfb(1 Payrr,"M, The City should consider applying additional monies toward its UAL based on its financial objectives: 2�iza.r;m r• G,LaI r,tvr ,;t: GF , ^„ na n,, -target long-term Bases (e.g., 30year). • Maxiinize Shout -Term Cash Flow Savings - target short term Bases (e.g., 5-1S year). All future funding decisions will utilize the concept of targeting strategies to tailor the application of additional payments Lo meeL Lhe Cily's financial objectives. Use of Reserves & One Time Monies for Additional Discretionary Payments (ADPs) The unfunded liability is comprised of 46 Amortization Bases, which are effectively loan payments to CaIPERS @7.0%. The City should always consider the "opportunity cost" of its financial/investment decision in context of this ever-growing pension liability. City Council 23 — 47 5/18/2021 RFP No. 21-025 EXHIBIT B Evaluating the Opportunity Cost requires you to decide whether to continue to fund/increase reserves or to pay down the UAI . Currently, the City's pension liability is accruing at 7.00% rate, while the City's investments are earning 1.016% as of October 2020. Under these investment parameters, the City should seek to pre -pay its UAL when excess reserves or 1-time monies become available. Fhe GLy shocitd+:rrrrsicfermakim? '31 3.5 nullhun Frrayincitts (AEIF's) to CoUlf /V>. Ifw Wawr 6 rDrirrprisi ;brace o/ the urrflrrrded habliny fs . l ;.S rmllion rims is ,.M.ffed by ocnr !"nrorrD pe t mone/. 'Fa rnuxirrrr.w oveiall I avin(V, the ADP sJruvld torget A/liscellrse�rous F3ra,r- il1b (avrrnr'tiz�r'f rwrrZ7yEe7rJ -,; PL4 rrDrBlovn. By making $13.5 million in ADPs (tram Water Fund reserves) and selecting Base N16 the City would eliminate $31 million in UAL payments (Net savings = $17.5 Million)and would fully fund the Water Enterprise's current UAL. 54,500,000 ..}3,404D,rt16DLD $3,00,11,600 ti.J','s SDQD,rtJ....fPCP $2,Lo o,1dm {n �.,.EGDb'D, 61GDeD {ta, a,Pt.ADP.414'P4A 5500,0001 r1,0, ADIPI (Base 916 • $1 G,'.I: Milllio n Water IPiand ■ Original INiyrn-r!nts x+d nY+8- !4 tf.'r I`� Ot➢ lye Q:A d+l vp t:f rh •.iY I"w M! <A !h W 1`� YHl I'+➢ .1Y 11 .1 ID 11 Q13 IT, C, hl tn➢ pY dv4 dv4 'v) r., fj iI5 ^:A k ^:A 4:A �,j' ag- •y ':p +p- I"'A I"A f+A f+A M1A fM 1"'4 1"'4 1"'4 Y"d Y d 1"'4 PA PA PA PJ PJ YV Y"J 11 r•1 r•1 Y'd IN I"A 1"A f+, • Pro-Rata reduction in balance & payments • $31 Million Total Savings / $17.5 million Net Savings Leveraged Refunding The City will be presented with opportunity to refund its outstanding bonds periodically. In such instances, the City should consider a "leveraged Refunding". A leveraged refunding structures the refunding bonds with "up -front" savings in the first few years, then applies these savings to pay for a portion of the City's UAL. When applied to a long-term base, the saving from the bond refunding could be leveraged in 2.0 — 2.5X times greater pension cost savings. City Council 23 — 48 5/18/2021 RFP No. 21-025 EXHIBIT B MINfA AINA ui=M raarru. 1(1LL41 n ncnL Fs There are a few refunding opportunities that will be available to the City's the next 4-8 years. One opportunity we have identified is through the Successor Agency which has two refunding Tax Allocation Bonds (TABs), which were issued in 2018 totaling $73 million. Only $3.5 million of the 2018A bonds will be callable in 2028 — they City should retain 18.7% of such savings, which would be realized by the General Fund in the form of greater RTTPF revenues from the Successor Agency. Although nominal, these refunding present an opportunity to address a potential downturn in revenues when the City's Measure X sales tax decreases in 2029 and the City's UAL peak payments occur (2028). Tax -Exempt Exchange Making cash payments to CalPERS provides the greatest interest cost savings. The concept of tax-exempt exchange is a financing mechanism that can provide significant savings. Tax -Exempt Exchange requires a 4-step process: 1. Identify capital projects to be funded with accumulated cash balances 2. Issue tax-exempt bonds to finance these projects, instead of paying cash 3. Select Amortization Base to pre -pay, using the cash originally planned for the capital projecL 4. The City would use its budgeted expenditures to pay the debt service on bonds issued for capital projects, instead of making payments to CaIPERS. Listed below is a sample savings assumption using the tax-exempt strategy funding a $5.3 million CIP projects with tax-exempt bonds rather than cash. For illustation, the City could finance $10 million in traditional capital improvement that it would pay from General Fund monies (e.g., $3 million per year). As noted in the chart below, the red shaded area is a representation of the UAL payments for Miscellaneous Base #10, which is equal to $10.8 million. The blue bars represent new annual debt service payments, for the $11.0 million in tax-exempt bonds that would be issued under a tax-exempt exchange strategy. The total savings equal $9.0 million over 20 years — 631/o of the amount financed. $2.6 million derived from this strategy. City Council 23 — 49 5/18/2021 RFP No. 21-025 EXHIBIT B Tax -IF:xa•Iro pt IFxChari.go }1,400,090 $11 Million Tax -Exempt Bonds $9.0 Million Deferred UAL Savings }:I..ft200,000 $6.8 Million NPV Savings -63% ■ IJAFI_ P:yWimwrrc4g RPolgr,.. �aaSe ttti> j P.., 7;a4J0,iUU41 Iboalal. Sei viq e $800,000 %00,000 a400,000 ;200,1 00 $0 CP "ia'„�. SiY'D . S1, V. , ciY'n, iY'e.''aI4 �'iY'1, q'rS� �?'�L Csy4 <.y3�e �irc S1) a.'"rh r ra''b.5 6. ° a'`� 4`ti9°'a, ca•".w Y. ti' Y b' Y. Y. ➢. Y. b Y> b Y. Y.' 1. V. 9: Y' 5 Y Y 9: Tax-exempt exchange can be viewed as an alternative to ADPs from reserves and is best suited as a strategy to manage future pension liabilities. Pension Obligation Bands (POBs) Given recent and substantial increases in UAL's across the state many local agencies are seeking funding options to effectively reduce annual payments with the goal of retaining reserves and current service levels. The passage of PEPRA and the change to a fixed amortization schedule and dollar payment amounts, Pension Obligation Bonds (POBs) have come back into discussion and study. Combined with all-time historic lows in the taxable municipal bond market, POBS have become more prominent and accepting to municipal bond investors. Since 2017, sixteen POBS exceeding $50 million in issuance size have been issued in California. As noted, most are in Southern California with issuance on average of $187 million (see chart below). City Council 23 — 50 5/18/2021 RFP No. 21-025 EXHIBIT B California Pension Issuance Summary Por tint I)atP. ISSIIPr ISSl1P $mm Obligation Roting•: SSaI'/M/r Fines Maturity r Bond Structure Find Ro po y rncnr UAL Structure All In IIC Pricing Result 30 TIC yeat 5 read to 11/19/20 Cnacllell.i PUBS >1/.60 AA-/-/ 2(136 2045 1. h8x� 141 11/1?/?0 POn, 1nI.5o AA / / 7039 1041A pvCl 3.3yg 1.7596 1S8 10/27/20 Arcadia POBs 90.00 AAA/-/- 2010 20M Level 2.70'A 157% 113 O')/17/20 Azusa PUBS 7u.08 AA-/-/- 2040 2U45 Level 3. 1114 1.43M 170 08/13/20 Ponlono LRus 219.89 AA -/-/A+ 2046 2u46 PruporLiun]l 3.SYY 1. 38'% 214 07/74/70 Wcst Cnvinn Pnnr: 7n4. 10 A+/-/- 7044 7n44 Prnpnrrinn,l 3. GR% 1J4% ?44 O0/09/20 El Moms POb 117.73 A+/ /A 2050 2043 PIOPurLional 3,3856 1.S356 185 06/08/20 Carson P08s 108.02 AA-/-/- 20SO 2013 Proportional 3. 71W, 1.5046 212 oh/(M/Jo Riverside City PUhs 41J 1/ AA/ -/AA- A( 704ti Pinpnrtinnal :i. (i946 I L. J)8 nG/n2/2n Inelcwpod POOs 101.62 AA / / (AGM) 2050 2046 Pro purli(inal 3. 91'Ya 1.48'% 243 05/0/)O Ontario PORs 736. 59 AA/ -/AA- 7050 7049 Proportional 3. 7>ry� '1. 389(. 734 04/22/20 eivcrsicic Co I.OBs /20.00 AA/A2/ 2038 2046 Proportional 3.53% 1.229/ 231 02/05/20 Pasadena Po Bs 131. fit AAA/-/- 2045 2043 Proportional 3.06% 2. 14% 92 19 [;Itn(Ip r, POII, 64.40 AAA/-/- 1044 7046 Prppwti,,,.A 7. .11% /4 09/24/19 Haw Lhornc POB, 121.87 AA /A3/ 2049 2045 Lcvcl 3. G1A 2.09% 152 U7/25/18 La Verne POEs 94.27 AA./-/- 2U44 2046 Level 4. 26% 3. 06M 120 U]/31/18 Iulore County Pous 251.22 AA -/Al/- 2U3/ 203/ Level 4.23% 3. uu% 123 10/30117 Mnnnoviv POR.. 911 :, AA / / 2c.47 2n47 Lcvcl 4.07,% 2. R3% 122 10 31 17 Ine.1cwood POD, S2,80 A3 AGM 2047 2,347 Levcl 4.55% 2.88Y, 1G7 In addition to POB's issued to date, eleven agencies have initiated the process to issue bonds. Three Orange County cities are in the process of issuing bonds including Orange, Huntington Beach and Placentia. The total UAL for these agencies is over $2 billion (see chart below). Chul, Vista Huntington Beach nraneP Downey FI Cajon Monterey Park Corolla Manhattan Beach 5350,000,000 67.10% 67.40% 69.60% 70.40% 440,000.000 71.50% 72.60% 64.80% 65.500/ mn,n00,000 71J0% 71_?09/, 67709/, 68110% 200,000,000 68.40% 68.60% 66.50% 66.40r 150,000,000 6690% 67.40% 61.50% 62.00% 110,000,000 69.80% 70.50% 70.20% 71.30% 272,D00,000 65.400L 67.90% 64.500/ 63.509/ 92,000,000 76.10% 76.10% 71.50% 71.00% Covina 72,000,000 68.00% 68.00% 68,00% 69.00% Commerce 31,000,000 70.DOW 71.00% NA NA Whittier 143,1300,DDO 74.00% 75.00% 59,00% 60.00% Uuland 120.000.000 68.00% 68.40% 67.00% 68.60% POR Sale in 7071 QI POB Sale in 2021 Q1 Validation approved Aug.. 7n7n POB Sale in 2D21 Q1 POR Sale 2070 Q4 POB Sale 2021 Q1 POB Sale in 2021 Q2 POB Sale in 2021 Q1 Volidation Initiated in Dec. 2020 Validation Initiated in 7071 Validation Initiated in 2021 Validation Initiated in 2021 As previously stated above, the City's projected $709.9 million UAL is comprised of 46 Amortization Bases with corresponding Amortization Schedules. These bases represent a series of "loans', with a fixed repayment schedule with a 7.0`lO interest rate. City Council 23 - 51 5/18/2021 RFP No. 21-025 EXHIBIT B Given this context, Pension Obligation Bonds (POBs) in California may be viewed as a debt "refinancing. PORs must be issued on a taxable basis because the pension benefits private individuals (the City's current and former employees). Nonetheless, POBs present the only financing tool available to significantly impact the City's required UAL payment schedule. Options for City Council Consideration Our study of the City's UAL and financial viability to meet its current and forecasted obligation led us to assume two (2) POB funding options for City consideration; 1) a POB equal to 500/ of the City's current UAL; and 2) a POB equal to 90% of the City's current UAL. In preparing the analysis for the 50% UAL option the following was taken into consideration: 1. POBs — SO% UAL a. $358 Million POBs with Hybrid — Level Debt Service b. 25-Year Final Maturity c. Target Longest Safety Bases Only sod% UAL If" A:1 Rs Year (:5ulfiAy OrTIy). I tylarid Lcnrcl S:�al,00n,ono $358 Million POO $1113 Million nwfarrnd UAL CocK ?Jo.000,ono .. $32 Million 9udgac2ry Savings ° y 5144 Million NPV Savings =41% AA- 5[Ok -1S d05 = 3.15 11L." fif4),0of1,00o •• •••-•.• d10,s, UAL Papn=nhx • �ti7""ofnlnp 5A.nV UN Sim o00,00o VOIl Uc4v inns UnvUe9=lar) < asPo Flow SavfiveN*, J ,.nal WA 1',yr..nu $30,po{ypao tz+�,on2onn i I n,nnr? 00;Y I4V." •013 -!0I4 'I1Z5.[OZfi ]11 f! •0 ttl 9)P9 to 11) Al t 1803Z do a r 4114 11 V, JO A, A;; A) IK In 14 ko4020,11 Soo/ B143 10442014 AW, J041 Z041i $14),GIlo,000 In preparing the analysis for the 90% UAL option the following was taken into consideration: 2. POBs-90% UAL Million a. $642 Million POBs with Hybrid —Level Debt Service b. 2S-Year Final Maturity c. Misc. Base #14 & #16 remain outstanding City Council 23 — 52 5/18/2021 RFP No. 21-025 EXHIBIT B �G42 Ml loll POP' 1IIIIIIIIIIIIIIIIIIIi��_ The chart below is a summary comparison of the two options. Because the average life of the UAL payments for the 50% POB option is 24 years and the 90% option has an average life of 18.5 years the True Interest Cost (TIC) is higher for the smaller PCB issuance. However, the 50% option offers a greaLer percenLage of savings. It is important to delineate the difference between true budgetary savings and deferred UAL savings. POBs refinancing the City'sfuture UAL payments at a lower interest rate. The difference between the scheduled UAL payments and the payments on the POBs represent deferred UAL payments, which total $184 million or $253 million in deferred UAL payments / $145 million and $217 million Net Present Value (NPV) for the 50% and 90% POB, respectively. In other words, this amount represents the savings from what the City would be required to pay in the future. Since these savings are predicated on future rising payments, this amount cannot be construed as actual budgetary cash flows savings. We measure budgetary cash flow savings by comparing the POB debt service versus the FY 21- 22 UAL payment amount of $S6.2 million. As noted in the table below, the annual debt services on POBs are equal to $51.6 million and $46.2 million for the 50% and 90% POB respectively. The green shaded area in the chart above, illustrates true cash flow or budgetary savings realized from a POB issue, which totals $37 million or $161 million for 50% and 90% POBs. In either case, the savings from a POB is substantial. Par Value Total Debt Service Avg. Annual Payment Budgetary Savings Deferred UAL Savings NPV Savings Savings 9 fr'*C 357,800,000 5 641,865,000 528,044,092 884.946.714 (0,4 'kW l (W 1 182,699,037 253,872,795 1l1 /1,_/_5.9,62/1 21/,109,100 41% 34% P, .1 FigG 3. 0151i: City Council 23 — 53 5/18/2021 RFP No. 21-025 EXHIBIT B Monte Carlo Risk Analysis These two POB savings scenarios were run through a Monte Carlo Simulation. Monte Carlo simulation is a finance industry tool used to run several scenarios, based on randomly generated interest rate scenarios to determine the potential outcome of a future event. In this case, the model produced random portfolio rates of return over a 25-year period to compare the ending portfolio value under a POB and making regularly scheduled UAL payments, also incorporating POB savings and additional bases, which are discounted back at 7.0% rate. The model generates 10,000 scenarios to determine an expected value or probability of success. $7.,Upfr $ti410 �i4tii1L1 a40f} yY011 Monte Carl.Si,riry ulalli,a: n I-ndint hort.rc4lio B11.111r.:u f. 2 4 ', 5 X F3 9 14J tt. W tS 14 U. 16 71 18 19 ?0 M Fk .B'14 T, The Monte Carlo model projected an 87% and 84% probability of success under the 90%and SO% POB scenarios. Additionally, both POB scenarios generated greater portfolio growth over the 2S- year period when compared to POB savings by 84% and 76% respectfully. Probability of Portfolio Growth Success Exceeding POB Savings 90% POBs 87% 82% 50% POBs 84% 76% We believe the combination of pension reform legislation, CalPERS' requirement for fixed dollar UAL payments, and changes in the POB market, make it compelling to consider the issuance of POBs are part of the City's pension funding strategy. Understanding the Risks Associated with Pension Obligation Bonds The Government Finance Officers Association (GFOA) has provided an advisory against the issuance of POBs, noting 5 key issues or concerns. The GOFA's POB policy general advisory, which City Council 23 — 54 5/18/2021 RFP No. 21-025 EXHIBIT B was drafted 10 years ago under different market conditions; and, was drafted as a warning and in response to bad practices. It is important to note that are several issues that the GFOA points out to which all agencies should adhere to when issuing POBs (#1 - #3). 1 Iowever, because of pension reforms and policy changes by CaIPERS in recent years, as well as adaptation in the POB market, we believe that these concerns have been addressed and warrant reconsideration in California. Each GFOA concern is listed below, along with our response in italics. 1. POBs are complex instruments, which incorporate the use of GICs, swaps, or derivatives. PCJBs ; trould oply be isstwd rrs plain vanilla tb a'd o; hoar/;. 2. POBs are structured with "make -whole" calls, which make it more costly or difficult to refund in the future (than traditional tax-exempt debt). POR, rrrr ooia ,irrrrtrrred wrrth stondord call terrtrrres h1 er traditional tax exempt hood,. 3. POBs have been structured to incorporate annual normal costs, or in a manner that defers principal payments or extends principal payments over a longer period than the actuarial amortization period. P013s should rew include rntrrrral rusts ('exrr^pt for a(ouol jn'c pay oroount), rmr he ;tr'uctured writer an r-xte_^ndr*r'1 repayrtrr>nt ttftr°drdr°-frrtaFrrroertar'dty_ 4. POBs increase a municipality's bonding capacity or turn a soft liability into a hard liability. An una nr y's (b1Pt hS (JAI hubiWt , r r r,ra .ider r,d-debt ''by the C. ow-ts in Cuhforniu crud (W;B F,D, Allow,over, HAI payrr;(,w,; ore frxrd dollar payrrrr^trl-;, like a oridai( mol loan, wrfrach limn ed of a drsrnunt rrrtr^ of AQW1. PDBs >imply "'rr frrrrrnce" yom CWPN1 i liobtlaty, of a h r wre r rote 5. Invested POB proceeds might fail to earn more than the interest rate over the term of the bonds, leading to increased liability for the government. fhct fmam.'7cd PMthy(t Of F (M..; is depr'ndent aporr Nl(O vaoahh,";- i) Borrowinq Rate On the Holub' tmd 1) CrrR'f_HS fnvi ^stim'rit Pe rim mow e. 1,08,^ provide ^rr�rrrt.gs by w1iinaor mej COAL payrrwnP; ert a rrorable fixed rate, as opfroser! to Mended rate for a portfolio art w r er ^ (SU r-rlaitie:/ Y%frxedmcrrtywlreofpli1tr11F'anf(otroncrs;NtsI3% lircluirDty). irrv[,tort PM!,; may lo_x° erafue if the ntarkcl rir^cEirte ,onup after rrsuarrcc. itshoui(i be ooh^ri, if c'cdprFt.S underpr^rfarrw; the rity's UAC will yo up rr^r/md1 ,% if bonds arc is,acd. Howevcr, the r sucrncr, rrf bond, n'ray redcwo tho annual financial itnpar t of lr 1,ses fo orr iovestrocat retain_, or policy clrrrnrles awde by the r:afPERS Board. City Council 23 — 55 511 S/2021 RFP No. 21-025 EXHIBIT B To offset market risk prior to the issuance of bonds, UFI recommends the City consider the following: • Taxable Bond Interest Rates u The City should only issue POBs in a favorable interest rate environment • Status of CAPERS investment returns historically and year to date; and based on FY 2018- 19 CaIPERS data 0 The 30-year average investment return for CalPERS is roughly 8.1°% o The 5-year and 20-year averages are 5.80% (below the 7% discount assumption) c) Significant losses (i.e., 20% decline) by CAPERS in the first 12-24 months would impact savings Validation Proceedings In California, POBs do noL require voLer approval due Lo a judicially creased exception Lo Lhe SLaLe Constitutional debt limitation. However, to obtain authorization to issue POBs, each agency is required to file a validation action with its respective County Superior Court. The judicial proceedings are largely an administrative matter, which is usually handled by a bond counsel firm. Fees typically range between $25,000 to $35,000, plus court filing fees (additional $3,000 to $5,000). Required Legal Documents - Before the validation action is filed, the City Council must first adopt a resolution! 1) authorizing the City to issue Pension Obligation Bonds (POBs) to refund its CalPERS Unfunded Accrued Liability (UAL); and 2) authorizing judicial validation proceedings related the issuance of such POBs. The authorizing resolution must also establish a not to exceed par value and maximum interest rate. As part of its approval, the City Council will approve two key legal docurnenLs, in subsLanhally Final form: TrusL IndenLure and Bond Purchase AgreernenL. The Preliminary Official Statement (POS) will be drafted and approved by the City Council, after the validation is approved. Timeline - The validation proceedings require a 7-step sequential process, which under normal conditions can take approximately 90 days or more. This process can be delayed if a protest is made during validation period by any interested person or association and has been extended in some cases by at much as 2-3 months due to COVID impacts on the courts. Because we do not know the impacts of COVID on the court system at the time of a future validation action we are outline the traditionally process and estimated timeline under pre-COVID conditions below - Action Revised Time 1 City Council passes a resolution authorizing the sale of POBs 2 File Validation Action with County Superior Court 3 Receive Order for Publication of Summons from the Court 2-3 weeks 4 Publish notice in local publication of general circulation 21 days 5 Waiting period to file petition- minimum 10 days 3-4weeks City Council 23 — 56 5/18/2021 RFP No. 21-025 EXHIBIT B 6 Clerk enters and schedules hearing for default judgement 3-6 weeks 7 Hearing for Default Judgement 8 30-day Appeal Period Bonds can be sold after the 30-day Appeal Period has ended. Staff must return to the City Council io approve the POS and issuance of POBs. City Council 23 — 57 5/18/2021 RFP No. 21-025 EXHIBIT 2 EXHIBIT B City of Santa Ana Council Policy D Mayor's Authorization Subject Council Approval Date. UNFUNDED EMPLOYEE PENSION LIABILITY COST REDUCTION POLICY February 2, 2021 The City's contribution to fund employee pensions has increased at a faster rate than most other costs. As of June 30, 2019, pension plan assets account for only 67%of the accrued liability; and the plan administrator projects the City's contribution will continue to increase in the future. This policy addresses strategies to reduce the City's cost of its employee pension liability. Background The City provides a defined benefit pension plan to its full-time employees. A defined benefit is a promise to pay future benefits, wherein the City makes annual deposits into the plan and carries the risk of plan assets investment performance. If the plan's investment return is less than assumed, the City cost to provide the benefit increases. The City has contracted with the California Public Employee Retirement System (CaIPERS) to manage the employee pension plan. CaIPERS collects contributions from the City and its employees, invests the money, and pays monthly benefits to retirees. Ideally, the plan would be 100%funded, which means plan assets are equal to plan liabilities. A plan with a low funded ratio is at risk for paying future promised benefits. In response to the rising cost of public employee pensions after CaIPERS investment losses during the Great Recession of 2009, and to ensure the future solvency of plans under contract with CaIPERS, California enacted the Public Employee Pension Reform Act (PEPRA). All public employees hired after PEPRA became effective in January 2013 receive a lesser benefit than those "Classic" employees hired before PEPRA. Santa Ana Employees earn benefits in one of the following four categories. 1. Classic Safety (sworn public safety employees); 2. PEPRA Safety; 3. Classic Miscellaneous (all other non -sworn City employees); or 4. PEPRA Miscellaneous. The market value of investments in the Santa Ana plan is less than the liability for benefits already earned, and the City has an Unfunded Pension Liability. Each year, the amount of the liability changes based upon actual plan results and CaIPERS changes in assumptions. The liability grows when actual plan results do not meet CaIPERS assumptions, such as retirees living longer than expected; or when CaIPERS changes its assumptions, such as reducing the assumed rate of investment return. Conversely, the liability decreases when actual plan results exceed CaIPERS assumptions, such as investments earning more than the assumed rate of return. CaIPERS also charges "interest" on the unpaid liability each year, based on the plan's discount rate, equivalent to the assumed rate of return. CaIPERS requires the City to make annual contributions to reduce the unfunded liability. This policy addresses strategies to reduce the cost of the unfunded pension liability. There are two basic strategies to reduce the Clty's cost for the unfunded pension Ilablllty: 1. Contribute more than required by CaIPERS (an Additional Discretionary Payment) to reduce the accrual of City Council 23 —=58 5/18/2021 UNFUNDED EMPLOYEE PENSION LIABILITY COST REDUCTION POLICY Page 1 RFP No. 21-025 EXHIBIT B 2. Refinance the liability, which is a legal debt of the City, at a lower interest rate. Within these two basic strategies, there are a variety of options and associated risks. Application of Additional Discretionary Payments When the City identifies funding for an Additional Discretionary Payment (ADP), there is a strategy to apply the ADP to the unfunded pension liability. The unfunded liability is comprised of layers or "bases" related to each year of actual plan results. Each base is either a loss or gain. CalPERS amortizes most of the bases over twenty years to calculate the annual required contribution to reduce the liability. Loss bases at the beginning of an amortization cycle are desirable targets for an ADP to rnaxirnize overall savings. Conversely, loss bases at the end of an amortization cycle are desirable targets to maximize short-term savings. 1. It shall be the City's policy to use a targeting strategy, and apply any Additional Discretionary Payments to loss bases at the beginning of an amortization cycle to maximize overall savings. Use Accumulated Fund Balance or One -Time Money The City has a General Fund to account for unrestricted revenue; and many other "restricted" funds to account for revenue with spending restrictions imposed by law, other governmental agencies, or legally enforceable agreements. The City allocates its unfunded pension liability to each fund based upon the prior year normal cost charged to the fund through payroll. When the City receives more revenue than expected, or spends less than budgeted, a fund balance accumulates. Much like spending from a savings account, accumulated fund balance is a one-time resource the City can use to pay down a fund's allocation of the unfunded pension liability. The City has d separate "reserve" policy to esCablish the minimum fund balance to keep on hand for emergencies and operational cash flow. 2. It shall be the Ciry'z policy to consider an oddirional discretionary payment to reduce the unfunded pension liability during each annual budget process, when staff identifies accumulated fund balance in excess of reserve policy requirements. Negotiate with Employees Employees are already required to contribute a portion of their pay to the employee pension plan. Even though the City collects the employee contribution from the employee, the City reports the employee contribution to CalPERS as an employer -paid contribution. This increases the employee income used to calculate the City's contribution and the retiree benefit. The City may negotiate with its labor groups to require larger contribution from employees, or to stop reporting the employee contribution as employer -paid. Both options would reduce the City's normal cost contribution, and may be difficult to negotiate without offering something in exchange. 3. It shall be the City's policy to propose reductions of the City's normal cost contribution during labor negotiations, based upon the plan funding ratio and the City's current and forecasted financial position. Use Cash Planned for Capital Projects and Issue Tax-Exemot Debt When the City has cash on hand to fund capital projects, the City may consider using the cash to reduce the unfunded pension liability, and instead issue tax exempt debt to pay for the project. Tax exempt debt carries a low interest rate, and this strategy effectively swaps a higher -rate debt for a lower -rate debt. City Council 23 -59 5/18/2021 UNFUNDED EMPLOYEE PENSION LIABILITY COST REDUCTION POLICY Page 2 RFP No. 21-025 EXHIBIT B The City funds most of its capital projects with restricted money. Therefore, the restricted fund's allocation of the unfunded pension liability, and thr_ cash available forthe project, limits the use of this strategy. In addition, frequent debt issues can negatively affect the City's credit rating. 4. It shall be the City's policy to consider paying down the unfunded pension liability when there is at least 520 million of cash available for capital projects, and it is feasible and economically prudent to issue tax exempt debt for the projects. Irrevocable Section 115 Trust As an alternative to making an ADP to CalPERS, the City can choose to set aside additional money in a Section 115 Trust. Money placed into the trust is irrevocable, meaning it cannot be withdrawn and used for another expenditure of the City. The City has already established a Section 11S Trust with an initial small deposit. There are two primary benefits associated with a Section 11S Trust. The City has more control over the investment, and the City can use the Trust for rate stabilization. If there are future spikes in pension costs, the City could use money from the Section 115 Trust to help pay some of the required CaIPERS contributions. However, in order to utilize the Trust, additional money must be set aside in advance. 5. It shall be the City's policy to consider adding money to the Section 115 Trust account during each annual budget process. Pension Obligation Bonds The City may consider issuing Pension Obligation Bonds (POBs) to refinance its unfunded pension liability. In a low interest rate environment, issuing POBs can significantly reduce the City's cost. However, there is risk associated with the refinancing. If actual pension plan results consistently exceed CAPERS assumptions over a long-term period, the City may pay more overall. The following illustrates this concept. Scenario: The City refinances its pension obligation at 3.75%; and CAPERS assumes a 7% investment return, yet consistently earns a 9% return over a 30-year period. oo >8i7 `>Tu ";6I) ,aft S)If Year Y("sr Year Yr.0 YUar Yc.n Yr"sr Ycai Y(1.11 Year Yeti Yrar Y(.I[ Year Year I _i ., 1 9 11 1-', P, 17 19 21 11 Z, )i 13 -li,�, Ine ;�enario Baseline is the CalPERS projection jrorn the June 30, 2019 Actuarial Valuation Report. Dollar rrmnunrs are, in rndlinns. For the first 11 years in this scenario, the City would save money; but over the entire 30-year period, the City would pay $444 million more. City Council 23 — 60 5/18/2021 UNFUNDED EMPLOYEE PENSION LIABILITY COST REDUCTION POLICY Page 3 RFP No. 21-025 EXHIBIT B The Government Finance Officers' Association (GFOA) issued an advisory against POBs based upon a variety of reasons such as the potential for invested proceeds to earn Tess than the interest owed an the bonds, structuring the debt over a longer term than the original amortization period, and the potential for the bonds to consume the agency's legal debt capacity. The following policy points can help mitigate these concerns. 6. It shall be the City's policy to consider issuing POB's only if the following criteria exist. a) The City Council must conduct a public meeting to consider the results of an analysis quantifying the risk probability of the City paying more over the life of the bonds. b) To maximize potential savings, the bond interest rate must be at least 30% less than the plan's current discount rote. c) To ensure the City benefits from the possible scenario of actual plan results exceeding CuIPERS assumptions shortly after issuing debt, the bonds must not exceed 90% of the unfunded liability. d) The bond structure must not extend the life of the debt. e) The City must not use bond proceeds to pay the normal cost of the pension plan. City Council 23 —61 5/18/2021 UNFUNDED EMPLOYEE PENSION LIABILITY COST REDUCTION POLICY Page 4 1N O m T F N m Z i LL W V) _0 CL 0 0 a� z 4-) C) U to CiA V) 4-J Ln 0 q.r 4-1 u QJ u W 0 LLJ C- 4-A 4--j Ln NY V ro N 0 0 ca —0 CL —0 0 z 4-J x 0 IL LU L16 0 CDL au Q U.) 0 0 -r3 C)- (1) (D O 0 CC L- 4�j 0 0 0L V) -0 CL (D C) 4—J ru bio 4-J 4-J OE 'o 0 -Q Oo ru 0 0•< c 0 4n F;- 0 1N O m T F N m Z i LL W — J 4-J Q C QJ a-J O J W L y, L tv V vlic c- �+ Of O U n C 4-J CL 00 E E U v 0 Ln o �(/i Lco o ca cn vi o� Ea Q� o °� w o O aA c� c N voQn U O ro U ru U �N OJ Q1 U W U LO ate+ � u U as U o�C 0 0 . . 1 0 1N O m N m Z LL W Fig _(113 73 Y Q Ln O ..! .Q V 4-1 m @ •^^V � c O E a rn Ln CL °L a s � Ln L,; a E N J �� °�°� •c o u �� a f6 U r6 L.L O L .O c c bA C LF •� � 0 C LJJ a-c p U car " .F u v LL u E i U c N a 3 co v N F-- c a¢ "� NCL v O � ^ Q U Q Q. Nv >> M �' Q °U' M t O Q s m m '� t� ¢ Gl rr Ora r c � +, Q w a cn 0 Sri 1N O m T F N m 4 = Z x d W LL U m O L. 0. Q V) W CL E //O� `J tw w O *' L LL cn a.) ' G (A c 0 'N 4-1.v can t Q aA, ._ p v -0 1-- -0 OL E O U 1N N O m T F N m Z i W IL LL u N O COMONma °.' ILW L U Q •Q � Al II J D to lD O t.0 �A LA 0 c i -I M -1 Ql N LJJ Z 00 N L LJJ 00 Lr ,�r Ln Ql c Z Ql 00 Q c Op •� CD 4 m 00 Ql Ch n O1 00 r-I l0 Q1 N lO QO o m to rt CDn O O V r V f V r o f CD cy) %D CO kn C^+Y • D LIU r--i ri •,. � �... .... .y i Lid "o p'\ 00 Q'R on en Irt Lai r.�„...ry °"' «W` d"y ^ .K, rat vWA l in ..1... 1A I a,r. ^�n' K:F, +"a � .-, mm, «•a Q a Out .-, tjI K [' rl.. a+r, i n"; a r X.F1 tt.r! road a.l, a o VI W.% Bn1 a 4 Rmru JPd p�• X.d'J p R„14 416R "a„F rry,F (9.W m m ry 7RF � 8 ttRt d fU 1N N 0 m T F N m Q Z V LL W C N m O N + n + R �D ft M r, O rv� + R a0 N �➢ O O m ao v e9 Q� W Qi M f� M n Q� M 'i N ci �O 'i r. �➢ V 'i N O1 N 0 I1 W � od er n n O K in N W Qt Q1 n ti n W N n N co 0 O N W Ifl V O M n co R W W M at n O M ✓i n O r O� O M p Qt N n R N Q ry Qt O1 O M N W O (+1 N .. �O n Qi rl O Qt e9 l0 l0 O1 M N W ci M ci ci h Q r1 m J1 'i V N N M N O O ti ti N N N N N N N N N N N N N O O O O D O O O O 0 o G N " o v w o \ V` L d N u u N u C W N Ifl N M N N N N O ? m 2 m u�i Q uai a m m- m m n m n N tO rn m o .+ .-. n N M^ Q N t0 t0 n n ca ca ca m Q1 n o n o n o n n n o n n n n n o a a n n n o N N N N N N N N N N h N N N N N N N N N N N ci N M R ✓� �O n W Q` � N M R N l0 n W QI O 'i N .-. fi ci ci ci ci ci -i h N N W M Qt rl M n T R O f. � N M tp P. N V �fl �Q Ol n t0 v v N N Ql M n R N Q b N h L l t0 R m m N n l n N� Ql M P ci N tD ci G5 Qt M r. 11 N c. O 10 Qf W N n n M Qt tQ 'i 'i W l0 Qt � M �➢ n M 9 n 'i N M 'i J1 J1 Q �. N t0 N W N I� �+ ✓� W h M W N m LO rO ry Ln M �0 -+ vt W v �+ �4 m 'i N 'i Ql O m V I1 O I11 N 'i ^ J1 N Q• J1 !It "-' m M N c� r. O v �➢ m M � N n n O o n W W. N N o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 E P Y p °� a" � t� 0 0 Z Z Z Z Z Z Z Z Z Z O O O O 0 0 0 0 0 0 0 Z Z 0 n " O pip n n pip in O o0 00 00 GO N J \_ 4 v v L\\ S\ C L S S 00 S C C C U C C U C m U U U G U �= N N Slu n n m m o N N m R R n n W a ao m m m 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 E N N N N N N N N N N N N N N N N N N N N N N N N ci N M R ✓i iQ n u} N� � ci cRi ci � ci W T Q 'i N M V 1N O m T F N m 4 = Z LL W 4: a 0 a a L k "Mm I C 0 �15 2 4-j tl'er.7 lk�l ::3 Ln N J') 0 ca zo =4-J X. E Ad Ad A A A LU LU Ad Ad Ad Ad Ad Ad sl� C5 C� C.5 C'.) 6 C; l:s a 1N O m T F N m Z i LL W a U m a OL OL x a a a--+ o LA QQ) X -0 Ln 1 O C+� X O E o Q) Q co m vvi Ln C Q 0 .� m ELn ._ a w w �� 4_ N cB U O NFm ^ *n��� Q o O J w.I; � to�E`EIE x 42- Z= Wh� O N H +t> d yxj On O Q1 N ate+ N w 4- O � f6 O �' aA � c L v ° a v (SQ I p� j E v T cc G O t' O O ai 0 n O w CL ._ — m V) O `B� X a� v U to +' ,� O O O W VJ '� — n rl N M Lf1 6 :. � 11�1/lIr lllrl ( 1N N O m T F N m Z i W IL LL cu c O OOU ,v am r) 4-j A A A A A A I A A A A A A I A A A A A A I A A A A A A I A A A A A I Ifer A i A A A iA it A A A A A I A A A A A I A A A A iA A A A A A A A A A A I A A A A A A A A I A A A A A A A A A AI A A I A A A A A A A A A A A iA I A A A I _r_ Ln o E 4- I vT _ Qj (D 0 = :3 0 D Ln do v ec, 1N T F N m Z = LL W 9 mrvl Jll Ln Q� _O Q E Ln L 0 0 _0 o 1� •E v Ln ro co rn C O N L E c6 L CO a O a] O f'6 m m Ln tn- cc (U ro O Ln L r0 a� O E _Ln Q r-I � Qj co V) N ro Qj CO o co N Q) L � O ru givoe. LiPor 9 lvoz SIRICIZ, 11?11?0?.,. E ll?Oz Flv(.Ilz 1110" Me 6f.. OZ RE 0 e. SI..Clz bEol.p. T."fl.)z z Clz 6ZOZ foe ODD': LZOZ 9zoz SZOZ ll?ZOZ CD CD .[:::) I CY C: -ca C) ) c k c k C�C� I k. I k. I 7I I Q Q 0 Q CD 0 Q d-A 0 rj r.1 r"k M.' ul ro rrp P-4 n.1 4A Ul UW 1^ IA I/w VA 4^ 4A art Ln a--1LU C: 4r E m Q) J_— c fu 0 fe, Ln f: rl (31 4� ra uro -2 < 1N N O m T F N m 4 = Z x LL W 4: N C O Q 0 c cu FOR 1N O m T F N m 4 = zx d W 0 0 0 0 0 0 0 0 0 0 0 o m N N N N N N N N N N N N N .--i O O O O O O O O O O O O O fu N N N N N N N N N N N N N N_D CD CD CD 0-1cn N l_6 bA a--1 a --I 1 1 1 1 1 lD lD 1 1 u1 1 1 'V lfl �O t0 l0 tD Lh Lf1 N H N d O O O O O O O O O O O O O G O O O O O O O O O O O O O Q av n oI r�" C n I r�" o I n c n Let 7 Cn 6 l6 N N O N N 00 00 Ol m Ql Cn 6 m Q1 Ql n C N 00 M C 00 Iz t.6 00 61 14 M M N_' N O M .-ti Lo M m .--I m--I N n .--I R Q1 d M ai 3 Q i z OJ 4) CC U 41 p _ � Ql _ w p N Q i J o OJ OC d O 0 0 .. rv-^y d wV rv•..p '4 m^.W N N N rJ N N N N N N N N N N +� o 0 0 0 0 0 0 0 0 0 0 0 cc N N cV " [V . . N cV N N [V M o�p d rl N p p O M M M N N N M N M N N N O O O O't 00 I- n n ci c-I rl ci ci d QQQQQQQQQQQQQ 0 0 0 0 0 0 0 0 0 0 0 0 0 U U O U d U b O U b U O C�l N 7 O O Sri O O O O Lr O .� Ol I- Ql O Ln �i r� Q1 6l czr O O jN Lff 00 �T Q cn Lll Q 00 Q C�-1 Ol Q I� r .. m, Q- 14 O N' a O a� -::F Ln M ` .� O m "1 -�r n .- i O .--I N r-I cn cV N Q.r-I 00 Q U W cE O U L `= v -05 f6 QO U i 4� U m (31 (B p N O O ++ m C m C a.r cm) W Y •: U tio 1N om V N ~ m 7• IL x •� W c4. W Mo E 0 l� l� r-i r-i r-I n n Q d 4 4 O O O O O 6 O 00 OO 00 CO dr14 N r14 N 1 1 C rn rn fV N Ln L a 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o a o 0 0 0 0 0 0 0 0 0 0 o 0 C 0 0 0 0 0 0 0 0 0 0 & O O O O O O O O O O O O O o 0 6 0 0 0 0 o Ln o 0 0 0 o Ln > O -:T N m O Ln Ln m 1- n M u'1 -71, e`I i f V N N M rn N r-I N d N 7i7 s s U U Ol Q m V) Y m T �c Q) " p ate+ *! ra = U= � [� Z O a ul w � m I-- f6 (p O U O U N Q1 O U O U Q1 L J Q F XL ay w to ti _b ) "M nn 1n N 0 m T F N m 4 = Z LL W 4: L J 0 I..L 0 4 O L 0 Ln m D LA Ln r-I 'il • 1n N M CO 4 (u ul 4- l/'1 N GA 0 J 4- N b,0 L Co J .2 ^Q) I..L 0 G ON L 0 Ln 0 m D Vf N N rw T L D a- C6 m c LL L C6 i Ln N • C C c 4" -1 0 4] L (10 W c-I a) Ln m m • 0 0 00 00 IDra LO 6 r, "' W- tko > aZ Ad -I�IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIl1111111IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII Ad ........... Ad I cu cl� Ad Ad I Ad Ad ca \ cu > Ad Ad X 0 Lr) LLI 0 Ad Ad Ad M Ad Ad O Ad Ad Ad I A A A IPA ro M Ad Ad Ad C M Ad Ad Ad 1 2 Ad Ad M Ad Ad O foJHfY F 8 IS R IS 18 IIE 21, 11.9 SIN ci CY C� cr Ln N 0 z IL L6 0:1 I Tr cc� w 41: rl C,� Q, ly, Tr In In 71eB IAA to ul m z In cu LLI rL YnA tltl pa f..-k cn YM 0B Y r4 tlB IN r4 1 CA tltl lN In A el ( sl 'D D Vy CD ID In In in "1 11 ui In .X m 5 LN O m T F N m 4 = Z x d W LL 4: V mf......4 t'?'C L.r) C) ILOwf"^"i TY f�l (71 �L� W 0') v: i GP 00 Q--i o ... to co pf... .I r�i cli [ I l 4�,a m iN O N_r a u r.4. Ol 4l O 4:zl' ',X� ",S i31 L11 OO (D m.Y'a r, t0 r— r- coa M 4:zl- Ln fV f) �%ll. OD 4ZI V-4 nl 3 ao {'r) fr) LN O m T F N m o= z W IL LL cu E a) +j m E W E 0 u v a a 0o n N N th O o0 Ln r00 -I N w a ui u* U C �4 Od cc lqr w LA ofi w n c0 E a LMA LQA 0000ce a LA Q T-1 le N V-1 O 6 c v AI C U U 4 c m ,_ m C w o � w a Z LA M ti =3 L ■ 1N O m N m Z i W IL LL Ln .vow. I 1N O m T F N m 4 = zx LL W DO L O J Q J � Q Ql D u v a LA M v v � v C rn O ru � C O O Q 4-1E �Ln LnQ vi vi v � tlJ C) F L L Q O L rZ L a) OD LWWWJI ki U ry 5 i.....................hhhhhhm.Y.'M. Utz QJ C O O O 4, ar 0. 0. E vn tA V � o N � L � u tA .� QJ ro O Un > i rB a Q- a L r u E bio a r0 � C � `~ U J QJ rl C (O O U Ln C cm:N cu t 0- w 1N Om T F N m z W IL LL 0 +j LA V w ao +aJ+ � � U p N v C- c w w — U W DC a1 DC j O QOl O a .� Q ca 3 o 0 v 0000 r- r 0 A, u 0 0 , , '., IR1 IJ rax : r.n. 3 1n cn tu'a rr V) 0 c @ o � n a O U a V) a E (D O U r- C: IM O_ O a O L v LO L L .} O aj Qa o CM C N O L a >to O O v � C m O C Q a =3 E E Ov CU O Q O Q a }r L N V)I..L +J _ w zi to a C4 O U v m Ln U j cu a N f6 O v O O 2m U • 0 Q -I I I C 0 a 0 'L L a � Q � L Ol a) cV p L n O II L 5 7s 4- a Of w Ua d Q m x U w 1N N O m T F N m 4 = Z x LL W 4: c a V A c a b. O i - L _ E OE m N E t .� ro m `^ cn Q� C �► N Ln }' + � f0 =3 E Lan) co:O Om V Qy,1 �0,! qrzp Q .> c„ N F p- 000 Q +°rC o �a) r ` ro z x � � 4-j 0) pA ILL W V f- U L Ln L C fu E L. aj-0 i C Q O cn �' N � co 3 a"' pp QJ m co x� aJ Vi w' 3 d � O pip +' r OO Q L LLf) L 01 �' v, +J ro cn Q N Q> O O� O 30 Q O UH U O U a o�ro 0 a t _ a M L W d r U U C r ca ro V L� v Ln o L m v � O x a)M (U LO o cn Y 4 Lnu, `0 a, Q 4, v M a m vLn ora (U �. Q Z 1, V) 4-j � .0 Cl- c O .Ln �U � � � � � � / / \ / \ \ ƒ / / / 2 2 § $ # § m 3 tt:�- % & J % c & o § \ / 2 4-/ % ( } / / M b $ 2 k / j = \ / = o u . e e e f \ \ � / \ \ 3 . . . aj . . � . . 7 . . } 0. \ u U 1N O m N m Z i W IL LL a V) O V N to O m O =x = l U IL LL W 0: W Q E cu W X Otu U u' X W a--+ O CO CO w b1 v 0 ra O i C6 .O Ln ra E_ m N QJ i OC Ln c+n � Vf 1 � ( V I CL /` O (D E /V��[ M .---% x c a- O w E cl— x O >. _ cB +—j X co vn LU 4-A +� a x a� c —a rl N zz TZ Azz a 4 T5.. S adpv b�. City of San Response to Request for Proposals (RFP) No, 2 Underwriting Services for Pension Refinancing March 11, 2021 ofA Securities, Inc. 333 S. Hope Street, Suite 3820 Los Angeles, CA 90071 SANTA ANA BofA SECURITIES March 11, 2021 Kathryn Downs Executive Director of Finance & Management Services Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Dcar Ms. Downs: On behalf of BofA Securities, Inc. ("BofA Securities" or "BofA" ), we are pleased to submit our proposal to provide underwriting services for the City of Santa Ana (the "City"). Our team is well qualified to provide the City with rnmprehensive honking services, marketing and underwriting execution. While we detail our rredentinls and recommendations herein, we would like to highlight the following qualifications: • Leadership with Taxable and POB Financings — BofA has a long and accomplished history in the public finance sector, and most relevant to the City's proposed financing, we are a leading senior -managing underwriter of taxable bonds nationally since 2010. During this timeframe, BofA has served as senior manager on $3.2 billion of pension obligation bonds ("POBs") nationally. Over the past 36 months, we served as lead manager on California POBs for issuers including the cities of Riverside ($432 million), Gardena ($101 million), El Cajon ($147 million) and Downey ($114 million) as well as pension -related Fnancings for the cities of Gainesville, FL ($206 million) and Fort Lauderdale, FL ($167 million). Notably, BofA is the only major Wall Street firm with recent and relevant experience underwriting California P08s over this timeframe. • Leadership with Large Financings (Greater than $500 million) — Over the past five years, BofA has held a leading market position in California for transactions sized greater than 5500 million — a significant threshold at which underwriters are tasked with the most challenging offerings. We believe our dominant position in this segment of the rnarket is a reflection of our banking and underwriting team's ability to flawlessly execute, rndrkel and price large and/or complex financings. • Significant Experience Leading Underwriting Syndicates - Given our experience with large transactions, we are a frequent book -running senior manager for transactions with underwriting syndicates and would be able to help lead and mobilize the City's underwriting team to ensure efficient execution of the City's transaction, This week, BofA served as book -running senior manager on the State of California's $1.9 billion March 2021 General Obligation Bonds for which we successfully managed an underwriting syndicate of more than SO co - managers and selling group members. • POB Structuring Expertise — Our team's structuring capabilities and approach to POBs is second to none For example, BofA has developed a proorletory model that optimizes the selection of arnorti2ation bases, taking into account market conditions and the issuer's savings obiectives. As the City evaluates how much of its unfunded liability to refinance, BofA can help the City determine the most favorable amortization bases to refund as well as the POB debt structure that meets the City's financing objectives. Furthermore, we have capabilities to run simulation and stress test analyses on a real-time basis, which is important as the City evaluates risks associated with the proposed pension refinancing bonds. • Comprehensive Financing Approach — For the proposed POB financing, we have taken a holistic view of the City's finances, debt and credit profile in order to tailor scenarios around the City's objectives. As detailed herein, we provide samples of SD% and 9D% UAL financing scenarios with debt service structured to reduce the City's projected budgetary gaps in its 10-Year General Fund Financial outlook —while not exceeding the current unfunded liability payments in any year. To further enhance savings, we also discuss potential refinements such as an "index eligible" term bond and the use of bond insurance. Depending on the ultimate timing for bringing the POBs to market, we also discuss the possible use of short-term notes (TRANS or BANS) '0 eua of Av (r I. "RoIA S r r I n r 'rI. r od by h.GuUJ R.0 k g r J G un:i M nkr dloP.'.0 ---of B.mk r,t A r Co Po I r i ri- g, u,.. hor con r 2roal ban. v activities and trad'. np. in certainfinanc! a.'. nstruments are prrformrc. p.. ooa'.ly by bankinH affI iaies of Bank of America C.oroorat. on, I iclud-ne Banl<of America, N A., Meml are innc. ng, III - I,— u1pTr`{�qt(4�I�qIT*rr�Wyy`+�qt7rYt''{+ ,I Tn,T I 1 0ll 1SI �-s,RnIAS iiz ,lnr ''��``''�� q�q 1, .ium ltl to hu nr��{{ ��II $yqQ AA/rjJrr��q ,dbrrda•r dealers a n d Ea'e4A$er;3f PA1f911 other) riso let on s, oy oca y rep'. ste red a it t e.. BofA Sea fRles Pl` ,d Meir I'. Lynch r rofesso1 a'. aea rl1pL 13'afet2�1:Ved as tdiure; cha or: w h rht. CFTC nntl artm , rm it, c of thr. NFA. kr£rrrm n: to RnfA Scr r. t.c, Ina it, rti n rfrr to Thr, In r un. t nrb...1 1r - of Mrrri l'. I y rn, Pl,.rrr, Fennrr b.1 1 Th I )[O 00 r 1TtC, prldr TO MSV 13, 2019, 51l i Si Of that [late to BofA SECS ilt as, '. Ire BofA SECURITIES to ensure budgetary savings arc available for FY 2022 (and note that our firm is an active participant in both the bank direct purchase as well as the public market offering of these products). • Premier National Distribution Network—BofA has the proven ability to access buyers in the retail, institutional and international markets through our extensive distribution system. Our well -recognized institutional sales team is in constant contact with major buyers in all of the key institutional investor categories for taxable obligations. In addition, the firm's retail network, Merrill, is wholly owned by Bank of America, providing an important distribution channel for bonds we underwrite. The Merrill network includes 2,173 financial advisors in 77 wealth management offices in California alone. • Ability and Willingness to Commit Capital — BofA is one of the most highly capitalized broker -dealers in the municipal market with S141 billion of excess net control that su000rts municipal underwriting as of 12/31/2020. Equally important, BofA consistently has demonstrated its willingness to commit capital to support our clients. Since 2015, in 428 transactions totaling $93 billion, BofA took down nearly $12 billion of unsold bonds on our senior managed deals (12.5% on average for the supported transactions) - Commitment to Orange County Region — Finally, we have a strong presence in Orange County. Over the past five years, the Bank of America Charitable Foundation provided grants and matching gifts in the region totaling approximately $8.6 million, while our employees have directly contributed approximately 217,000 volunteer hours to local charitable causes. BofA Securities is incorporated in Delaware and is an affiliate of Bank of America Corporation (a C Corporation). The individuals below are authorized representatives who can make legally binding commitments for the entity. We appreciate the opportunity to present our qualifications and recommendations. Please feel free to contact us it you have any questions about our proposal or would like any additional information. Sincerely, Holly Vocal, Managing Director (415)913-2327 hnlly.vnc.al@hofa.com Jeff Rower, Managing Director Jorge Rodriguez, Managing Director (213)345-9580 (646)743-1362 jeffrey.hower@bofa.com j.rodriguez@hofa.com City Council 23 — 97 5/18/2021 Table of Contents Question Page 2. Agreement Statement. ... _1 3. Firm and Team Experience..................................................................................................................1 i. Firm Description........................................._............................................................................._.....1 ii. Governmental Staff and Experience. ..................... ...... _2 iii. Primary and Secondary Contacts....................................................................................................2 iv. Staff Level of Commitment......................._..................._................................................_.............3 v. Resumes and Experience.................................................................................................................3 vi. Experience Providing Similar Services............................................................................................3 vii. Taxable References.................................._................................................................................_A viii. Significant Engagements...............................................................................................................4 ix. Conflicts of Interest.........................................................................................................................5 x. Licenses............................................................................................................................................S xi. Errors and Omissions Insurance......................................................................................................5 xii. Authorization to Execute Contracts........._............................................................................._.....5 xiii. Pending Litigation.........................................................................................................................6 4. Pension Obligation Bond Experience..................................................................................................6 S. Distribution Capabilities................................_............................................................................._.....6 G. Structuring Ideas and Marketing Plan for Proposed Debt Issuance....................................................8 /. Cost Proposal......._........................................_..................._..................._....._....._..........................13 8. Certificates..._............._....._....._....._....._....._....._............_....._....._....._....._....._..........................14 9. References..._......_....._....._....._..................._..................._....._....._....._....._....._..........................14 1& Financial Capacity.........................................._..................._.........................._....._....................._...14 11. Insurance...........................................................................................................................................14 VIII. Proposers Questionnaire..._.........................._..................._....._....._....._....._....._..........................14 A. BofA Senior and Co -Managed California POB Experience B. Resumes C. Conflicts of Interest and Litigation Disclosures D. Certificate of Liability Insurance E. Incumbency Certificate F. Financing Scenarios G_ Requested Certificates WE ARE NOT YOUR MUNICIPAL ADVISORS OR FIDUCIARIES. BofA Securities, Inc. ("BofA Securities") is providing the information contained herein for discussion purposes only in anticipation of being engaged to serve as an underwriter. Bank of America, N.A. and its subsidiaries and affiliates ("BANA") are providing the infnrmatinn contained herein fnr discussion purposes only in connection with a proposed arms -length commercial banking transaction between you and BANA. BofA Securities and BANA are acting for their own interest and have financial and other interests that differ from yours_ BofA Securities and BANA arc not acting as a municipal advisor or financial advisor within the meaning of Section 1SB of the Securities Exchange Act of 1934, as amended (the "Act"), and BofA Securities and BANA have no fiduciary duty to you or any other person pursuant to Act with respect to the information and material contained in this communication. BofA Securities is seeking to serve as an underwriter on a future transaction and not as a financial advisor or municipal advisor. An underwriter's primary role is to purchase securities with a view to distribution in an arms -length commercial transaction with you and it has financial and other interests that differ from those of yours. All underwriting services referenced herein are provided by BofA Securities and all commercial banking products referenced herein are provided by BANA. Before acting on the information or material contained herein, you should discus-Trifyjtil all of your own internal and external fina2gaLnq�(or municipal, legal, accou Njfgfg 2f)" other advisors and experts, as applicable, to the extent you deem appropriate before acting on this information or material. Confidential Notice to Recipient " RAnIk of Amenca" and ''ROfA SecuriOeS" are the marketing names Used by the Global Ranking and Global MAd<eLs divisions of Hank of Arneri0 Corporation. Lending, other commercial bankink dctivihes, and trading in cerL-ain financial inslrurnenls are performed globally by banking affiliates of Rank of America Corporation, including Bank of America, N.A., Member WIC Equal Housing Lender. I rading in securities and financial instruments, and strategic advisory, and uther investment banking aetivitics, arc performed globally by invcstrmcot harking affiliates of Bank of Alnenca Corporation ("Investment Banking Affiliates"). including, in the United States, BofA secuntieS, Inc. and Merrill Lynch Professional Clearing Corp_, both of which are registered broker -dealers and Members ofSIPC, and, in otherjunsdi(tions, by locally registered entities. BofA Securities, Inc. and Merrill Lynch Professlonal Clearing Corp. arc reglstered as futures eommisslon merchants with the CFTC and arc members of the NFA. Investment products offered by Investment Banking Affiliates: Are Not FDIC Insured' May Lose Value' Are Not Bank Guaranteed. These maLerials have been prepared by one or more subsidiaries of Bank of America Corpora Lion for Lhe client or puLenLial client Lu whom Such maLenalS arc dircCLly addressed and delivered (Lhe "Company`) in 1-01MOCGun viLh an aCLual ur pOLun Gal rnandaLO or engagement and may not be used or relied upon for any purpose other than as specifically contemplated by a written agreement with us. These materials it based on information provided by or on behalf of the Company and/or other potential transaction participants, from public sources or otherwise reviewed by us. We assume no responsibility for independent investigation or verification of such information (including, without limitation, data from third party suppliers) and have relied on such information being complete and accurate in all material respects. To the extent Such information includes estiolateS and forecasts of future financial performance prepared by or reviewed with the managements of the Company and/or other potential transaction participants or obtained from public sources, we have assumed that such estimates and forecasts have been reasonably prepared on bases reflecting the best currently available estimates and judgments of such managements (or, with respect to estimates and forecasts obtained from public Sources, represent reasonable estimates). No representation or warranty, express or implied, is made as to the accuracy Or completeness of such information and nothing contained herein is, or shall be relied upon as, a representation, whether as to the past, the present or the future. These materials were designed for use by specific persons familiar with the business and affairs of the Company and are being furnished and should be considered only in connection with other information, oral or written, being provided by us in connection herewith. These materials are not intended to provide the sole basis for evaluating, and should not he considered a recommendation with respect to, any transaction or other matter. These materials do not rnnstrute an offer or Solicitation to Sell or purchase any securities and are not a commitment by Rank of America Corporation or any of its affiliates to provide or arrange any financing for arty lransdclirrl Or lU purchase arty Security in connection LherewiLh. These rridterial5 Are! for dhcuwori pUl'po5eS onlyand are subject tU our review and assessrnenL from a legal, compliance, au:ounling policy and risk perspective, As appropriate, following nut discussion with the Cnrnpany. We assume no obligation to update or otherwise revise these rnaterinls. I hese raterials have not been prepared with a view toward public disclosure under applicable securities laws or otherwise, are intended for the benefit and use of the CUlrlpaoy, and fray rinL bL rLprndnCLd, dl]]LrnlnaLud, quo Lud or rufurrud Lu, Irl whole UI Ill pall., wlLhUnL out prior w11LLc'll cu11su11L. Those materials may not reflect information known to other professionals in other husiness areas of BAnl( of America Corporation and its affiliates. Bank of America Corporation and its affiliates (collectively, the "BAC Group") comprise a full service securities firm and commercial bank engaged in m:cuiLics, eonunudil-ws and dr:rival.ives Lrading, fur:ign exchange and oLhcl blula:ragc dLLivi Lice, and principal investing as well as providing mvpstmp.nt, col'poratP. and private banking, asset and Investment management, financing and StratPgl(. advisory sPrvlc s and other cunvnercial servires and products to A wide range of corporations, governments and individuals, donlesucally and offshore, from which conflicting interests or duties, or a perception thereof, may arise. In the ordinary course Of these activities, parts of the BAC Group at any Lime may inveSL On a principal basis or manage funds LhaL inveSL, make or hold long or shorl. posiGonS, finance pOSlGons or Lrade orotherwue effect transactions, fur their own accounts or the accounts of Customers, in debt, equity or uther securities or financial instruments (including derivatives, bank loans or other obligations) of the Company, potential counterparties or any other company that may be involved in a transaction. Products and services that may be referenced in the accompanying materials may be provided through one or more affiliates of Bank of America Corporation. We have adopted policies and guidelines designed to preserve the independence of our research analysts. These policies prohibit employees from offering research coverage, a favorable research rating or a specific price target or offering to change a research rating or price target as consideration for or an inducement to obtain business or other compensation. We are required to obtain, verify and record certain information that identifies the Company, which information includes the name and address of the Company and other information that will allow us to identify the Company in accordance, as applicable, with the USA Patriot Act (Title III of Pub. 1 107-56 (signed into law October 26, 2001)) and Such other laws, rules and regulations as applicable within and outside the United States. We do not provide legal, compliance, tax or accounting advice. If any person uses or refers to any Such tax statement in promoting, marketing or recommending a partnership Or other entity, investment plan or arrangement to any taxpayer, then the statement expressed herein is being delivered to Support the promotion or marketing of the transaction or matter addressed and the recipient should seek advice based on its particular cil curnstances front an independent Lax advisor. NULwiLhstanding anyl.hing that may appear herein or in other materials to the contrary, the Company shall be permitted to disclose the tax treatment and tax structure of a transaction (including any materials, opinions or analyses relatin to such tax treatment or tax structure, but without disclosure of identifying information or any nonpublic commercial or financial information (except to the extent any such information relates to the tax structure or tax treatment)) on and after the earliest to occur of the date of (i) public announrement of discussions relating to such transaction, (11) puhlir announcement of such lransa(tion Ur (111) exeCLlflpn of ) definitive agwerner,T (with or without ( undltWnS) to enter Into stJeh lrahsa(lion, provided, however, that If Such transaction i9 not consummated for any reason, the provi¢ons Of this Senlence shall (ease Lo apply. r912021 Bank of America Corporation. All rights rrservrd. 1/2021 City Council 23 — 99 5/18/2021 1. rroposoI shall in Chian a starement OuNining your Concurrence nr Concern; w2h on and all provisions as contained in this nrr. BofA Securities, Inc. does not object to any of the provisions contained in this RFP. I. Arencnt/tic :cnphon of the firm, itit h1thral sbLit turc•,size, rrurnbcrolcrnp/oyce, relevantfinoff ciny cepericncc•, and gcy post gr COnlCrOalgtcd chungc_ in ownership. Addirionolly, the followingsh all be included Provtde o asr, in rohplar form with a grand rabtt, of oll Pen(lpn U1111gallon Bon(/ irpq apinq: In whICh the firm hal served 05 senior mpnaaer grnre January 2010, specifically tdenrif nn-g staff members involved and their roles. Provide a list, in rabular form with a grand rotor. of oil Pension Obl,gorion Bond transactions in which the firm has served n., co-monoge.rsinre January 2010. snecifically Idennfvina sroff members Involved and Their to/es. Firm Overview. Bank of America Corporation ("Bank of America" or "BAC") is a C Corporation with over 200,000 employees globally and offers a full range of banking, investing, asset management and other financial and risk management products and services. Bank of America is a global leader in wealth management, corporate and investment banking and trading across a broad range of asset classes — serving individuals, small and middle market businesses, large corporations and institutions (including our municipal clients) around the world. i� BANK OF AMERICA _::.` RANK OF AMERICA BofA SECURITIES �^;"'"" MERRILL A BANK OF AM E RICA COMPANY PRIVATE BANK BofA Securities is the brand name for the institutional businesses conducted through the broker -dealer BofA Securities, Inc. ("BofA Securities" or "BofA"), which houses a suite of investment banking and underwriting services for municipal issuers. Commercial bank services are provided by our affiliate, Bank of America, N.A. ("BANA"). BofA is the successor entity for the institutional business of Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill"), which was incorporated in 1958 and was a municipal broker -dealer for approximately 60 years. Through Merrill, BofA continues to operate its retail wealth management business, which has over 17,000 retail financial advisors and client balances of approximately $3 trillion. Municipal Market Leadership and Unique Combination of Expertise. BofA has ranked as the #1 underwriter of municipal bond issues nationally in each of the last nine veors. Since 2010, BofA has senior managed over $629 billion in par across 5,464 issues. Our financing experience nationally and within California covers a broad and geographically diverse range of agencies with a multitude of various Capital programs. BofA is well suited to serve the City's financing, needs as evidenced by the following,! • Premier Taxable Financing Capabilities. BofA is the leading underwriter of taxable municipal bonds notional/v. having brought to market S78 billion in por across 725 issues nationally since 2010. Additionally, BofA coordinates all taxable municipal credits from our municipal syndicate desk in close cooperation with our high-grade corporate salesforce, bringing the global reach of the BofA franchise to the City's benefit. • Pension Financing Expertise. BofA is a leader in pension obligation financings both nationally and OKIGAnOf within California. Since 2010, BofA has senior- city or Fresno, CA City of Riverside, CA managed $3.4 billion of pension -related financings City of Manhattan Beach, CA Riverside County, CA City of Long Beach, CA Sacramento County, CA notionally — of which $1.0 billion was for California City or Kalamatnn, MI San Bernardino County, CA issuers. Our recent senior -managed POB experience Cao1111011WIaIIII Of Puerto RICO OJI(and County, MI includes financings for the State of Illinois ($800 Della t Ret remem System FEnd San Diego County, CA Fresno County, CA Sonoma County, CA million 2020 Pension GO Bonds) as well as for the Kern County, CA Sid Le of Al[ ski:, cities of Riverside ($432 million 2020 POBs), Azusa Los Angeles County, CA State Of COn neCtlEat ($70 million 2020 POBs), Gardena ($101 million Merced County, CA State of Kansas Mnnmauthnl:ntY, N, Sinicof New mn.cy 2020 POBs), El Cajon ($147 million 2021 POBs), and City of Pasadena, CA state of Wisconsin Downey (5114 million 2021 POBs). In addition, we currently are serving as senior manager on pending POB financings for the cities of Manhattan Beach and ❑ Cajon (second tranche). � ity Council — 100 5/18/2021 ��_ Page 123 BofA SECt1RITIES Since 2010, bofA has served as a co -manager on $1.S billion of pension obligation financings. Recently, we were a co -manager for the County of Riverside's $720 million 2020 POBs and the City of Torrance's $3S0 million 2020 pension financing (which utilized a Lease Revenue Bond structure). We also are co -manager on the City of Huntington Beach's pending $363 million POB offering that is expected to price next week. Furthermore, throughout the careers of each banking team member, we have worked on a broad range of municipal pension bond financings in California and elsewhere as summarized on the prior page. Our extensive and recent experience provides us with valuable insights into investors' and rating agencies' thoughts regarding pension financings, which will enable us to best serve the City — especially with respect to timing, credit and structuring strategies. In Appendix A we include all of BofA's senior managed and co - managed experience with California pension -related financings dating back to 2010. c . i_ „ln im r. Igo,•. r,. t .. _ _. e..y ern„�.. �.,o rz:,ao« rrr .. 7.,:tua f ... ec.2ca nvh - ary Pao I,mc10�J h4" w1 7CDLA Inn;.... . r •rr rr :r rrr .r rrr t o> I RFEPS` 0 B n Ba m: / p+I+. npxyJld �o¢�>t Y015 r,PeJY015 II. Q dpSrflpran of rhp SOP Ot the ftrm:s gnveramenmf Sror f and rfip flfm'5 PxppripnCP w,rh gnvPrnmPntt)/ nypnri2i of a Sllllllor SVP, fInMrP, 0qn SrnpP. L rnphosts should be pluced on o<signment< undertaken within the pasr twee (J) years and on engnnemenrs underruken by rho personnel proposed to be ossianed to this ayreernent. Municipal Banking and Markets Group. BofA Securities' Municipal Banking and Markets group ("MBAM") is a fully integrated division that includes public finance investment banking, sales, trading, underwriting as well as commercial bank products and services offered Lhrough BANA. This single, coordinated business unit wish approximately 370 personnel provides our municipal clients with a central platform for their capital raising, credit and treasury needs. This integrated platform facilitates streamlined coverage for the City led by public finance bankers who coordinate the delivery of both capital markets and bank/on-balance sheet products. We believe this is a distinguishing factor and one that separates BofA from its peers. Large, High Profile California Taxable General Fund Financing Experience. BofA, and the personnel assigned to the City's coverage team, boasts a strong history with structuring taxable general fund financings for a multitude of local agencies, being the roo-ranked underwriter of national taxable lease revenue bond ("LRB") and certificates of participation ("COP") financinas since 2010 with 53.3 billion in senior managed our. Notably, in the COVID-19 era, BofA led important LRB financings for the City of San Jose ($147 million 2020B LRBs), the City of Los Angeles ($165.6 million 2020B LRBs), and the City of San Diego ($60.7 million 2020 LRBs). These offerings were senior managed Holly Vocal and Jeff Bower, the primary and secondary contacts assigned to the City. Furthermore, we are a leading underwriter of pension obligation financings as detailed further in Question 4. ill NOOIB Ogd [pp(Otl iRiGrT)aIIJO r f lhp l)1I111 ftiY n"df P[aOfla,y. P,njP, I me"M"IptS h) hp atilfgol d lO the 2rle]O)PnlPnl Primary Contact. Holly Vocal, a Managing Director in our San Francisco office, with more than 17 years of public finance experience will serve as the primary contact for the City's offering. As lead banker on recent POB financings for the cities of Azusa, r Holly vocal r Gardena and Downey, in addition to large taxable general fund financings for the Managing Director City of San Jose, Holly is well versed on the key credit considerations for California (415) 91I-7327 general fund obligations as well as the specifics of structuring and marketing holly.vocalio)bofa.com California POBs. Secondary Contact. Jeff Bower, a Managing Director in our Los Angeles office will Jeffrey Bower leverage his 30+years of public finance experience to serve as co -lead banker for the Managing Director City and provide senior oversight and direction to the team. Jeff's POB financing (213) 345-9580 experience includes transactions for the cities of Long Beach, Gardena and Ieffroy. Bower( bofa. corn Manhattan Beach as well as the counties of Sacramento, San Bernardino, San Diego and Sonoma. Council 23 — 101 5/18/2021 Paget BofASECURITIES �� m. mairnre IPVPI Jf Glmmrimrnt Jf ebch of the nsbrynPrJ key personnel nnH how you will PnsurP rho arresslhlllt y of key porsnmlPl to rho t.iry. Please reference our response to Questlon V below, which outlines BofA's key personnel. v. Resumes far the PicfessionnI steff ossigned to the engagement. Include n brief biag rap by of each person specifically addressing experience relevant tr, the Ciry'%prnpr arH financing. A HiV"Won of r-durntinnal hackyrounr/ and relevant exp - e of the, v caner, 5upervBorlcJ and Sniff wh1rh will he ossigned to this en go demerit as well as their assianed responsibiliries under the proposal shall be intruded. BofA has assembled a dedicated POB Team to assist California issuers with refinancing their Ca1PERS UALs. This "one team" approach allows us to seamlessly convey the latest structuring, rating and investor insights to clients in this rapidly changing market segment. Holly Vocal and Jeffrey Bawer, as primary and secondary contacts, will ensure that the full resources of BofA and the team are dedicated to the City. Further, and as Shown in the table below, each member has significant senior managed experience with California PCBs. Holly Vocal, Manacling Director San Francisco 17 yrs Senior Managed: 5 40.09r Jeffrey Flower, Managing Director Las Angeles 32 yrs Senior Managed: 7 5.09. Carr. Public: In,, Rudrir;oor, Munn....., n rrr our Nr-. w Yurk 17 yc: tionlnr Manaxo d: R 1f1. n'Y Finance Team Doug Baron, Director Las Angeles 13 yrs Senior ManaEcd 3 10.0% Geoffrey Sauers, Vice President Los Angeles 8 yrs Senior Managed. S lS.OX Katy 1'. 11, AS ,VIntP I ns lrngAlP 5 yrr. tienior mmi.i { dl 5 159 Ox� Catherine Crews, Monogfng Director New York 16 yrs Senior Managed: 7 S.OW IJnrfnrW rit nY Rrenpan Tiny, Mpnpgrn(I DIrTLraY New Vnrk 99 yrs ieniar Manage_tl A5 NpP C1P(I Rating StratPpips Rind GPWPhr, SPnror VlrP PrPsrHPnr %Bw York Sri yrs Senior Managed: 8 M NeBrl Bel Jorge Rodriguez, Managing Director, is BofA's national pension financing specialist with expertise with actuarial and strategic asset allocation matters. Jorge is able to bring his financial modeling and scenario analysis experience to bear in assisting the City and its Municipal Advisor with structuring decisions. Doug Baron, Director, will serve as a project banker. Doug offers a wealth of experience working in California public finance, having previously served as Manager of Public Finance and Investments at the County of Los Angeles and having managed more than $1 billion of pension bonds while at the County. Geoffrey Sauers, Vice President, and Katy Liu, Associate, will assist with the execution efforts. Geoffrey and Katy have led the execution efforts for over $10 billion in municipal offerings, including POBs for Azusa, Downey, Gardena, Huntington Beach, Manhattan Beach and El Cajon. Credit Soeciolist: Complementing our team is a veteran credit strategist who provides expertise in structuring pension obligation financings and working with the rating agencies as well as investors on credit -related issues.considerations. Brad Gewehr, a Senior Vice President in New York has worked over the past 20 years with various issuers and their finance teams to develop optimal pension obligation structures to increase funding ratios while maintaining affordability. With his extensive knowledge of actuarial and accounting principles, he has helped ensure that pension liabilities and expenses are properly presented to rating agencies and investors. Most recently, Brad worked on pension or OPEB financings for the cities of Riverside, Gardena, Azusa and El Cajon as well as for Gainesville (FL), the State of Illinois and the Kansas Development Finance Authority. Underwriting: Catherine Crews, Managing Director, will Serve AS Lhe lead underwriter for Lhe City'S POB financing. Catherine has 16 years of underwriting experience with a particular focus on California issuers and has served as the lead underwriter for over $2.0 billion of POB financings in the last five years. Brendan Troy, Managing Director, will provide additional underwriting support. Brendan offers the City 22 years of experience for nurnerous credits nationally as well as extensive experience wish California general fund issuers. Resumes for our team are provided under Appendix R. i" A demipbnn of the Prnpnspi 's Pxperrenre in providing vinrlarSPNICPs to thnip rpgiipsrPH in this RFP. The City's RFP outlined a scope of services expected of its senior manager. In the following table, we detail BofA's value-added approach and how we've provided similar services on recent PCB transactions. Notably, we've helped prepare customized plans of finance based on our clients' unique savings and policy objectives. We provide some highlights of these various funding approaches below. BofA Senior -Managed POB Experience —Tailored Pension Funding Approaches Gty of Rivpmae City of AZUSa City of CI Cajon City of Downey 5432 Million 2020 POBs 570 Million 2020 POBs 5147 Million 2021 POBs 5114 Million 2020 POBs Council 23 - 102 5/18/2021 Page BofASECURITIE5 �� Funded with POBs 92% UAL Funded Ratio Structured payments to achieve specific savings Larp.ets in first Len FYs and no dis savings relative to existing UAL • Prepared 50+ simulation scenarios to optimize funding level and base selection and assess rdnvcsimcnl. risk • Attended and presented at City Council meetings • Prepared loddshow and held one-on-one investor calls • Led underwriting syndic`a Le • Prepared post -closing funded with PUBS and AddCl Discretionary Payments from utilities 100% UAL Funded Ratio Structured 20-year level payments • Helped analyze ADP funding amounts and various POB debt structures • Crafted rating presmta Linn • Attended and presented at City Council meetings • Prepared investor roadshow; set priority of orders for retail • Prepared post -closing presentahun to be funded in two POB Uanches 1" Lranche funded 750. Funded Ratio and 2`° tranche to fund 2S% Targeted longer term bases for initial tranche Lo mitigate against interest rate risk • Helped evaluate funding levels and timing considerations • Helped develop and refine inaugural farm of ditdnsur'u document • Crafted rating presentation and helped secure inaugural GF rating • Set priority of orders for retail • Prepared punt -dosing presentation Funded with PUBs 85% UAL Funded Ratio Structured payments to achieve near -term savings in firsL Lwo FYs and no dis savings relative to existing UAL • Prepared 10+ simulation scenarios • Led discussions with CalPLRS on the City's behalf • Oplimized UAL hasc selection • Prepared investor roadshow • SeL priority of orders for retail • Led underwriting syndicate vii. Identify fru ee foxuble bond issuer references for which fhe proposed prirnary Project Manager and the secandofy Project Manager have curried out simdnr rPsprossibiliries to rhnSp rnntempinred under rhic are•. Inrluop rnnrarr infnrmnrinn fur Poch. Bolds strength in the municipal market is not only evident in the firm's strong rankings, but also in the strength of our relationships with our issuer clients. Provided below are three references for municipal clients for whom BofA recently senior managed California taxable POB offerings. Raymond Beeman Talika Johnson City of Gardena City of Azusa11 Chief Fiscal Officer (310)217-9502 rbeeman (a)cityofgardena.org $101.490 million 2020 Taxable POBs Primary! Jeffrey Bower Secondary: Holly Vocal Director Adrnln. Services (626)812-5202 tjohnson(a)azusaca.gov $70.000 million 2020 Taxable POBs Primary! Holly Vocal Secondary: Jeffrey Bower Anil Gandhy City of Downey Director of Finance (562)904-7265 aga nd hy(o)downeyca.org $113.SSS million 2021 Taxable POBs Primary! Holly Vocal Secondary: Jeffrey Bower viii. A list of the locol office's most significant eogogements in the last five (5J years, indicating whether they ore public or p/vote sector, antl including <. npo nT word- dolr and nnmr "W1 lelrphnne nrr,nbrr of lhn Thom h)nln"i Frequent Engagement on Large, High Profile Financings. Over the last five years, BofA has maintained a market leading position in California, especially for California Negotiated Rankings California Average Par Senior Managed transactions sized Transactions Greater Than $500 MM Comparison of Active POB Underwriters greater than $S00 ^^�^,<r�^'.,,, -��„9fi ,; �. �1 svr S121 million — a threshold we 00 7i :.zaoo view as significant in that it differentiates which IDnw �., a's>.,In so Szr szr Underwriters are tasked with the most u<;fn Ran 11r stir vl,a,a Rau 1 : 51,aN , challenging offerings. As Source: Thomson Reuters. 11112016 hi 311012021 Source: Thomson Reuters. 11112015 to 3110/2021 Council 23 — 103 5/18/2021 Page BofASECURITIES ��'r" shown in the above araahs, BofA sianificant/v outpaces competitors. Additionally, compared to the other underwriters active in the California POB space, our averaae senior -manacled issue size in California is up to Sx luraer than our competitors. We believe our dominant position in this segment of the market is a reflection of our banking staffs ability to flawlessly execute complex transactions and our underwriting desk's ability to achieve market appropriate pricing in all market conditions. Significant Experience Leading Underwriting Syndicates. Given our experience with large transactions, we are a frequent book -running senior manager of underwriting syndicates for large transactions and would be able to help lead and mobilize the City's underwriting team to help ensure efficient execution of the City's transaction. For example, BofA is book -running senior manager on the State of California's $1.9 billion March 2021 General Obligation Bonds which priced this week, and for which we successfully managed an underwriting syndicate of more than SO co -managers and selling group members. California Senior Managed Financings Greater than $500 Million (Negotiated t,ale . na bcape or I:ork 10/29/20 Los Angeles Comm College Dt 1,793.805 04/23/20 Los Angeles USD 829 000 04/1 6/20 California 1,439.115 BofA is a full service underwriter with 02/05/20 California Slate Univ Tru,lees S86.02C the abiliLy Lo rneel. exLensive scope of 09/19/19 Bay Area Toll Authority (BATA) 869. 19S work requirements. For each of the 08/14/19 San Francisco City & Co Airport Comm 1,04CIA80 transactions listed to the left, BultA's 03/06/19 California 500.040 scope of work included a mixture of the 03/06/19 California 1,/91.810 following assignments: 06/OS/18 California Municipal Fin Auth 1,181.525 • Financing Schedules 05/23/18 Regents of the Univ of California 736.215 Distribution Lists 05/J9/18 Regents of the Univ of California 945.810 Financial Modeling O5/16/18 San Francisco City & Co Airport Comm 758.470 Rating Agency strategy and 03/06/18 California 1,96&930 Presentation Development 02/21/18 Los Angeles USD 1,2)W.445 Investor ROadbhOwb (Physical and OS/01/17 Bay Arca Toll Authority (BATA) 1,402A75 Electronic) 04/26/17 Los Angeles Dept Wtr & Pwr (LADWP) 530.270 International Investor Marketing 04/20/17 California 648.070 Domestic Institutional and 11/17/16 Los Angeles Co Metro Trans Auth S22.120 Individual Investor Marketing 08/30/16 California 2,653.000 Digital and Print Bond Offering 05/11/16 Alameda Corridor Transport Auth 551.140 Advertisements 04/28/16 California Statewide CDA (CSCDA) 947.620 04/08/16 California State Univ Trustees 1,133.105 Pleaso note, BofA does not provide client contact informotion due to privacy concerns. If the City wishes 16 contact one of these issuers directly, BofA la happy to arrange such outreach accordingly. ix. A storement that the firm is todependenr of the City and Char k is unaware of potentiol rnnflirts of interest. To the best of our knowledge at this time, we are not aware of any actual or potential conflicts of interest that could negatively impact the provision of our services as contemplated herein. If selected to be your underwriter, however, in accordance with our MSRB Rule G-17 obligations as an underwriter, we will conduct our MSRB Rule G-17 review and provide you with disclosures at that tithe. Please see Appendix C for additional disclosures. x. All offlralori,p StatemBat Verifying the fIRT and off assigned Ivey professional staff are properly licensed to prarnre In callfal'na. To the best of our knowledge and belief, BofA Securities, Inc. and all assigned key professional staff are properly licenses to practice in California. A A warrant that the firm mainmins a prudent omount of errors Gild omissions insurance that covers negligent acts and is applicable to the work toque^Iri in Ihi•. HFV. Please reference Appendix D for a Certificate of Liability Insurance which details BofA's Errors and Omissions insurance coverage. xii. An acknowledgement by signoture that the signer is authorized to contractually bind the firm. Holly Vocal, Managing Director, is authorized to contractually bind BofA. Please reference Appendix E for an incumbency certificate. �'� ity Council Page S 23 — 104 5/18/2021 g BofA SECURITIES r xul. Any pending legal damns ,rod bngnnons ngmnst the fmn. I egol ornons ei,o,mi rho frn, m the pr~,ius frve yon,s shall he mclaned. Please reference Appendix C for our response. Describe tree It nt's and selected personners experience within the lost thrity-sfx (36) months regord,ny the issuance of Persian Obligations Bonds. Please mclude hur nor hmrreu ro the fallawmq iems (Q Nome of Munmglnbry or IJrsrnrr, (u)Amnunt of Oobt rCaemie, (tit) vnr amuunr of rJehr iiv'pd, (Iv) numher of underwnten within it,, engagement -if r UIUPIC undcrwrit 1i, indicutc if cp or senior. Leadership in Pension Obligation Bonds. BofA is the leading underwriter of POBs nationally based on par amount. Over Lhe lass 36 Months, BorA's assigned personnel have worked on 9 POBs as senior manager totaling $1.5 billion in par. This includes a $432.1 million POB offering for the City of Riverside, which is the loraest California city POB financing over this tinieframe. The assigned team also has worked on 5 co - managed engagements totaling over $2.4 billion in par. In the following tables, we detail of our team's senior- and co - managed pension obligation financing experience over the past 36 months. National POB Rankings Oer„SeG V 4�viET ��'% S,ilrl Mi'.Iign Sourer: Thomson Reurers. National Senior Managed Pension Obligation Bond $113.58S Downey, City of 02/09/21 BofA Securities Jeff/Holly/Jorge/Brad/Geoff/Catherine 147.210 El Cajon, City of 01/13/21 BofA Securities - Jeff/Holly/Jorge/Brad/Geoff/Catherine 101.490 Gardena, City of 11/10/20 BofA Securities One left/Holly/Jorge/Brad/Geoff/Catherine 70,075 Azusa, City of 09/17/20 BofA Securities - Jeff/H011y/Jorge/Brad/Geoff/Catherine 206,080 Gainesville, City of [FL) 09/11/20 BofA Securities One Jorge/Brad/Catherine 167.155 Fort Lauderdale, City of (FL) n6/25/20 enfA SPCIIntipS - IOrgii, grad/Cath BrinO 432.165 Riverside, City of 06/04/20 ROfA Securities One Jeff/Jorge/Road/Catherine 300.000 Illinois, State of 03%26119 BnfA Serunties One Jorge/Brad/Catherine 43.150 Muskegon, Cnty of (MI) 12/11/18 BofA Securities - Jorge/Brad/Catherine National Co -Managed Pension Obligation Bond $349. 1 , Torrance, Cily of 10/14/20 One Two Jeff/Holly/Jorge/Rrad/Geoff/Catherine 1 /4.flfr_1 Arhngbrn, Oly of ( IX) O8%l//m One seven Jorge/Rrad/C21,herine 1,065.16"1 (en[1WlVdn1a Slate Unn9er511V 05/05/20 One Five Jorge/Brad/CaLliprine /19.5JJS Riverside, City of 04/22/20 One Ihret, Jeff/Holly/Jurge/Bred/Catherine 131.205 Pasadena, City of (j2/05/20 Une Unc Jeff/Holly/Jorge/Brad/Githerinc Proposers shall provide a Unef summary of tlleirfirm'sf!xctllncome marAeGnpmoil d(stnbution copabihnes, specificolly taxoole municipal bonds. Descapuon offTri's corporatobondsoles andfrndwtl mPublliticsshpllinclude, but not be Grnitcdto LhefoPvo ,p-(7number ofrules andtrudinupersunnef, (ii)/cuyuc rabies/rankings and `tv) personnei assigned to selltoxoble riunibpoibonds_ BoJA's Distribution Network. Our approach to marketing and selling the City's POBS is to leverage our domestic and global distribution networks, as detailed below, to reach a broad universe of individual retail and institutional investors— both domestically and internationally. 381 institutional sales reps 683 retail offices 77 retail offices"I 7 retail officesl'I 23 offices nationwide 17,442 retail financial advisors 2,173 retail financial advisors 290 retail financial advisors 0) ioarce: Bonk ofAmencn. Global Wenith and Investment Managemenr (GWIM) is the wrnl[i1 antl;nvestment mnno0emrn[ nws;on of Bank afAmericn Carperotion. As of ..,nc. 10,)a 19 GWIM cbad, iI In< o/ sJ Ri,,h... _ Cprr 9Iva rr. .. J .ur.r nprn.<+v rquMJnJ GWIM -r re nb+. hrok.any.. n...., osseti m nrt[otly of GWIM endues, loon bolances pod deposits Of LWIM 61811s held at Bank ofAmencn, NA. and offtlmted books_ f2) ladudes bon, Merrill cod U. s_ Trust Offfccs. • Institutional Platform: Our inslilulional dialribulion network cores is of 23 in5llluliorldl sdles ufrlces doors tho natinn with 381 sales profrssionAls — inrluding M drdicatrd municipal sales sporialists — offering Council 23 — 105 5/18/2021 Page BofA SECURITIES investment products and services to institutional accounts globally. Our sales desk has also been instrumental to our #1 league table ranking over the last nine consecutive years. Fully Integrated Taxable Distribution: Unlike many firms that abdicate the marketing and pricing of taxable municipal bonds to their high-grade corporate desk, the BofA municipal desk partners with our corporate desk to access a broader investor base and leads the marketing and underwriting itself on behalf of our municipal clients, culminating in seamless integration with traditional taxable buyers. As a leading underwriter of high-grade corporate bonds, syndicated loans and private placements, we are well positioned to market the City's bonds to investors in the corporate/taxable space. • Power of Global Connections: Finally, BofA is one of a select few of truly global firms. With operations in each of the major metropolises around the globe, our underwriting desk is fully equipped to tap into the insights offered from our foreign sales and trading desks should international buyers become interested in the City's sale. The potential large size of the City's offering makes it a candidate for marketing to international investors. Unlike some competitors, BofA has the ability to receive orders directly off its municipal underwriting desk from foreign investors. Further, 3ofA's global footprint ensures that we have pre-existing relationships with law firms in foreign jurisdictions that can quickly approve of the various international "blue sky" disclosures required for the City to pursue an international marketing campaign. Retail Platform: BofA has one of the industry's largest and most extensive retail distribution networks, comprised of 683 domestic branch offices supported by 17,442 retail financial advisors. With over 7 million individual investors and nearly $3 LrilliOn in retail assets under management, municipal securlLies represent the #2 product sold by BofA to retail investors. Through our vast distribution network and taxable underwriting experience, BofA has delivered substantial orders on POB financings. For example, BofA garnered orders from 76 unigue investors on the City of Riverside's $432 million PCBs, including orders from municipalities, insurance companies, bond funds, money managers, and individual retail. Key Investor Targets. In marketing the City's proposed bonds, BofA would canvas a broad universe of investors with particular focus on the following: International Investors: BofA is seeing increasing international interest in taxable municipal financings. The City's offering may be attractive to international investors given the large issue size and strong ratings. • Municipalities: We would target municipalities who will be active mostly in the first five years of the curve. Depending on market conditions, BofA may recommend that priority be given to municipalities. • Life, Property and Casualty Insurers: These investors can purchase sizable amounts and typically prefer long- dated structures. They will be key targets for the proposed sale and likelywould participate through the final maturity of the City's POBs. • Top Holders of'AA' Rated POBs: Top holders of other highly rated taxable California PCBs nationally would be an additional target for the City's sale. Notably, top holders of California taxable 'AA' rated POBs who do not hold any of the City's general fund obligations include BlackRock. Wellington, Goldman Sachs. 40/8GAdvisors and Hortford among others. • Existing and Top LRB/COP Holders: Targeting existing holders of the City's outstanding bonds will build the base of an order book, as these investors already are knowledgeable of the credit and may lookto substantiate their holdings. We also would target top California taxable FRB/COP holders who are familiar with California general fund credits. Institutional Marketing Plan. Given the taxable nature and large par amount of the City's proposed financing, we expect institutional investors to build a strong base of investor demand for the City's bonds. Below are strategies we would employ to market to institutional accounts' International Disclosure: To expand the investor base, the City's POS may include in-internatinnal wrapper". International language in the POS would allow the City to distribute bonds internationally at minimal cost. Ignite Early Conversations with EMMA Notice: We recommend that the City post a "Notice of Potential Bond Sale" on EMMA once a plan of finance has been ironed out. At that point, our underwriters can direct key investor LargeLs we have identified, LO the public EMMA notice and facilitate preliminary conversations. Council 23 — 106 5/18/2021 Page / BofA SECURITIES ��'r" Internet Roadshow: Given the size of the offering, we recommend the use of a slides -only online investor III presentation to provide an overview of the City's credit and the POBs. Internal Sales Call: Our banking team will orchestrate a call internally with our sales team prior to pricing to address details of the Lransaction, as well as highlight key credit metrics relevant Lo Lhe City's general fund and the nature of the POBs. One-on-one Investor Calls: Finally, we have seen increased interest from investors for one-on-one calls with issuers relating to sensitive credit types, such as POBs. BoIA's credit strategies team, in connection with BofA's sales team, could help assist in arranging these calls, as investors express interest. Retail Marketing Plan. To maximize local retail participation within the City, Orange County and the State, we would employ the following strategies: Establish Local Retail Priority: We could provide first priority for orders placed during the order period to be filled for: (1) City of Orange and potentially Orange County residents as well as Money Managers (identified by zip codes), (2) California Retail, and (3) National Retail investors. Dedicated California Retail Liaison: Grace Gaoaen, our lead California -based retail marketing specialist, will oversee our in -State and local retail marketing to ensure we solicit individual retail orders from our Merrill and Bank of America Private Bank retail financial advisors in advance of the bond sale. Print and Electronic Advertisements: To drive further attention to the City's website or landing page, the City could also place print and/or electronic advertisements in local publications. 6. Structuring Ideas and Marketing Plan for Proposed Debt Issuance Provide a brief summnry of your specific structuring ideas including the assumptions of which Ca/PERS UAL bases tofu no the maximize in vings bosro on the two scenarios descrioed above. Describe how proposer would lead the nonsoction as o senior mmoage, Specifieolly provide your srroregies and operant hie. (rr 1"1" cn.,vc (h, (rnncnl (ip.. i. OrCC V f cd c((icten(ly Proposed Work Approach. BofA is fully committed to designing a plan of finance as well as a credit and marketing approach that meets the City's goals. As the City's senior manager, BofA will work with the City and its municipal advisor during next phases of the City's financing process (per the City's February 2"a presentation), as detailed below, to help ensure that the transaction is executed efficiently. 2 Prepare various bond structuring options (e.g. untunded actuarial liability ("UAL") tunding level, selection of amortization hasps, payment structure and term) and sensitivity analysis Inaspd on varinus reinvestment srenarios utilizing BofA's proprietary modeling and optimization capabilities 2 Develop a finance plan that directly addresses the City's objectives and can be tailored further based on City staff and Council feedback, sensitivity analyses and market conditions 2 Ongoing participation in financing team and City Council calls/meetings; help address City Council questions 0 Comprehensive review of bond and disclosure documentation 2 Ongoing market and financing updates 0 Prepare rating agency materials/presentations and rating negotiations with direct involvement of BofA's in-house rating/credit specialists 2 Implement a marketing plan that leverages our extensive investor relationships with taxable bonds and experience with PORs to reach a Inroad investor audience 0 Manage underwriting syndicate, solicitation of price views and dovolopment of consensus scales 2 Leverage our large capital position and capabilities as the #1-ranked senior managing municipal underwriter nationally with the objective to price the City's bonds at the most competitive pricing levels available in the market 2 Underwrite bonds to support the City's pricing at market levels 5tructuringApproach. The City and its municipal advisor have spent an extensive amount of time analyzing the City's pension liability and evaluating potential funding strategics. As the City works toward refining its analysis and educating stakeholders, BofA can be instrumental in working with the City and its municipal advisor to evaluate potential financing options (e.g. UAL amortization base selections, UAL funding levels and payment Council 23 — 107 5/18/2021 Page BOfA5ECURITIES�� _ structures) and analyze risks through our in-depth analytical and modeling capabilities. We would help the City tailor the POB financing plan to best achieve each of the City's financial objectives and policy goals. Towards that end, we offer the following structuring considerations: • Selection of UAL Amortization Bases — "Safety First" — As the City considers the optimal selection of UAL amortization bases, we. recommend prioritizing prepayment of the Safety Plan UAL. Based on our POB experience, the City may gain greater General Fund benefit from prepaying the Safety Plan's UAL amortization bases than from the Miscellaneous Plan's UAL amortization bases (where some of the responsibility may reside outside the General Fund). As such, we have prioritized prepayment of the Safety Plan UAL bases to maximize the benefit to the City's general fund in our sample UAL funding scenarios. We discuss further below our approach to optimally selecting amortization bases. • Structuring Payments to Meet Savings Priorities — We would tailor the debt payment structure of the PCBs to meet the City's savings objectives, particularly in light of its 10-year General Fund Outlook and existing UAL payment schedule. Accordingly, in our sample scenarios our priorities included: (1) at least a minimum level of annual savings in each of the next 5 years to reduce the projected gap between revenues and expenditures (as presented in the most recent budget's 10-year General Fund Outlook), (2) long-term budgetary savings relative to FY22 scheduled payments, and (3) no obligation increases in any future year relative to the current annual UAL payment schedule as well as no extension of final maturity. • Optimal Funding Level — The City presented two potential book -end UAL funding scenarios to City Council at its February 2n" meeting. We believe that the 50% UAL funding Icvel will help the City mitigate risks associated with CalPERS investment returns and potential over -funding, while the larger funding scenario at 90% potentially would provide greater savings. We will help the City explore alternative funding percentages and payment structures to find the optimal funding level based on the City's desire for savings, its risk appetite and market conditions at the time of sale. • Taking Advantage of FY22 UAL Prepayment Option / Potential Short -Term Notes - The RFP states that the City expects to price its POBs by the end of the current fiscal year. Based on the documents provided, the City may be in a position to close prior to August 1=t, and therefore take advantage of the annual UAL prepayment discount provided by CaIPERS. This prepayment option would apply to the FY22 UAL payment. The rest of the UAL balance can be partially refunded by selecting amortization bases that yield the desired results and having those prepayments apply to payments beginning in FY23. If the transaction is not able to close by August 1", BofA would be pleased to work with the City and its municipal advisor to explore structuring a short -tern direct purchase note with a bank. Bank of America, N.A. ("RANA") has previously worked with the cities of I os Angeles, Oakland and San lose to directly purchase similar notes, allowing those cities to take advantage of the annual prepayment discount. While this approach would be subject to credit/risk approval by RANA, and if approved would facilitate additional savings related Lo Lhe FY22 UAL payment and provide flexibility for the CiLy Lo price Lhe long-Lerrn findncing at -a later dale. Direct purchase notes can generally be executed relatively quicl<ly, as RANA would not require a disclosure document nor direct ratings to close a short-term note. Other Bond Structuring Features. • Index Eligibility— Maturities issued with a par amount of $300 million or more qualify to become components of bond indices. These indices are important performance benchmarks for institutional investors, who seek to maintain investment returns in -line (or above) such benchmarks — helping to create a unique pocket of demand. We estimate an index -eligible maturity will reduce funding costs by approximately 0.10% if subject to a 10-year par call and 0.20-0.25% if subject to a make -whole call. • Dual Call Optionality— BofA recommends that the City utilize a "dual -call" structure with the bonds subject to a make -whole call prior to 10 years and a par call thereafter. While there is a strong preference in the taxable market for non -callable structures (or make -whole call), we see tremendous value in the City retaining call and restructuring flexibility. • Bond Insurance — S&P's latest review of the City's credit in June 2020 assigned an Issuer Credit Rating of "AA" to the City, which is equal to the ratings of Build America Mutual and Assured Guaranty — the leading bond insurers in the municipal market. While, we do not see value in bond insurance at this time, we would reach Council 23 — 108 5/18/2021-.: Page BofASECURITIE5 �✓ out to the insurers to solicit credit approvals and insurance bids. I he decision to use bond insurance will be rnade closer to the time of pricing and be subject to investor demand. Sample Scenarios. For illustrative purposes we ran two scenarios: (1) 50% UAL funding, and (2) 90% UAL funding — bath assuming market yields as of March 9, 2021. Appendix F includes our comprehensive model outputs for each scenario, but we want to highlight that Scenario 2 (90% UAL Payment) produces a lower TIC than Scenario 1 (5096 UAL Payment) due to the inclusion of an index eligible term bond and slightly lower average life. Further, BofA does not see a material difference in "probability of success" metrics (discussed below) between either scenario. Miscellaneous UAL • Fo'..I Prcpayrncm, ul FY22 UAL rill 8/1/21 Funded No Prepayment • Prepayment of Selected Bases on Closing Date to reduce smort 7atlpn payments Ueinnning I Y.r3 Safety UAL Funded ' full Prepayment of FY)) [JAI by 8/1/)l • FLr!I Prepayment of FY9) UAI by 8/1/)l • PrCpaymePL of SL,Ic,-ud Bases Un Clo,mb Dale Lo • Full Prap2yrncnL urn CluSieb DoLe of UAL I-i I)L as reduce amorTi2at on paynlente begi ini ng FY23 of6/30/2022 toil current amortization bases Band Structure Taxable Callable FIEed Rate Bonds • Taxable Cal sole Fixed Rate Bores • Principcl due 6/1; Interest due 6/1 and 13/1 • Princi pa'. cue 6/1, Interest dLe 6/1 end 12/1 • Poi C:dl D:rlr.: f/1/21131 • P;v (,ill Dv'. c: fi/1 %Jf131 • Serials 2022 2036 • Serials 2022 2035 • Term Bond 2037-2044 ncex Eligible Term Bond 2036-2044 rY?2-7b,virlool .,.Ving> lalgITl of 510 vi11'. iLm • rV27-26 nuol 1.1Ving.7 lalgrl of a?0 111111 am Par Amount $3S] 405,000 $649,230,00o All -in TIC 3.0?8190 ].88395 Average Life 14.8 years 13.2 years Cumulative Savings Sl 84,h2 i,f ID(1 ] it h,81 fi Ilnl I Financing PV Savings $152 826,000 S264,693,000 (% of Part (12.591. of Par Amount) (40.80A of Par Amon ntl Actuarial PV Savings $122,118,000 $210.474.000 (%of Part (34m m of Par AoOnQ !1 Q (32A%of Par Arrlo, Scenario 1 (50% UAL Payment) ]UaOn Ur.:: ) r All I.TIC 3@fiz 1U81z A.11— —'. 8-1 Y", b.4....... UAL B.ILri UAL flvrr. C.11.1ia--. B-1 Y... B.l--, UAL R.f.nJ.J UAL n.rn. r-1, 2LUL 11 e1141c1 1149391141 111Uo 1,lLVJ491 Q900549) B i Cli.mp: 3007 35025094 35,035094 B:nm tCr, 300e ♦$04690 1,5OO 690 .f rL..0 riL nrl/Lr... . .. 'OY 5 1T,194T5 ,...I 131 ]Y S]4 1 ]009 1I1 - 11,( 1-1 S111I G111i/L0a 2010 1076f1.315 111,16031S A^:.n]mn C 11,C 1011 15,355305 15,356805 u1111,- J1, "1"11 - l?l6i A7 li1—r)JI—, )nil 1-11o) - 14.11s191 ]Ill I11.4:: 1U31 112u, 0-1 11,36S4911 !IG] L3- 111," 1=1f9_ el IGAI/10ss 2012 '26.240. 11W 240) 31111/1.02 2013 140,6. 9Y7 I10,3659171 Ir.Fpr... )nl1 1:1.,11, fit: - 161 "6 A..... I —- )in4 11h11140 - S1,6M240 A..1111on Llvnf:1 zul4 41..V/.10- - 43,50T 182 iGvnlhlo LU14 (14.11A?i - IB4.U6949) m.,.dnrr= m_ e-,,—I mz,•�r zeal ��d/1.� . __1. 111111.0t[ IDli 33 LIL SIV 32663590 A2.n )t'.pn r]]npe 2111 13...417: 19756175 G. .,C-- lclfi 11l T.s" - MISS 642 IL.F.1/L..* INA S 1)4 1),S 6 q)11 38,680.746 L�/mnn .1 L --1114V - 18,544.4zU zu umVOanl"In, 2rz1/ 11.11L]/1 - 2J2115574 l L. ]npe 13,9 _ 1 u]Inl/Lo:: 1_. —. (33.61a_/411 ACI U6 ), p) ,.8. I'll, r.• M iCA'rl >O8 69A>6)T - 6561417 A..,,� r...�... 427 .— )Olp 4hOG>49 a005i )anl - 14 n rll•Ai Llianl:• /6 - l),T4 T':1 i,nl/o. - I1,i14.Ir 011 fULm/lv.: 20f 1 n i3AL£6B1 113,a686H1 bona .tt(Gvnply� j- ?03 2019 3056]05 15053]051 011nrl b .1,.—nu:,1. (Coll/. ]na >019 >9I4 fH.L, 2974088 n. ^�Ic-rl/ nrw TGlnl 142,21i3011 1d2,70,903032 TbfnL 108091378 Y1390080721 97,9931106: ity Council 23 — 109 5/18/2021 e Pa 10 g BOfA SECURITIES r° Scenario 2 (90% UAL Payment) MISce. Llnrou: S]Mry TOb'. a a. n nnn vanIn nnn sa,Illmn •..l aw,a.a �.11. Dsao nt 51C 536 9,1'S00 I C103C ...I u... TIC A."... L,.. to 1813K 152871% 1 52861% Amortla]Ilon Base l 0].aneci UAL ROUndlZA UAL 0.em]Inlnq � 'UUL (14Y39C4I (1,4839841 c OenprlC'." ,e 200I 2 ;,M 0-1 - 2i,02..094 a. nrn ,, onr n 1.-1 r yliun C,'n,e ILL, [121 t!- - 11,25141, I Il nl.. 11.... >nnn ;n1 16611 pn 7nrl _ ....... .nnlll:.::: )L,.O Msn' S L'. I7fi0:: 51 - A ,_,. ..... 2011 12,3G3_17 12,363217 SlIIJA IG. IlIL— 2011 O ES 1021 - (7,365 492J 1.1�11111fl nl/L[v'. 1.11 i1111213 f5619143) NG.I /LC:S 21-- 1'64.140 (264 M) _1_,_,111 ULU.1) till I 1,6,11fi+1 - (636-16a1 (r•.,JP... >O15 i1,nfi3Mn li`fi63. S90) 4: ::lmptlnn rnCml 2016 16, l fiifin2 16,168 642 N G.I/14:5 201G iC i46410 3851A420 flaurn CUCr C111n6e 1037 13911121 - 13,911421 (<:,,nIP �+•. o.n• (ol,r ,,. n.J p>.Tnn and N LU-1 I,," Z11 (I./-L14u) - n 1011, 11716Ill 11l7467511 _ IG• IU,'+ I'll IHp6R6111 - (13.4686131 A `iolUonr Innm'a 1C15 l41 ^- , 11119:1) Nan m.-_.: o_roa lG]Ill—L 2010 1,nI60E2 11,7E5.342l 1,218046 111�il llenc 1G1 n)t-6" 1C39 40L3193 f4 V031931 Thal Z9uLL,671 1f28,57187S1 E70,141am Amorulatlon Bail, Year Balaueei UAL Rcturdl UAL flenlalnlnp ,. N.1 Sr]n ILL', I2i•.100.5491 (2..00S49) Ge.... C'. Z Ire 2000 1:00 C90 11.000001 - 11-1 1111 ,1— n . .1 p4 a I,�.. a I 11, IN--, aw9 11 "I9 11 (,i.11, Lr ) - IllIr.)A =,.. Join 11 '/45 aA)I - 111J45n6)1 A I,r G0m1R[` )Oii C;SS➢,LS (15.35S.AS1 - 5A (G dtt.. in" la 3CS9411 14,365942) 0 lrlGa11/''_1- 2012 9230'52 8,130-S21 - GZlIWLoas 1U11 7I,113]:L p1 ]4125C) Gm IWLoc [Ul1 14V.]0'.9llI (e,L- 14) 145,34U 472 A I _ _n. ,._ 1nU ` _bnA.14y f`a.1 P14n1 (. p.,.. ,.. Ln.. ra..n Il A ..r,.. �.,��_ Inl....6 175n...75 (in -,;A 7G) IGalIll I:t `DIE SI Mi1)4 L51 >ni3)41 _ A[:u,.notmn L 11 nae Ill 1311tl]Ill f13.11r, 11) IC,:. nlh— 2017 133 Gil 702,.. 133.6111021 r1.q A•., t L.1 nt, zm9 4Il.D.1149 (4V.I�J14e1 - 'In l.— )Jni 0.I I.i A.i61 - II'S16ASA) N cJC-.1J . MI 5115>,I05 (q,5,-n51 - 1 )n1M^' 2019 4GIL 39a 14. e1S1 (11 For every scenario generated by our propriety POB model, BofA also applies stochastic simulations to gain a deeper understanding of the potential performance of n structure, while also incorporating the impact of investment return volatility. The probability of success for the two financing scenarios above are presented in the table below — importantly, this model is able to help the City assess how changes in the CaIPERS discount rate would impact the performance metrics of a DOB (e.g., the City could test an "expected annual return" of 6.0% versus 7.0%). In an additional step to help our POB clients understand the risks/potential benefits associated with POBS, our model stress tests the POB structure given various investment returns following issuance. The table below shows the expected PV savings under four sample investment return assumptions — one of which is a negative 20% investment return "shock" in the first year following the POB issuanco. As summarizod below, ouch of Scenario 1 (50%) and Scenario 2 (90%) still would provide a PV benefit it in the event of that first year loss it there were 7"/o returns in subsequent years. To the extent the City would like to stress test or change investment return parameters, BofA would be able to quickly incorporate such feedback and generate tangible insights as we have done for the cities of Riverside, El Cajon, Gardena and Downey. BofA Stochastic Simulation Analysis and Stress Testing Expected Annual Return 7.04'. 7 0k Annual Volatility V U'.6 11 U Probability of Success (Simulation) fi5 fi091, AIS 10a1, Stress Testy PV Benefit % of Par PV Benefit % of Par Base: 7%Annual Returns 5122,17£,000 34.0% $210,431,000 32AIA TestL on%Yr•:x 1, 7%Annual Rrvturm I%i lj, 14,or1U 94K, SL1,40: i.0110 /R'$ Test 2. 6^A Annual Returns $73,G£O,OOO 21.916 313G,G35,000 21.1% Test 3:6% Annual Returns $44,£GG,000 12 537 $79,SOO,OOO 12.3%, Council 23 — 110 5/18/2021 Page 11 BofA SECURITIES �� Additional Considerations. • Fiscal Year 2020 UAL Amortization Bases - In July 2020, CAPERS reporLed an invesbnenL r'eLurn of 4.7%. This actuarial investment loss will be reflected as an additional UAL amortization base in the upcoming actuarial report. If the POB is issued after the release of the report, the City of Santa Ana may consider whether this hasp. serves as one of the repayment bases for its financing plan. • Future Reduction in Actuarial Discount Rate — CaIPERS Funding Risk Mitigation Policy allows for reductions in discount rates any year the actual investment return exceeds the discount rate by at least 2%. Should the current investment performance for fiscal year 2021 continue, it is possible we will see CaIPERS activate the discount rate reduction which will increase the plans' UAL. • "Fresh Start" Option on Unrefunded UAL —The City may want to consider exploring the option of discussing with CaIPERS a potential Fresh Start reamortization on the combined balance of the Unrefunded UALs. This could be useful in sculpting debt service and savings objectives in the short-term for the 90% UAL prepayment scenario. To illusLrale Lhe polenLial benefits and considerations of Lhis option, we provide an alternate 90% UAL funding scenario (Scenario 2 — Fresh Start) which provides an optimized structure under our assumptions and embeds a Fresh Start for the unrefunded Miscellaneous Plan UAL bases. Preliminary Credit Assessment. We suggest that the City obtain two credit ratings for a transaction larger than $350 million. There are several merits in pursuing two ratings, including: • Given the potentially large size of the financing (up to $600+ million depending on portion of UAL refinanced), two ratings will help broaden the City's investor base and attract certain investors that prefer (or are required by their bylaws) to purchase bonds with at least two ratings; • Our desk estimates that the current pricing advantage of having a pair of 'AA' category ratings as opposed to a sole 'AA' rating is approximately 10 basis points; and • Having two rating agency opinions will help investors validate the strong credit quality of the bonds, which may be particularly important in an uncertain market environment. Of the three rating agencies, we recommend that the City pursue ratings from S&P and Fitch. We do note that this could result in "split" ratings, as S&P consistently has rated California pension obligations at the same level as that issuer's GO or issuer credit rating ("ICR"), whereas Moody's and Fitch apply a notching differential between GO and POB ratings. Based on consultation with our underwriting desk, we believe that the City's bonds will be priced more favorably with two ratings, even if they are split, than with a single, higher rating, given the expected larger size of the proposed POes. • S&P: S&P's rating is most widely used among California POB issuers and is well -received by market participants. The City's ICR of 'AA' was recently affirmed in June 2020. We would expect S&P to affirm that rating once again in connection with this transaction. The rating discussion likely will center on (1) how the City has adapted to the budget impacts of the pandemic, with a focus on fund balances and reserves projected for fiscal year-end 2021, and (2) how POBs serve the City's strategy for managing its pension liabilities. We estimate a POB rating of 'AA' from S&P as this would reflect no notching differential from the 'AA' ICR rating. We note that the City was in a strong financial position at the outset of the pandemic, and despite the budgeted use of reserves during fiscal 2021, expected to retain a healthy available Doperating fund balance at the close of the fiscal year. • Fitch: Although there is not an internal scorecard tool for Fitch, they traditionally evaluate GO credits in -line with S&P. However, we expect a one notch rating differential between their GO rating and POB rating. As such, we expect a Fitch issuer default rating ("IDR") of'AA% which would translate to a FOB rating of'AA '. Although the rating agencies have adopted a generally neutral view of funding pensions with bond proceeds, we believe that a well -structured financing can be credit -positive, helping the City to moderate the impact of pension contributions on its budget without creating or exacerbating out -year financial challenges. Rating agencies have come to view dehr and pensions (especially for CilPFRS participants) as near -equivalent liabilities and as non -discretionary, fixed -cost payments. In fact, although bonded debt ratios will increase through the issuance of POBs, these will be offset by reductions in both overall fixed costs and CaIPERS pension liabilities. Council 23 — 111 5/18/2021 Page 12 BafA SECURITIES ��'. Recent California POB ratings support the view that a restructuring would not trigger adverse rating agency reactions. S&P has rated nearly all of the POBS issued by California municipalities over the past two years. Of the more than 25 POBs rated by 5&P from the start none of the municipalities incurred a rating downgrade in conjunction with their POB issuance. We also would observe that moderating the near -to -mid-term total UAL -associated payments (including POB debt service) is prudent, given CalPERS' transition to a more front -loaded, level -dollar amortization of the incremental UAL that may arise over time. A payment curve restructured with POBs provides more headroom to accommodate potential contribution increases, while mitigating budget stress that would have occurred under the original payment schedule. As previously discussed, the BofA team has extensive experience modeling pension risk and is fully prepared to assist the City as it navigates this process. Preliminary Interest Rate Scale. The following table includes the requested interest rate scale assuming market conditions as of March 9, 2021 and two ratings in the 'AA' category. We present spreads to Treasuries assuming a 10-year optional par call and a make whole call. As previously mentioned, we expect index eligibility to be worth up to an additional 10 basis points for a 2044 term band sized to at least $300 million. I o help support our preliminary spreads, we include the pricing results for the City of Orange's POBs that sold on March 3, 2021. 2022 2Y 0. 170%, 0.42% 25 0.42% 25 2022 2Y 0.130% 0.291%, 16 2023 3Y 03501Y 0.ub'Yn 30 U.6S96 30 2023 2Y 01301A 0 391% 2(, 2024 SY 0 830% 11844 35 118% 35 2024 3Y 0260% 0587% 33 202S SY 0.830%K 1.13% 30 1.1336 30 2025 SY 0.670-A 0.914% 30 2026 7Y 1.23U% 1.73% 50 1.7356 50 202b 5Y 067096 1 )94% 55 2027 7Y 1230% 1.68% 45 1.68% 45 2027 7Y 1.0800A 1.SH Pffi 51 2029 10Y 1550'S6 2.20'% Ei5 2.20% ES 202H 7Y 1 090% 1787% 71 909 1UY 1.550% 9,15% 60 9.15% C+U 2029 1uY 1.490% 2070% 65 2030 MY 1_v056 22b"/n 10 2.2b% /0 2030 10Y 1420`A 2.22UY6 HU 2U31 l0Y 15su% 235% 80 235% 80 2031 l0Y 1420% 2.270% 8s 2032 My 1.55086 2.4S% 90 2.4S% 90 2032 l0Y 1.4200A 2.450% 102 2033 10Y 1.550% 2.55% 100 2.50% 95 2033 10Y 1.420'16 2.550% 113 2034 10Y 1.550% 2.65% 110 2.55% 100 2034 10Y 1.4200/6 2650% 123 2035 10Y 1550'}6 2.75y 120 2.65%, 110 2035 1oY 1420% 2750% 133 2036 10Y 1.65u% 2.85% 130 2.7096 115 2036 10Y 1.420% 2.820% 140 2040' 30Y 2 210% 3 015% 80 2U44 3UY 226u% 3.161% 90 3.U6% 80 2u44' 30Y 221u% 3.11s% 9u ' H2arese"s term 00"d ' Hep,esents tern, bond Private Placement Option. As discussed above, depending upon how quickly the City can come to market, we believe a short-term note through a bank direct purchase to pre -pay the City's FY 2022 UAL may be appropriate and help increase savings for the City. BANA has purchased short-term notes to prepay UALS for the City of San Jose, Oakland and Los Angeles. With respect to long-term financings, banks typically prefer transactions that have shorter tenors (less than 15 years) and are moderately sized. Multiple Underwriter Engagement. Pleaser reference our responses under Section 3. Question viii and Section 4. Pension Obligation Bond Experience which details our experience serving as book -running senior manager on large, high profile transactions with numerous syndicate members. Pro viae an esrimore of your total, nor to exceed, u'rderwrir/ng costs associated mrh se, ving as senior manager to the City on a not -to -exceed approximately i671 milfinn inur of fixnd rnrr PON Proposed Gross Spread. Serving as senior managing underwriter is a high priority for BotA. Our proposed tees and expenses are detailed in the following table based on an estimated $671 million financing. We propose an average takedown of $1.7S per bond across all maturities and estimate the all -in gross spread, including expenses, to be approximately $1.89 per bond. We are not proposing any management fee for our services. Council 23 - 112 5/18/2021 Page 13 BafA SECURITIES �� Average takedown $1./50 $1,1/4,2S0.00 Uride rwriter'sCounsel $o.03/ $25,00&00 Management Fee - - i-Deal Fxpenses ' n.100 67,178.9? Expenses 0.141 94,573.92 Out of Pocket' n.anl 500.00 Total Gross Spread $1.891 $1,268,828.92 DTC Service Fees 0.001 800.00 tuR«"....,n�•nn,�"nr�p;tc., n,Jl;nn. CUSIP Charge 0.002 1,100.00 r,lA,,.,n,r,vy„.icare,.,e,nacrs,-;nn�e�,u,eti-oar,rc.�,,,rr,�yr,.arr,..�,�;r�r. Total Expenses $0.141 $94,578.92 (lf W2 w'aoid eq„25( 2XUciL'2 /2i.Pb0/92rP2rR for /O(Ipn Ogcne, Urc9cOIGlIOr,, v„cvn. mccrinpc aria/n. prlana nr rnrnr�ona ninon rnnn i., .nc try. Underwriters Counsel. BoIA would recommend the individuals listed to the right. Each carries decades' Kevin Hale Craig Scully Arta Becker Orrick Herrington & Sutcliffe Katten Muchin Rosenman Hawkins Delafield & Wood (21a)612-23S6 (212)940-RSS7 (213)236-9070 khale@orrick.com craig.scully@katten.com abecker@hawl<ins.mm worth of public finance experience and has a strong working relationship with our proposed banking team having served as underwriters' counsel on prevlous taxable POB sales that we have senior managed. Please reference Appendix G for executed copies of the requested certificates. ConbpCtnr shall pro✓iap. thrff (3; rPfPrfnrPs from pOhhc agency Customersfor wh,ch ochlor,ol wol'A slmllat to sPMCes specified In this RFf hoVE been performed, including contact names and tefephone numbers, and types of services your firm has powided. Use Attachrnent A—Refereices. Below are Lhree additional references for which our Learn has senior inanaged taxable California financings. inn i1r,,j. Nikolai Sklaroff .,, ps:,,f Lakshmi Kommi Clay Schoen Depu Ly DebL Director Debt Director Director of Finance (408) 535-7832 (619) 236-6928 (619) 441-1668 nikolai.sklaroffCcc3sanjoseco.gov Ikommi@sandiego.gov cschoen@cityofcicajon.us S355.620 million $60.745 million $147.210 million Lease Revenue Bonds, Lease Revenue Bonds, Pension Obligatinn Bonds, Series 2020A (Taxable) Series 2020A (Taxable) Series 2021A (Taxable) Primary: Holly Vocal Primary: Jeffrey Bower Primary: Jeffrey Bower Secondary: Jeffrey Bower Secondary: Holly Vocal Secondary: Geoffrey Sauces Propuxv mtly bu ruque5fcd fn subrnlf ifn rnosf rCCCrli audit cd jfnan chit 51 at crricn t, cvldcnthly PruPo5cl'5 jlnundul,opacity to fully perjoan (bu rvgUlrud SBNICPS, nnItchng pro"sron of ecfarpmeltt and pp"oon Pl PXpPnsPs over a NnPty (9O) dciy pPr'lod. Bank of America's audited financial statements may be found at: htto://investor.bnnkofomerica.corn/ The selected Propnter shall provide the repaired evidence of insurance cnvPlGge os set forth in the stonaora ocireement within ten (tit) business days afrer receipt of Notice of latent foAwwd Conlracfar must rnainmin, for the duroffoo of ifs contract, insurance covenrgcs os required by tine Cdy_ We have provided evidence of sufficient insurance coverage under Appendix D. Vill. Proposer Questionnaire Within the post 3G monrhs, hot your firm c9d/or any of its principals been the subject of any inveingotion reioring to the munic,pol.secevities industry by the SF(. rINRA, NYiF, Or any Other $rare Or federal Organva[Ipn that rivet tees, regplate5. license$ nr r£ otherwise re;onnphle for the rnpmUpol SPcI✓qte; lnduary' Please reference our response to Question 3 xiii above. Nithin the poir.36 monrhs, hriv ynur fires and/nr cmy Ojai print sprits been involver) "I Amy lalgotino, urholemon, diteiplinary nr nther,,t,nns nrisiny from the ffrrn's Lit?th-mritmg, management or fit, rrtit) tit, of rnunidp(1l scniritit s ' Please reference our response to Question 3 xiii above. Does there exist any nelartonship between poor firm and any other non-affiliated fi,Ws) or individuals involving anv carnpensnrian nrron9emeat that may III (111OL ICII with yuur Pwtiblr rrlguacment to I with dlc Cily't Nruputcd debt issue' Please reference our response to Question 3 ix above. ity Council Page 1423 — 113 5/18/2021 g li SECURITIES r� BofA Senior and Co -Managed California POB Experience Council 23 — 114 5l18120�1: BofA SECURITIES ':r' .0 c LL 0 O a 0 d Q 0 m a a a a c c c c a a a a c L L L L a N c c c c m N zrzr �r! z m v m m m a a a a m m a o o. o o m U U U UN CJ m U m � a as a l•J N a Ol N N N N N T T T T m o0 00 on on c on on on on m m m m m '. m m 'd L .0 .0 ?9 09. ?9 a a a a m -[ U ry� rl Q rl Q lf1 rl rl d N N N N N N N O � N ✓� ✓� N v .� in � a in °' N in in o O in in in in in in in �n ,� ✓, � in � N a C n a O O -c G m -O O O ma c c c c c O 61 O v a m m� 0 o m 3 0 0 o 0 0 O o iII m m a 0 .- O Z _ _ a on on '.c c on m m m m .10 � � 0 - 0 � p 0 E -o W N d 0 0 0 0 0 m 0 O'.0 0 0 O> X(D O c 0 o 0 0 O 0'. O O O W � ✓) Jr,N N L s co R c_ O L L [ID C fp OG G 0 �_ T .0 C_ C O `N 2 0= u " L u LL O E 0. O O— O _ mu em T uU U t o"i °' E 3 v o d R m m 3 °' T Fo O Y l ¢ LL C7 l7 w p fQ J Y M m O O O O� N R N O/ N I I u N. O R m b d n rn n n m d N n iD d n m d d K P M M Q Q u� u� u� n m pi P P P O O ti ti ti r4 r4 rl r. rl rl rl rl r4 r4 r4 N N N N N N N N r N U rl U U U N rl M rl N U N rl rl n rl rl rl O Cq n P n N c-I V m� N M tD tD Q� Q� r4 r4 N N H C L a w O " N N v `w n ai ai m m o ry o m N �O n N N M J1 n P P P P r4 r4 c4 r4 r4 N N N N O O O O O O O O O N N N N N N N N N O N N O O N N ✓1 n N rl U N N U N U N Q1 N lD r4 N N Q N O'J JA � }} \ \co LO(A (( q co _ f �) \ \) \ \� \\ /B j( § E: C %Z �- \\ tj 0 .\ Resumes Council 23 — 117 5l181202,) RofA SECURITIES -- Holly Vocal Rolc. Primary Contact Managing Director Exoerience: Ms. Vocal has 17 years of experience in public finance and 555 California Street, Suite specializes in state and local government bond issuers. Ms Vocal has 1160 been the principal banker over 150 financings totaling over $12 billion in San Francisco, CA 94104 par. She works on all aspects of project generation and public finance (41S) 913-2327 including capital planning, bond structuring and credit analysis. Ms. Vocal holly.vocal@bofa.com has specialized knowledge in developing comprehensive financing plans to address the needs of issuers, culminating with the structuring and issuance of bonds. Ms. Vocal has worked with large California issuers such as the State of California itself as well as California local agency clients. Recently, Ms Vocal served as lead or co -lead banker on pension financings for the cities of Azusa and Downey. Background: B.A. — University of California, Berkeley Jeff Bower Role: Secondary Contact Managing Director Lxoerience: Mr. Bower rejoined BofA in mid-2UU8 from 333 S. Hope Street, Suite UBS/PaineWebber where he had worked for the prior 11 years. During 3820 his public finance career he has senior managed over $35 billion for Los Angeles, CA 90071 issuers in California, Hawaii, Arizona, Nevada and Washington. Mr. Bower (213) 34S-95BD has extensive California taxable, tax-exempt and pension obligation bond jeffrey.bower@bofa.com financing experience with issuers including the counties of Los Angeles, Riverside, Sacramento, Sari Bernardino and Sari Diego, as well as the titles of Anaheim, Los Angeles, Fresno, Long Beach, Manhattan Beach and San Jose. Background: B.A. — Dartmouth College; M.B.A. — University of California, Los Angeles Jorge Rodriguez Role: Pension Specialist Mnnnging Director Fxperience: Dr. Rodriguez has over 17 years of experienre in public finance One Bryant Park, 12th and seWrilizalion. He leads BofA's Municipal Banking and Markers Floor quantitative efforts in the areas of pension funding, pension benefit modeling, New York, NY 1UO3b unemployment insurance financing, tobaCCo securilizalions and cash flow risk (646) 743 1362 management. In the past year, Dr. Rodriguez has been involved in the j.rodriguez(albofa.com structuring of over $1 billion in pension obligation bonds. Recently, Dr. Rodriguez has served as lead banker for the Government of Puerto Rico's liability management transactions under Title III and Title VI of PROMESA. Dr. Rodriguez managed the first Title III Plan of Adjustment exchange for the Puerto Rico Sales Tax Financing Corporation (COFINA) creating the analytical tools necessary to successfully exchange $17.6 billion of outstanding bonds into the new $12 billion CorINA securitization structure and execute one of the most complex municipal transactions in history involving over 7,000 investors, including retail, traditional municipal, hedge funds and monoline insurance providers. Background: Ph.D. — MIT Sloan School of Management; B.S. — Massachusetts Institute of Technology Council 23 - 118 5/18/202,) BafA SECURITIES '" Credit Strategies Brad Gewehr Role: Credit Strategist & Investor Relations Senior Vice President Experience: Mr. Gewehr provides municipal credit expertise to our West One Bryant Park, 12"' Floor Coast clients. Prior to joining BofA, he was with UBS where he was the New York, NY 10036 head of their municipal credit strategies group. He has over 34 year of (646) 743-1336 experience in public finance and has assisted numerous municipal issuers bradley.gewehr@bofa.com on credit analyses and strategies. Importantly, Mr. Gewehr spent many years at Moody's as a Managing Director where he supervised a staff of analysts responsible for assigning and maintaining ratings on municipal tax -backed, utility revenue, and lease credits in 26 states. Background: B.A. —Amherst College; M.B.A. — New York University Banking Support Geoffrey Sauers Role: Senior Execution Banker Vice President Related Experience: Mr. Sauers has 8 years of public finance experience 333 S. Hope Street, Suite and joined BofA in April 2011. Since joining BofA, Mr. Saucrs has assisted 3220 on a variety of debt financings such as general obligation bonds, revenue Los Angeles, CA 90071 bonds, and CUP/LRB transactions. Mr. Sauers has lead analytical and (213) 34S-9S81 execution support for numerous local government financings including the geoffrey.sauers@bofa.com City and County of Los Angeles, City and County of Honolulu, City of Azusa, City of Huntington Beach and Missoula County. Background: B.A. — University of Southern California Katy Liu Role: Support Banker Associate Lxpericnce Ms. Liu joined BofA's Western Region group in the summer 333 S. Hope Street, Suite of 2016 upon university graduation, after having served as a summer 3820 intern in 2015. Ms. Liu's public finance experience includes recent Los Angeles, CA 90071 transactions for Bay Area Toll Authority, Bay Area Rapid Transit District, (213) 345-9S83 the Department of Water and Power of the City and County of Los I<aly.liu@bora.com Angeles, among other West Coast financings. Background: B.S. — University of Southern California Underwriting Catherine Crews Role: Lead Underwriter Manaqinq Director Experience: Ms. Crews Buell is a member of the underwriting desk and has One Bryant Park, 9"' Floor approximately 16 years of experience in in the municipal business. She has New York, NY 10036 underwritten over $50 billion in senior managed deals covering a wide 212 449 5081 range of credit types and structures. Prior to joining the underwriting desk catherine.crews@bofa.com in 200S, Ms. Crews Buell was a financial analyst in the Health Care and Higher Education Group, where she provided quantitative and analytical analysis. Background: B.A. - Bucknell University Brendan Troy Role: Co -Lead Underwriter Managing Director Experience: Mr. Troy has 22 years of experience in the underwriting of One Bryant Park, 9"' Floor both fixed rate and variable rate securities, and he is Currently one of Council 23 - 119 5/18/202,) BofA SECURITIES ',m New York, NY 10036 BofA's lead fixed rate underwriters. His underwriting experience includes 212-449-SO81 financings for numerous municipal issuers throughout the country. Mr. brendan.troy@bofa.com Troy has an extensive portfolio of appropriation -backed underwritings including Cupertino Unified School District, the State Public Works Board of the State of California, the State of Hawaii, the State of Connecticut, among others. Education: B.A. - Vanderbilt University, M.B.A. - New York University Council 23 — 120 5l18/20�1.,, BafA SECURITIES %;;I Conflicts of Interest and Litigation Disclosures Council 23 — 121 5l181202,) RofA SECURITIES -- Conflicts of Interest. Bank of America Corporation and/or its affiliates ("BAC Group") comprise a full service securities firm and commercial bank engaged in securities, commodities and derivatives trading, foreign exchange and other brokerage activities, and principal investing as well as providing investment, corporate and private banking, asset and investment management, financing and strategic advisory services and other commercial services and products to a wide range of corporations, governments, and individuals domestically and offshore, from which conflicting interests or duties, or a perception thereof, may arise. In the ordinary course of these activities, parts of the BAC Group at any time may invest on a principal basis or manage funds that invest, make or hold long or short positions, financial positions or trade or otherwise effect transactions, for their own accounts or the accounts of customers, in securities or financial instruments (including derivatives, bank loans or other obligations) of the City ar any other party that may be involved in the transaction. The BAC Group may be involved in providing financial services in the ordinary course of its business to the City and certain of these financial services may be as part of or related to this transaction (for example, Bank of Arnerica, N.A. may be engaged to provide a credit or liquidity facility, or an Interest rate risk management solution). Litigation and Regulatory Inquires. On May 11, 2019, BofA Securities, Inc. ("BofA Securities") agreed with Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S") to assume the assets and liabilities of the Global Banking and Markets business previously conducted by MLPF&S, includingthe regulatory and legal matters below. In the ordinary course of business, BofA Securities is subject to regulatory examinations, information gathering requests, inquiries, and investigations ("Regulatory Inquiries") by various federal or state securities regulatory agencies and attorneys general, other local, state, and federal agencies, law enforcement, and self -regulatory organizations (collectively, "Regulators"), and is on occasion a defendant in or party to pending threatened legal actions and proceedings. In connection with formal and informal Regulatory Inquiries, BofA Securities receives numerous requests, subpoenas and orders for documents, testimony and information in connection with various aspects of their regulated activities, and In some cases regulatory action has been taken against BofA Securities. BofA Securities believes that it has cooperated fully with the Regulators in all such inquiries to date and intends to continue to cooperate fully with the Regulators in all such inquiries involving BofA Securities in the future. Bank of Arnerica Corporation (the "Corporation"), BofA Securities' ultimate parent, makes all required disclosures in its Annual Reports on Form 10-K and Quarterly Reports on Form 10-0, which are updated in Reports on Form 8-K, all of which are filed with the U.S. Securities and Exchange Commission ("SEC") ("Regulatory Filings"). BofA Securities makes all required disclosures in its Form BD and ADV filings ("Form BD and ADV Filings') with the Findncial Industry Regulatory Aulhorily ("FINRA"). Thuse Regulalury Filings and Form RD and ADV Filings include disclosures of Regulatory Inquiries as required by federal law and applicable regulations. The Regulatory Filings are publicly available on the SEC's website at www.sec.gov. The Form BD Filings are publicly available on the FINRA BrokerCheck system at hllp://brokercheck.finra.org/. The Form ADV filings are publicly available on the SEC's Invesi,menl Adviser Search website at: httn//www.adviserinfo.sec.Fov/IAPD/default.asox The Corporation cannot confirm or deny the existence of any other, non-public Regulatory Inquiry conducted by any Regulator unless required to do so by law. Note the following public matters involving BofA Securities' public finance business over the past five (5) years' Municipalities Continuing Disclosure Cooperation Initiative. On June 18, 2015, MLPF&S entered into a settlement with the SEC in connection with the SEC's Municipalities Continuing Disclosure Cooperation ("MCDC") Initiative pursuantto an orderand standardized settlement terms. MLPF&S, alongwith 71 other municipal underwriting firms, which did not admit or deny the findings, agreed to (1) cease and desist from Council 23 - 122 5/18/2RL, BofA SECURITIES ',m" committing or causing any violations and any future violations of Section 17(a)(2) of the Securities Act of 1933, (it) pay a $500,000 civil penalty, (iii) retain an independent consultant to review its policies and procedures on due diligence for municipal securities underwriting and (iv) comply with certain undertakings in connection with the retention of such consultant. Municipal Bond Underwriting False Claims Act Lawsuits. Since January 2016, the Corporation has been served, along with a number of other banks, with lawsuits brought by Roger Hayes and Talbot Heppenstall (the "Relator,') in Illinois, California, New Jersey and New York under those state's respective False Claims Acts. In each case, the Relators allege that the defendants talsely represented to state and municipal officials that they would obtain the lowest yields/highest prices for new negotiated municipal bond offerings in order to secure underwriting engagements for those offerings. The Illinois lawsuit was dismissed by the trial court without prejudice in September 2017. The California lawsuit was dismissed by the trial court with prejudice in March 2019. I he New Jersey lawsuit was dismissed by the trial court without prejudice in early May 2019. The Relators voluntarily discontinued the New York lawsuit in June 2019. To date, the Attorney Generals of each of the states have declined to join in the lawsuits. VRDO False Claims Act Lawsuits. Since November 2017, the Corporation has been served, along with a number of other banks, with lawsuits brought by Edelweiss Fund, LLC ("Edelweiss") in Illinois, California, Massachusetts and New York under those state's respective False Claims Acts. In February 2019, the Massachusetts state court permitted the substitution of Bjorn Johan Rosenberg for Edelweiss as the relator in the case. In each case, Edelweiss and Rosenberg purport to assert claims that the defendants engaged in a coordinated "robo-setting" scheme under which they allegedly set the rates for Variable Rate Demand Obligations ("VRDOs") mechanically in order to keep the rates artificially high and thereby reduce the chances of having to remarket the bonds. The Massachusetts lawsuit was dismissed by the trial court in July 2019. 1 o date, the Attorney Generals of each of these states have declined to join in the lawsuits. VRDO Antitrust Actions. On February 20, 2019, the City of Philadelphia filed a putative antitrust class action complaint in the U.S. District Court for the Southern District of New York alleging that several of the Corporation's affiliates and affiliates of six other large banks, acting in their capacity as remarketing agents for VRDOs, conspired between 2008 and 2016 to artificially inflate interest rates on VRDOs to the detriment of their municipal issuer customers. The complaint asserts causes of action (1) under Section 1 of the Sherman Antitrust Act and Sections 4 and 16 of the Clayton Antitrust Act, (ii) for breach of contract, and (iii) for unjust enrichment. On March 25, 2019, the Mayor and City Council of Baltimore, Maryland filed a similar class action antitrust complaint in the U.S. District Court for the Southern District of New York against several Bank of America affiliates and affiliates of other banks. The trial judge has ordered the cases to be consolidated. Puerto Rico Lawsuits. On May 2, 2019, the Financial Oversight and Management Board for Puerto Rico ("FOMB"), as a representative of the Commonwealth and other debtor entities in the Puerto Rico bankruptcy, filed an adversary complaint in U.S. District Court for the District of Puerto Rico against Bank of America and numerous other financial institutions that served as underwriters on 17 bond issuances by the Commonwealth of Puerto Rico and its instrumentalities in the years leading up to the bankruptcy. The FOMB asserts claims against the underwriters for: (i) aiding and abetting, breaches of fiduciary duty on the theory that the bonds deepened the Commonwealth's insolvency and violated Puerto Rico's constitutional debt limits, (ii) rescission of transfer under Puerto Rico and Federal Ranlcruptcy laws on the theory that the underwriters received fees in connection with the bonds without delivering any value to the Commonwealth because the honds only increased the Commonwealth's insolvency, (iii) unjust enrichment based on the fees Lhe underwriters received in connection with Lhe bonds, dnd (iv) breach of the underwriting agreements by insufficiently disclosing in the offering documents the compensation the underwriters received and potential conflicts of interest. The complaint also alleges that certain underwriters entered into inTrrect rate swap agreements with the Commonwealth and asserts rlairns Council 23 - 123 BofA SECURITIES ':?" related to those swap agreements for (i) aiding and abetting breaches of fiduciary duty on the theory that the swap counterparties encouraged the Commonwealth to pass legislation allowing the swaps and then encouraged the Commonwealth to enter into the swaps in connection with bonds they underwrote, and (ii) unjust enrichment based on termination fees the swap counterparties received. In addition, MBIA Insurance Corporation and National Public Finance Guarantee Corporation have brought lawsuits in a local court in Puerto Rico against Merrill Lynch and certain affiliates and 8 other underwriters for one or more. bonds issued from 2001 to 2007 by the Commonwealth of Puerto Rico and its agencies. The plaintiffs allege that they were induced to insure the bonds based upon defendants assurances that they had reasonably investigated the statements in the Official Statements and that the underwriters had a reasonable basis for believing that the statements were true and complete. The complaint is based on 2 equitable doctrines of Puerto Rican law: Doctrina de Actas Propious (i.e., "doctrine of own acts," which protects a third party who relies in good faith on the veracity of manifestations or actions of another); and Unilateral Declaration of Will (i.e., the creation of an obligation through a unilateral act in the form of a concrete promise on which others are intended to rely). BotA Securities' registered otticers and employees make required disclosures in their Form U-4, which are filed with FIN RA pursuant to a directive from the SEC. These Form U-4 filings are publicly available on the FINRA BrokerCheck system at httoi//brokercheck.finra.org. Council 23 — 124 5/18/2RJ.11 & BofA SECURITIES �r'' Certificate of Liability Insurance Council 23 — 125 5l181202,) RofA SECURITIES -- ............................................. CERTIFICATE OF LIABILITY INSURANCE Ilao.aso THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY Oft NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT TSETWEEN THE ISSUING INSURER(S),. AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER_ IMPORTANT: N the eer Gfiwle holder is an ADDTPONAL INSURED, Rre Wlicy(iesy must IIAVe ADDIT§ONAL INSURED µrovisions a.r Ise eredurxd. If SURROGATION IS WAIVED, aDhjmct M the termr, and conditions of tt policy, ceroain poli." may rmquYm an cndmrrommm. A cla4ement on INe, ixahfivaVe tloeB not eoreter ru Nix w the urNfec,,W hrNder In Ire. oP ,.eh endmexnaelrt(x� IIARSn LEA INC M------------------ ..---I-rl---------------- IuttAVl`-NJELMTIrvEAMEh,CA5 ii xa NPNYORALNY vWc CmrprS]ReA4BOA-EG2G2t n.IIUAfP EN.1O:S AM[PoNCOMP'�: ATrOtt ?AAL' Y E N h-L SuB641'AR�ES rM0-C:9E NCLLICE ST1 C MOICIM .NC 26Y+STItt2T CxKPbiYLE. NC 2d255 P(1VFRA( PR rPPTIFIPATF MIrMAPP AIl-0Sy5gd%]Ct RFVIRIrjw NIIMFFR- M THIS u5 Pi CERTIFY THAT THE POLICOE5 Cf Mu RANCE LILTED BELOVI HAVE BEEN 45Z,)E0 Pi THE INLMRED PaA r ABOVE KA THE POLICY PERGD ND+CATFO, WOT ITi TA DlNr,, ANY RFO.MRFMENT. TFRM OR CONlk.TCn" OF ANY COMRMT OR pTHFR DGCVMFNT MTH RFSPFC,T TO WI TH,s CERTIF CATS MAY 2E ISSUED OR INKY PEPTAkN, THE INSURANCE AFFORDED Bi THE POI DESCR,2ED HEREIN IS Sv2_ECT TO ALL THE TERMS, EXCLUwNSANDCGNDITPONSOF, CMPG_IC'ES JMITSSHOWN MAY HAVE BEEN RED,CEDEY PArDC.A.Ir, - � TeYE U: xaaNwrvCE �m _ ...........P.MIS!.%9.MkB?............ ¢. mec P v 10.1 tRR.CSY Y..I Pm �c. <e �Y C IMB.,4.1!v_.Y:!3 Lmnsra .......................................................... R¢.Pa A IL 3Y ENT OC(:trRRCNCt' a ..mQR¢mATF emnr A=po¢pvn- .*rPCL+GT❑scr ucwma.u,...:am.rcm ❑Lm< �coucra-wuPm±=ACE s OTC=fl oeeoCm.CLuu�Cuiv Ci� G �G9 Ifl4aAn A.tTT.AAAt -11 O ........ ............................... a Uvn.ep SCncGCLEG nuT09 Cab' nUTOS ¢06 YPor aeryemr, TI�-w A✓.00 :w_Y �CI-1 S UMEREL>_la6 OLaVw e+pM,.::oopxpq nitiac'rNc S Exk:Eaa Lutl [{A�¢l^n4.M.E DEC RE EaTIL.S S AND ¢anrcamae cAmlum YIN lLp iA.L 11, x¢I A ¢Mp53fA}f Lid9dryr¢ OVA:hafi.Ii Ofi:.V.v1M6 Ofi9ClU1a Umt 2G,ddh,0.0 EIm:S!YM.SwM. a Lmewnoaaermw.eeee µLmwO rm, Aaa.minmc wnm.ene eemeuuq mer ea nnnenw lemwu veem ee we�+eal EinDDIUE ,} CUVERA9E S 10UL0 ANY OF ThE ABOaE D£SC ANBED POLICIES BE CAN CELLE D BE FOR AN4 PNC AND ALL 9O• OIASE5 THE ExPlRnieON DATE THEREOF, NOTICE WILL BE DEUVEREO IN NA, CSA ACCORDANCE W4TM TIfE POLICY PROVISIONS_ rnCI, r.CRin r0:E5YREET RR4rtrlF. rvC(. 29255 A.JI 0 O REPR'cSENTATIY£ ¢d MIAmoBn Scmlc. HAdv ROdDndm S 1989-2016 ACORD CORPORATION. All ri2h1, roxrved. ACORD 25 (20lGfD3) The ACORO name and I.,o arc registered mark, of ACORD City Council 23 — 126 5/18/2021 AGENCY CUSTOMER ID'. CNy)i9�W-4 LOC#'. Chl'GOR2 --i ADDITIONAL REMARKS SCHEDULE Page 2 of nfiEMCv p'.aM£O NE�REO nMF5Y111fl1A INC eRNM OFPIn¢PICA CDRGCfipTopw M'T, hMl M1MD N.L ExL"JGliPoEfi MAIL 09CC YLEAC91 �cYHUMneM a5u MGR1T CI CrALE9� it'REET CtUALOTiF M^ as^i> PIER. nmC CODE EFSECfIY£ Dn]E: THIS AOMIONA4. REMARKS FORAA IS A SCNFDULF. TO AGGRO FORM, FORM NUMBERS 2 5 FORMTITLE- E nACmBsnrr:C � .. o. q vM10 •:n.m.a w•t�em N r.[ aie Jerc ��.v Cc 5.0 D}lJCRL Crfu�er�Tvfc 6.r .W InAi1J.�5ir iT'cW G��e�wAy.,aYavN.M1ps la F�Cix��ol Trc1 Ir,.olnyi[ 3n�W�g Fd��a.wp. The ACORO name and uogo are registered masks of ACORO City Council 23 — 127 5/18/2021 Incumbency Certificate Council 23 — 128 5l181202,) RofA SECURITIES -- BofA SECURITIES, INC— CERTIFICATE OF ASSISTANT SECRETARY RELATING TO INCUMBENCY AND CORPORATE RESOLUTIONS I, Colleen 0. Johnson, an Assistant Secretary of BuIA Securities, lne., a Delaware corporation (tho; "Cui poratiun"), du hereby ccitity that: 1. 1 all);] duly appoi riled, qualified and acting Assistant Secretary of the Corporal ion. 2. Attached hereto as Exhibit A is a true and correct copy of Resolutions Relalit7g lu 01Iieers, adopted by the Boarcl of Directors of the Corporation on Sepicinber 1, 2015 relating to (i) O$icer Titles and Roles Defined by Regulation, (ii) Officer Authority. and (iii) Dual Officers (the "Resolutions"), all to the extent set forth therein, and that such Resolutions are in frill force and ellect and have not been amended or rescinded as of the date hereof' 3. The individual listed below has been duly appointed and qualified to the office indicated below and currently holds such office: Namc Titic Holly Vocal Managing Director IN WITNESS WHERE017, 1 have hereupon set my hand and affixed dre scat of the Corporation this 5"' day of March, 2021. O Colleen 0. John: on Assistant Secretary City Council 23 — 129 5/18/2021 EX7iiBiT A RESOLUTIONS OF THE BOARD OF DIRECTORS OF BofA SECURITIES, INC. (the "Corporation") septctnbcr 1, 2015 OFFICER111'LES AND ROLES DEFINED BY RLGLILA'1ION 1ESOLVED, that except for such titles as have been or hercallcr are approved by the Director(s) or the Chief Executive Officer ("CEO") from time to tine, the organizational titles used within the Corporation shall be those titles authorized by the Peronnel Group of Bank of America CurpOratipn (the "Pcr'$pnllCl QrOAp") and the PCI'sonnel (POup is hc'Chy authorized TO ud<c such action on behalf of the Colpuralion as is neces:n-y to asyinm such IitIC8 to any officer of the Corporation whose records do not reflect any such title, which may be determined by the Personnel Group in consultation with the Secretary of the Corporation; and it is FURTHER RESOLVED, ilia( in addition to are Dirccior(s) and the CEO of the Curpuratiun, the Chief Operations 011icer, the Chiel- Financial 0llicer, the Chief Compliance Oflicer(s), and the Chef Lcgal Officer shall have the authority to appoint officers with any of the tides authorized by the Personnel Group or to change the titles then held by existing officer; of the Coriioratimt; and it is FURTHEI? RFSOLV ED, that any Stockbolder of the corporation, the Director(s) and ill,-, CEO of the Corporation shall be deemed Control Persons (as such term applies to Fr» nt BD tiled pursuant to Rule ISbI-1 of the Securities Exchange Act of 1934, as amended) of the Corhoratinn; and it is FURTHER RESOLVED, that the "principal executive officers' of Tire Corporation, pursuant to New York Stock Exchange ("NYSE") Rule 31 l(b)(5) ("Rule 31 1(b)(5)"), shall be deemed to he the CL0 , the Chief Opeatioss Officer, the Cltief Financial Officer, and the Chief (.UrrIp11H1lCC 011)ccr(s) (;IN li nUn-tinpervimm- except :15 explicitly specified by the Du-ectUr(])) antl any other officer that shall be appointed by the Dircetor(s) to exercise savior principal exectaivc responsibility over such respective area of the Corporation's business as shall be specified by the Direcror(s) in connection with any such appointment_ OFFICER AUTHORITY RESOLVED, that any officer of the Corporation holding the title of CEO, Managing, Director, or Senior Vice President shall have authority on behalf Ot The Corporltion to approve, execute, acknuwledge, aucsl, file, deliver and accept any and all insu-umana ur documents relating to the business or activities of the Corporation which he or she deems in good faith to be necessary or desirable in connection with the conduct of any and all activities in which the Corporation may be lawfully engaged, including, but not limited to, all agreements, indentures, minrtgagcs, deeds. Conveyances, transfers, crmtracrs, chocks, nintcs, chart,, loan dircumcus, lcttc'S ur credit, guarrnlees, ma5l er agreements, swap agreements, security and pledge agreements, guarantees of signatures, ccrtiftcalcs, dcclaralions, receipts, discliargcs, releases, satisfactions, settlements, petitions, schedules, aceounS, affidavits, bonds, Undertakings, powers of attorney, and other instruments or documents; and it is City Council 23 — 130 5/18/2021 FURTHER RESOLVED, that the authority granted in the invucdiately prcccding resolution includes, without limitation, the authority to approve, enter into and perform all lraiisaCnnII, alld colltraCt] 1-Clatlllll tO IhC pLlrCha5111g, 111 ULIWlltlll„ duahlig alld tradilig or lnvctiting in, or othcrwlsll acquiring (1nClllding purchasing, on lllargin and borrowing ftauk tluaugh or from Atfiliates or third parties and securing payment thereof with property of the corporation), possessing. selling (including short sales), placing as agent, remarketing, acting as auctirlll agent, effecting transactions pursuant to repurchase and reverse repurchase agreements, ranafcmng, lending, bonawing, exchangill" or Othpwisc clispOsing of, and generally executing any transaction involving or consisling of (but not limilcd to): (A) equity or secw•ed or unsecured debt securities and in;Lruments of every kind 10111e3enting an il1rQlvsr in such equity indcbr, whether oil a cijmCot, mandatory forward or optional commitment. basis; (13) foreign currencies and foreign cturency-denominated securities, deposits and money market instruments including withouL linlitaLion currency swaps, cross -currency rnteresi rate swaps, Lurocurrcil" deposits find ralcpomts, ccruficatcs of deposit, notes and Iloatinc rate notes and bonds; ((') trinues and options (exchange listed OI' OVU-the-CUnnrel') Un .ieCtll'ILIeS- seCllritlei indices, financial insu'utnents and foreign currencies; (D) conunodities and all contracts related to the trading, delivery or storage thereof; (F) (i) a rate swap transacioll, swap oprion, basis .swap, forward ram tramactii n, commodity swap, curmnudity Option, equity or equity index swap, equity or equity index Option, bond option, rnicresi rate option, forcignt exchange tansactron, cap transaction, floor transaction, collar transaction, currency swap transaction, cross- cuirencv rate, swap transaction, currency Option, credit ploLection transaction, credit swap, credit default swap, credit defuuh oprion, royal renim swap, credit ,prcad [ransaclion, repurchase tansachon, revca-sc tepid-C11ase tansacrion, huy/sell-hack transaction. sccuritics lending transaction, wcathcr index u-antaaction or forward purchase or sale of a security, conunodity or other financial instrument or interest (including any option with respect to any of these transactions) or (it) a typee of transaction that i, sinlilar Io any transaction roferred to in clause (i) above lhal is currently, or in the future become~, con-enlly enteral into in the financial m:n-kcls (Inclu(ing lemlS and COndilions incorporated by reference in such agreement) and which is a forward, swap, future, option or other derivative on one or more rates, currencies, commodities, equity securities or other equity instruments, debt securities or other dchl instrunrenls, ocoruanic indices or measures of ccimornic risk or vale':- or other benchmarks against which paymans or delive ics arc to be made; and (F) any combination of the foregoing, including any synthetic exposure thereto pursuant to courser of Orhuwi c; anti it iy F'URTHF:12 HESOLVED, that the .authority grantal in the two inlntecliatcly prcccding resolutions includes, without limitation, the authority to approve, enter into and pertorm any and all contracts, agreonlents and other instttnlents relating to, and provide investment, financial and 3u,arcSic adN,i" and other fiuitnciol 3clviccs in cuunccriun with, Variota3 tran3acrion3, urangenrenl.a nr financial rnaller., including without linrilatrnn (a) ally rnelgcx, acquisilinn, sale, combination, rcorganization and rccapltallZatlOn of public and private Clompamcs as well as the City Council 23 — 131 5/18/2021 purchase and sale, or other acquisition or disposition, of all Or a portion of the business. assets or securities of suet companies and (b) acting as an arranger, originator and/or agent of syndicated and other cralil ala-ccrncnls, luau facilities and other similar filianciug, an-alrgcrncnt.- FURTHER RE'SOLVED, that the authority granted in the three immediately preceding resolutions includes the authority, without limitation, to (i) establish banking or securities aCCOtlrlt5 artd other related arrangements fill hollowing or invesmteul of funds. cashiering, culhrtcr:rliving, Iranslcning lirnds. scaling and clearing u-ansactionti ;old all relator rnallcl-s; (n) give written (including Iciceopics, lacsimilics. Icicjaphic and electronic) or oral instructions, to pay in cash or by check and/or draft drawn upon the finds of the Corporation such sum, as may be necessary, and to bind and obligate the Corporation to and (Jr the carrying out of any van3actioo, contrnct, agrocnletu, arrangemeu or commitinont which ;hall be entered into by any such officets for and on behalf of the Corporation in furtherance of any of the foregoing; (iii) deliver, or acecpl del1BC1V of, secuiilics or other documents; (iv) authorize or order the Iransfer or delivery of securities or other documents and enter into and hind the Corporation ro the terns of any and all agreements with appropriate clearing organizations; (v) affix the seal of the Corporation to any documcnls, instnrmcllls of a"iecnlcnts or otherwise; (vi) endorse in the name of the corporalion Or otherwise any securities or other- iii�tvtlnlents in ordet- to pass title illevelo: (vii) direct the sale or exercise Of all rights Willi respect to any seculitic5 Or Other instruments: (viii) sign releases, powers of attorney, proxies and execute other documents in connection with any aforementioned transaction, contract, agreement, arrangernent or cornmitrnent and to agree to ally term" or conditions in conncaion (herewith; (ix) ascot( delivery of any sccutitics, commodities, documents or other items; and (x) cto and take any and all acion necessary or considered in good laith desirable in connxtion Willi any alorcnlauioned or similar transaction, coon act, agrccnlcnt, arrangement or commimlcnt; and it is FLIK14HER RESOLVED, that any officer of the Corporation holding the title of CEO, Managing Director, or Senior Vice President shall also have the authority to designate specific olficets of the Corporalion pursuant to one or more written documents (each a "Certilicale of Designatictd") for the purpose Of delegating any or' all of the ailtllortry confer'rcd in the three irnruedisuely preceding resolutions to any olliccr- of the C'olporalion- TO he effective, any such Ceruticatc of Designation must be made in wnring. must be signed by the CEO, Managing Director, of Senior Vice President making such delegation, and must be filed R'ith the Secretary Of the Corporation- Any such delegation shall be effective tot the lesser of (a) any term set forth in the Cettificalc of Designation or (b) the date such Celificate of Designation is repealed by tllc dcsignur, his or her succcssOr or the Dircclor(s). Till aciclition, any such Ccrlificaw of T)csignation shall autnnaucally terminaLe upon the designated officer's resignation or terttuneuiou; and it is FURTHER RESOLVED, that the authority granted in the preceding resolutions illeludeS the alllhorlly TO ralily and confirrll ally .106on previously laken lot ill Oil hchnlf erl'the Corpuration that, it lakpl cun-enl.ly, would be within the scope of the loregoing resolutions; and it is FURTHER RESOLVED, rhar any officer named in a 19:5oltlrion of the Dircetor( ) ,rssimini; such officer one or more I:illes conmronly used lilt Office: of a edrtrurnlion ('owned under the 6cricral Corporation I aw of the State of Delaware, or any individual who is listed on the Cotporarion's personnel records in a position equal to any of the aftnenlentioned officer positions, may exercise any and all powers and duties pertaining by law, regulation or practice to such office and shall alur perftxm such Other lurks a> may be cunfcoul or assigned front rime to lints by II're T)irccun-(e); and it is City Council 23 — 132 5/18/2021 FURTHER RESOLVED, that all delegations of authoriry that are tiled with the Secreraiy of the Corporation after the effective date of these resolution; are hereby approved, rali[ial, and aminlncdpur.uant to the forcgningresnlutiuus- 1)IIAI, 0FFIC1:RS RFSOINFD, that ;any offices- of an Affiliate Who. in di(; opinion of such officer'. atpu-vising Managinn Dirwlor or Senior Lice T'resitlau. and a Managing Director 0r Senior Vice President of the Corporuion, should be it dual OfFICCr of the Colporatiou ill order to cony out the responsibilities associated with such officer's job function, and who has been approved by and therefore appears on the approrcd list of the Cnmplianec Deparemcnl of the Corporation (the "Compliance Deparurlem") as a dual officer of die C'oiporalion and such Affiliate in accordance with F INRA Rule 3270, is deemed to be an appointed officer of the Corporation, wish the same or comparable Lille as such ollicei holds in such Affiliate; and it is FURTHER RF,SOINED, that, each ollice of an Affiliate who is approrcd and appointed by the Cotpliance Deparllncnl as a dual officer of the Corporation pursuant to the ilmnediately foregoing resolution shall have such authority as shall be specified by the Managing Director or Senior Vice. President of the Corporation who approved such appointment, prmided, unless Specifically limited thereby, any such appoinmtent shall be deemed a C ertificate of Designation and convey such Signaiory authority on such officer as may be confen-cd by a Certificate of Desigqiation, and it is FURTHER RESOLVED, that notwithstanding an individual's appoinunent as a dual office (if the Corporation, Such individual Shall ratlain art employee solely of d1c Affiliate upon which such individual's payroll is drawn, except as otherwise specifically provided by corium agreement, and It is FURTHER RESOLVED that a person'., appoinunent a a dual officer of the Corporation shall be revoked upon the clrlicr of (i) the tcrntivation of stteh person's cinploWucnr by the Corporation or the Affiliate of which such person was an officer at the time of such appoinuncin or (ii) the u-ansfei out or other change in job responsibilities of such person either at dic Corporation or at such Atfiliate that based on the determination Of the Ccnnpliance Departrment requires the rernoial ol'such person from the approved list ol'dual officer,; and it is FUR'MER RESOLVED, that as approved from time to time by the Compliance Department, any ollicer of the Corporation who, in the opinion of such officer's supervising Managing Director or Senior Vice Presidenr Lime(a Managing Director of Senior Vice President of :in Af 1111AC, needs 10 be an Olf1CC1- of Mich AIb11:i1C In UrdC1 to CHITy Mr. die respnnslh11111Cs associated with such officer's _job fu1101011 is authorized ul Serve as a dual officer of such Affiliates and it is FURTHER RESOLVED, that all dual officers whose appoinunaus were or are hacufia approval by anti therefore currently or hucaficr appear on the approved list of the Compliance Department as dual officers of the Corporation Lund an Aff tiatc are hereby ratified and confirmed and shall continue in effect as though they had been made or approved pursuant to the foregoing resolutions; and it is FURTIIFR RFSOLVPA), dialany change in ;I dual olliccr's title (such as a p1 011106011 or realignment of corporate titles) aS duly authorized by an Affiliate Ibllowing his or her appoinunent as a dual officer shall not in an-y way impact his or her dual officer stands except that City Council 23 — 133 5/18/2021 ;aid dual officer shall thcrcatter be deemed to have the same or comparable title at the Corporation as that granted by such Affiliate; and iris t LIKI'HEK RESOLVED. Thal any action previously taken, that if takcn aficr the approval of the foregoing resolutions NVould be within the scope of the foregoing resolutions, is hereby approved, ratified and confirmed in all respects as the audtorized act and deed of the C'orpnrarirrn; and it is FURTHER RESOLVED, Thal each of the Chicf Compliance Officcr(s) the Chicf Legal Officer, and the Secretary of the Corporation is hereby authorized to take any and all actions, including execution, delivery, acknowledgment, filing, recording and sealing of any and all ducUmeu[5, CCrtificatC3, notices, sratpmenr3 or othoi in3n11mCnt3, including the dCICgation of rhC a(Itha-iry granted to each pursuant to the Agreement or by resolutions of the I)neclor(sl then in effcel to such olTtecrss of the Corpora lion or an Affiliate as each so cictemnnes (as c6denccd by a Cerrificare of [designation, power of attorney or otherwise), and the making of any expenditure; deemed necessary or advisable in order to elTeauate or carry out fully the purpose or intent oI'the foregoing resolutions. City Council 23 — 134 5/18/2021 Financing Scenarios Council 23 — 135 5l181202,) RofA SECURITIES -- City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Section Page Summary of Rrsults 2 Sources & Uses 3 Bond Pricing 4 Annual Debt Service S Debt Service by Financing 6 Toted Annual Payments Post Financing 7 Total Annual Ohligation by Plan Post Financing 8 Total Savings Analysis 9 Savings- Miscellaneous Plan 10 Savings - Safety Plan 11 Savings - General Fund Allnration 12 Arljustaci Budgetary Savings 13 Simulation Analysis 14 Stress Test - Future UALs Attributable to POBs 15 UAL Selection Miscellaneous 16 LIAI Selection Safety 17 Uiselaimer 18 City Council 23 — 136 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 1 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Long -Term UAL Funded by POB % UAL Funded Balance 6/30/22 Deposit Total Par Amount 3S9,405.000 Total UAL Funded 3S0,698.072 S0.00% 701,395.050 328,682.392 Miscelldrieuus - 0.00% 292,/03.b 12 - Safety 350,698.072 85.81% 408.691.378 328,682.392 Summary Statistics Total Miscellaneous Safety Average Life 14.8 years 14.9 years TIC 3.009% 3.009% All -in TIC 3.02x% A O2A% Financial PV savings (%of Par) 4252% 0 00% 42.52% Financial PV Savings 1S2,825.543 (a(xq 152,82S.543 Cumulative Savings 184,S22.630 (0.000) 184,522.630 Budgetary Savings (vs tY22 UAL) 38,562.276 Seving5(FY7)-26) 57,J3J. 147 - 57,)0147 IVlaxiniurn Annual Debt Service 33,R17.220 - 33,817.220 Maximum Annual Total Obligation 54,919.732 33,650-418 33,847.220 Actuarial PV Savings (%of Par) 3399% 000% 33.990/ Actuarial PV Savings 122,177.961 (0.000) 122,177.961 /o,tioti ii0,nO(1 5(IAu(1 40,0(10 1p,CRln lg000 r etn Suvim - [J", and=I UAL tLsrent Jn ....... Y 21 LAL O: Deposit calculation Deooslt Date 7/15/2021 DcposiL Discount FacLor 0.937223 Miscellaneous Safety Total POB Proceeds - 328,682392 - 328,682.392 1)i®cuuntin9 (Actuarial RaLe) - 22,015.680 - 22,015.680 UAL Payment - 350,698.072 - 3S0,698.072 City Council 23 — 137 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 2 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Sources & Uses Miscellaneous Safety Total Sources: Par Amount 359,405.000 359,405.000 Premium / (Discount) (0.000) (0.000) Other Sources - - - - Total Sources - 359,405.000 - 359,405.000 Uses: FY22 UAL Prepayment - 29,101.640 - 29,101.640 POB Deposit - 328,682.392 - 328,682.392 Capitalized Interest - - - - Jnderwriter'sDintount - 8Oa661 - ROA661 Costa of Issuance - 808.661 - 508.661 Additional Proceeds - 3.646 - 4.646 Total Uses - 359,405.000 - 359,405.000 Average Life 14.8 years 14.8 years TIC 3.009% 3.009% All -in TIC 3.028% 3.028% Bond Structure Dated Date 7/15/2021 First Payment First Maturity Final Maturity 6/1/2044 Capitalized Interest Until Bond Component5 Structure Par Amount Coupon Price Final Maturity Avg. Life Serials 176,600.000 2.545% 100.000 6/1/2036 10.5 years Term Bond 1 182,805.000 3.26096 100.000 6/1/2044 19.1 years Term Bond 2 - 100.000 1/0/1900 Total 359.405.000 3.013% 100.000 6/1/2044 14.8 vears City Council 23 — 138 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 3 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Maturity Component Principal Coupon yield Price 6/1/2022 Serials 11,3R5.000 0.420% 0.420% 100. DOD 6/1/2023 Serials 4,260.000 0.470% 0.470% 100.000 5/1/2024 Serials 5,870.000 0.700% 0.700% 100.000 b/1/2026 Serials 4,960.000 1.130% 1.130% 100.000 6/1/2026 SeridlS 3,845.000 1.3300,(, 1.3300A 100.000 6/1/2027 Serials 2,790.000 LfM% 1.6R0% 1)0.000 6/1/2029 Serials 2,06S.000 1.880% 1.880% 100.000 6/1/2029 Serials 6,540.000 2A50% 2.150% 100.000 6/1/2030 Serials 5,660.000 2.250% 2.250% 100.000 6/1/2031 Serials 14,S1S.000 2350% 2.3S0% 100.000 6/1/2032 Serials 19,25S.000 2.4S(M 2.4S0% 100.00(I 6/1/2033 Serials 20,235.000 2.550% 2.SSO% 100.000 6/1/2034 Serials 23,210.000 2.650% 2.650% 100.00D 6/1/2035 Serials 24,905.000 2.750% 2.750% 100.00D 6/1/2036 Serials 27,115.000 2.860% 2.850% 100.000 6/1/>037 term Bond 1 26, 340.000 3.)601%11 3.)60% 100.000 6/1/2038 lent, Bond 1 25,995MI) 3.260% 3.260% 100.000 6/1/2039 Term Bond 1 25,15S1100 3260% 3.260% 100-000 6/1/2040 Term Bond 1 24,770MI) 3.260% 3.260% 100.00D 6/1/2041 Term Bond 1 24,980.000 3.260% 3.260% 100.000 6/1/2042 Term Bond 1 18,120.000 3260% 3260% 100.000 6/1/)043 Term Rond1 10,310.000 3.)60% 3.)60% 100.000 (,/1/>044 term Bond 1 18,135.000 3.)60's6 3.)60'% 100.000 6/1/7045 Term Rond 1 - 3.7G0% 3.7600/ - 6/1/2046 Term Bond 1 - 3260% 32600A - 6/1/2047 Term Bond 1 - 3.360% 3.360% - 6/1/2048 Term Bond 1 - 3.360% 3.360% - 6/1/2D49 Tenn Bond 1 - 3.3601A 3.360'% - 6/1/2050 Term Bond 1 - 3.360% 3.36056 - 6/1/20S1 Term Bond 1 3.360% 3.3600/ Total City Council 23 - 139 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 4 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Annual Debt Service Fiscal year Principal Interest Debt Service 2022 11,3RS000 8,716.R75 20,101.875 2023 4,260.000 9,882.800 14,142.800 2024 5,870.000 9,862.778 15,732.778 202D 4,960.000 9,821.b88 14,/81.688 2026 3,845.000 9,765.640 13,61U.640 2027 2,7R0.000 9,714501 12,494. 502 2028 2,065.000 9,667.797 11,732.798 2029 6,540.000 9,628.975 16,168.976 2030 5,660.000 9,488365 15,148366 2031 14,515.000 9,361.015 23,876.016 2032 19,255I100 �),019913 28,274913 2033 20,235.000 R,548.165 2R,7R3. 166 2034 23,210D00 8,032A73 31,242.173 2035 24,905.000 7,417A08 32,322,108 2036 27,115.000 6,732.220 33,847.220 )U37 )6,340.000 5,959.443 3),)99.44J 2038 25,995.000 5,100.759 31,095.759 2039 25,1551000 4,253 322 29,408 322 2040 24,770.000 3,433269 28,203 269 2041 24,980.000 2,625.767 27,605,767 2042 18,120.000 1,811.,419 19,931 419 2043 19,310.000 1,2)0.707 )0,530.707 )044 18,13n.000 ;91.)O1 18,/)6.)01 7045 - - - 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 2051 Total 359,405.000 160,655.903 520,060.903 City Council 23 — 140 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page S of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Debt Service by Financing Fiscal year Miscellaneous Safety Total 2022 20,101.875 20, 101.87S 2023 14,142.800 14,142.800 2024 15,732.778 15,732.778 2025 - 14,/81.688 - 14,/81.b88 2026 - 13,610.640 - 13,610.640 2027 12,494502 12,494. 502 2028 11,732.798 11,732.798 2029 - 16,168.976 - 16,168.976 2030 - 15,148.366 - 15,148.366 2031 - 23,876.016 - 23,876.016 20R2 - 2R,274913 - 2R,27A.913 2033 - 28,7k3A66 - 28,7k3A66 2034 - 31,242A73 - 31,242A73 2035 - 32,322.103 - 32,322.1D8 2036 - 33,847.220 - 33,847.220 2037 - 32,299.443 - 32,>99.443 2038 - 31,095.759 - 31,09S.759 2039 - 29,40R.322 - 29,40R322 2040 - 28,203.269 - 28,203.269 2041 - 27,605.767 - 27,605.767 2042 - 19,931A19 - 19,931419 2043 - 70,530.707 - )0,530.707 2044 - 18,/26.701 - 18,0(001 7045 - - - - 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 2051 Total City Council 23 — 141 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 6 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Debt Service Miscellaneous Safety Total 2022 20,101.875 26,113.042 46,214.917 2023 14,142.800 28,212.056 8,714.823 51,069.679 2024 15,732.778 29,562.724 8,921.068 54,216.570 2025 14,781.688 30,992.098 9,145.142 54,918.929 2026 13,610.640 31,910.742 9,396.634 54,918.915 2027 12,494.S02 32,76R.7R2 %655.041 54,912.224 2028 11,732.798 33,6S0.419 9,53S.S97 S4,918.812 2029 16,168.976 28,951.341 9,797.826 54,918.142 2030 15,148.366 29,703.976 10,067.266 54,919.608 2031 23,876.016 30,501.330 542.386 54,919.732 2032 28,274.913 2(;,643.217 0.000 54,918.130 2033 28,783.166 26, 135.643 - 54,918.809 2034 31,242.173 23,677362 - 54,919.535 2035 32,322.108 22,594351 - 54,916.459 2036 33,847.220 21,070.280 - 54,917.500 )037 37,299.443 18,429389 - 50,718-837 2038 31,095.759 17,025.951 - 48,121.710 2039 29,408.322 15,729A 53 - 45,137.475 2040 28,203.269 14,633.708 - 42,836.977 2041 27,605.767 13,883.678 - 41,489.445 2042 19,931.419 7,392.007 - 27,323.426 )043 20,530.707 5,)79.598 - 25,810.305 )044 18,726.201 ),83i.096 - 21,563.297 7045 - 0.000 - 0.000 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 2051 Total 520,060.903 517,697.940 75,775.783 - 1,113,534.626 City Council 23 — 142 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 7 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Miscellaneous Safety Total 2022 26,113.042 20,101.875 46,214.917 2023 28,212.056 22,857.623 51,069.679 2024 29,562.724 24,653.846 54,216.570 202D 30,992.098 23,926.830 54,918.929 2026 31,910.742 23,007.274 54,918.915 2027 32,768.782 22,149543 54,912.224 2028 33,6S0.418 21,268.39S S4,918.812 2029 28,9S1.341 25,966.802 54,918.142 2030 29,701976 25,215.632 54,919.608 2031 30,S01.330 24,418.402 54,919.732 2032 26,643217 28,274913 54,918-130 2033 26,135.643 28,7R3.166 54,918.809 203A 23,677362 31,242173 54,919.535 2035 22,594.351 32,322.108 54,916.459 2036 21,070.280 33,847.220 54,917.500 J037 18,09.;89 3J,J99.443 50,718-83J 2038 17,025.951 31,095.759 48,121-710 2039 1 S,729.153 29,408.322 45,137.475 2040 14,631708 28,203.269 42,836.977 2041 13,881678 27,605.767 41,489.445 2042 7,392.007 19,931A19 27,323.426 J043 5,279.598 J0,530.707 25,810.305 J044 J,83i.096 18,/J(,.)01 21,563.297 J045 0.000 - 0.000 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 20S1 Total 517,697.940 595,836.686 - - 1,113,534.626 City Council 23 — 143 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 8 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 56,216.012 (26,113.042) (20,101.875) 10,001.095 10,110.171 2023 61,071.833 (36,926.879) (14,142. 800) 10,002.154 9,670.156 2024 64,221.346 (38,483.792) (15,732.778) 10,004.776 9,404.792 202D bl,S31.864 (40,13/.241) (14,/81.688) 12,612.936 11,46b.428 2026 69,529.201 (41,307.375) (13,610.640) 14,611.186 12,962.063 2027 71,395.317 (42,423823) (12,494.502) 16,476.993 14,05:3.155 2028 72,927.794 (43,186.01S) (11,732. 79R) 18,008.981 14,991A46 2029 69,282.413 (38,749.167) (16,168. 976) 14,364.270 11,582.039 2030 71,117.721 (39,771.242) (15,148.366) 16,198.113 12,652A54 2031 73,027.521 (31,043.716) (23,876.016) 18,107.789 13,79Z028 2032 67,k9S. F67 (2(;,643. 217) (2A,274.913) 12,977.S37 9,6R4.153 2033 67,036.95A (26,13S.641) (28,7k3. 166) 12,118.149 k, 795.44S 2034 61,R13905 (23,677362) (31,242. 173) 6,894.370 4,966 7S6 2035 59,692.,424 (22,594.351) (32,322,108) 4,775.965 3,418.210 2036 56,436.917 (21,070.280) (33,847.220) 1,519.417 1,223.982 J037 50,733.458 (18,4)9. 389) (3J,J44.443) 4.627 JJ7.478 2038 48,123.557 (17,025.95t) (31,095. 759) 1.847 213.829 2039 45,140358 (15,729A S3) (29,408 322) 2.883 199 43S 2040 42,838.845 (14,633.708) (28,203. 269) 1.868 187.857 2041 41,490.921 (13,883.678) (27,605,767) 1.477 181.297 2042 27,326.929 (7,392.007) (19,931 419) 3.503 128.680 J043 25,819,261 (5,279.598) (20,530.707) 1.%6 130.288 2044 21,568.340 (),83/.096) (18,1J6.201) 5.043 n8.96n 7045 4,55R.7 S7 (aOw) - 4,558.752 7,757.731 2046 1,158.317 - - 1,158.317 555.318 2047 104.981 - - 104.981 48.840 2048 _ _ 2049 2050 2051 Cash On Hand 3.646 3.646 Total 1,298,053.610 (593,473.723) (520,060.903) 184,522.630 152,825.543 City Council 23 — 144 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 9 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 26,113.042 (26,113.042) - 2023 28,212.056 (28,212.OS6) - 2024 29,562.724 (29,562.724) - 2025 30,992.098 (30,992.098) - - - 2026 31,910.742 (31,910.742) - - - 2027 32,768.782 (32,71-,8.782) - 2028 33,6S0.418 (33,6S0.418) - 2029 28,9S1.341 (28,951.341) - - - 2030 29,701976 (29,703.976) - - - 2031 30,S01.330 (30,S01.330) - - - 2032 26,643217 (2(;,643.217) - - - 2033 26,135.643 (26,13S.641) - - - 2034 2-4,677362 (23,677362) - - - 2035 22,594.351 (22,594.3S1) - - - 2036 21,070.280 (21,070.280) - - - 2037 18,09_;89 (18,4)9-389) - - - 2038 17,025.951 (17,025.951) - - - 2039 1 S,729.153 (15,729A S3) - - - 2040 14,631708 (14,633.708) - - - 2041 13,881678 (13,883.678) - - - 2042 7,392.007 (7,392.007) - - - 7043 5,279,598 (5,)70.598) - - - 2044 2,83i.096 (),83i.096) - - - 2045 - (0.000) - (0.000) (0.000) 2046 - - - - - 2047 - - - - - 2048 - - - - - 2049 - - - - - 2050 - - - - - 2051 Cash On Hand - - Total 517,697.940 (517,697.940) - (0.000) (0.000) City Council 23 — 145 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 10 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 30,102.970 (20,101.875) 10,001.095 10,228.3S4 2023 32,859.777 (8,714.823) (14,142.800) 10,002.154 9,262. S33 2024 34,658.621 (8,921.068) (15,732.778) 10,004.776 8,698.245 2025 3b,539./bb (9,145.142) (14,781.688) 12,612.936 10,1b9.264 2026 37,618.460 (9,396.634) (13,61U.640) 14,611.186 10,958.434 2027 3A,62G535 (9,655.041) (12,494. 502) 16,476.993 11,510.435 2028 39,277.376 (9,53S.S97) 111,732. 798) 18,008.981 11,734A26 2029 40,331.072 (9,797.826) (16,168.976) 14,364.270 8,839.996 2030 41,413.745 (10,067.266) (15,148.366) 16,198.113 9,281.69 2031 42,526.191 (542.386) (23,876.016) 18,107.789 9,809.426 2032 �11,252450 (C7000) (2A,274913) 12,977_S37 6,705450 2033 A0,901.314 - (2A,7A3. 166) 12,118.149 S,878.395 203A 38136.543 - (31,242. 173) 6,894.370 3,279./149 2035 37,098.073 - (32,322.108) 4,775.965 2,229.297 2036 35,366.67 - (33,847.220) 1,519.417 881.809 7037 3>,304.070 - (3),>99.443) 4.627 >79.6>4 2038 31,09z606 - (31,095-759) 1.847 2511-231 2039 29,41120S - (29,408 322) 2.883 227.99; 2040 28,20SA37 - (28,203269) 1.868 208.S44 2041 27,607.244 - (27,605,767) 1.477 192.682 2042 19,934.922 - (19,931 419) 3.503 130.985 >043 2Q539.b63 - (>0,530.707) 1.%6 1>8.>3> >044 18,/31.>44 - (18,06.)01) 5.043 11>.(158 7045 4,55R.75> - - 4,558.752 931.800 2046 1,1558 317 - - 1,158.317 221279 2047 104.981 - - 104.981 18.744 2048 _ _ _ 2049 2050 2051 Cash On Hand 3.646 3.646 Total 780,355.670 175,775.783) (520,060.903) 184,522.630 122,177.961 City Council 23 — 146 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 11 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year Savings - Misc. GF Allocation Savings - Safety GF Allocation Savings to GF 2022 100.000% 10,001.09S 100.000% 10,001.095 2023 100.000% 10,002. 154 100.000% 10,002.154 2024 100.000% 10,004.776 100.000% 10,004.776 2025 - 100.000% 12,612.936 100.0001/ 12,612.936 2026 - 100.000% 14,611.186 100.0000/ 14,611.186 2027 100 000% 16,476.993 100.00011/ 16,47G.993 2028 100.000% 1A,00A.991 100.000% 18,008.981 2029 - 100.000% 14,364.270 100.000% 14,364.270 2030 - 100.000% 16,198.113 100.000% 16,198.113 2031 - 100.000% 18,107.789 100.0000/ 19,107.789 2032 - 100.000°%, 12,977.537 100.000% 12,977.537 2033 - 100.000% 12,11A. 149 100.000'% 12,118.149 2034 - 100.000% 6,894.370 100.000% 6,894.370 2035 - 100.000% 4,775.965 100.000% 4,775.965 2036 - 100.000% 1,519.417 100.000% 1,519.417 7037 - 100.000% 4.6)7 100.000% 4.677 2038 - 100-0001% 1.847 100AOOYo 1-847 2039 - 100-000% 2.883 100.000% 2.883 2040 - 100.000% 1.868 100.000% 1.868 2041 - 100.000% 1A77 100.000% 1.477 2042 - 100000% 3503 100.000% 3.503 2043 - 100.000% 1.956 100.000% 1956 2044 - 100.000'% ',043 100.000%, 5.043 7045 (0.000) 100.000% 4,SSA.7S7 1MOW% 4,558.752 2046 - 100.000% 1,158.317 100.000% 1,158.317 2047 - 100.000% 104.981 100A00% 104.981 2048 - 100.000% - 100.000% - 2049 - 100.0001k - 100.0001A - 2050 - 100.000% - 100.000% - 20S1 100.000°/a 100.000% To be Updated with City's feedback Cash On Hand - 100.000% 3.646 100.0000/ 3.646 Total (0.000) 100.000% 184,522.630 100.000% 184,522.630 City Council 23 - 147 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 12 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Fiscal year FY22 UAL CFy UAL Budget Benchmark Total Obligation Savings 2022 56,216.012 S6,216.012 56,216.012 46,214.917 10,001.095 2023 S6,216.012 61,071.833 56,216.012 51.069.679 5,146.333 2024 56,216.012 64,221.346 56,216.012 54.216.570 1,999.442 2025 5b,21b.012 b/,631.8b4 56,216.U12 54,918.929 1,297.084 2026 56,216.012 69,529.201 56,216.012 54918.01S 1,297.997 2027 56,21G.012 71,395.317 56,216,.012 54918.324 1,297.688 2028 S6,216.012 72,927.794 56,216.012 S4918.812 1,297.200 2029 56,216.012 69,282.413 56,216.012 54,919A42 1,297.870 2030 56,216.012 71,117.721 56,216.012 54,919.609 1,296.405 2031 S6,216.012 73,027.521 56,216.012 54,919.732 1,296.281 2032 56,216I112 67,895.667 S6,21[;_012 S4,91R_130 1,297-992 2033 56,21G.012 67,0369S8 S6,216.012 S4,919.809 1,297203 2034 S(53,21G.012 61,813.905 56,216.012 S4,919.53S 1,296.477 2035 56,216.012 59,692.424 56,216.012 54,916.459 1,299.553 2036 56,216.012 66,436.917 66,216.012 64,917.600 1,298.512 )037 56,216.017 50,733.458 50,734.458 50,7)8.83) 4.677 2038 56,216.012 48,123.557 48,121557 48,121.710 1.847 2039 %,21&012 45,140.3S8 45,140.3S8 45,137.47S 2.883 2040 56,216.012 42,838.845 42,838.84S 42,836.977 1.868 2041 56,216.012 41,490.921 41,490,921 41489.445 1.477 2042 56,216.012 27326.929 27.126.929 27,323i.426 3.503 7043 56,)16.01) 25,81),)61 )5,81 ),)61 )5,810.305 1956 )044 56,>t6.Ot7 )1,;68.340 )1,;68.340 )t,y63.)97 5.043 2045 56,21G.017 4,5S8.752 4,558.75) 0.000 4,558.752 2046 56,216.012 1jS&317 1,158.317 - 1,158.317 2047 56,216.012 104.981 104.981 - 104.981 2048 56,216.012 - - - - 2049 56,216.012 - - - - 2050 56,216.012 - - - - 2051 56,216.012 Total 1,686,480.368 1,298,053.610 1,152,096.902 1,113,534.626 38,562.276 City Council 23 — 148 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 13 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Simulation Analysis Assumptions Expected Annual Return 7.000% Annual Volatility 12.000% Results Probability of Success Average Presrnt Valuc Acncfit Percentiles PS 1125 PS0 P7S P9S rno u <amri nro n 011 ❑ I ou ) (isc� of 8S.80% 121,3312(;3 Discuuntr:d at Actuarial Discount Rate. (34,036.600) (5% of outcomes less than) 26,S32.388 (25% of outcomes less than) RR,A42.07R (Median) 171,A9,A. S73 (25% of outrnmes greater That)) 387,844.617 (51Y. of outcomes greater than) "IPAuIA w! I M,(ORpI fll o Nv vv 6[ m I l li Base Case Stress Test 1 Stress Test 2 Stress Test 3 20% in First Year, 7%Annual Returns 7%After 6%Annual Returns 5%Annual Returns PV Benefit 122,177.961 122,177.961 122,177.961 122,177.961 PV futwe UALs due to Act Losses - (88,S63.780) (43,497.983) (77,312.069) Net PV Benefit 122,177.961 33,614.181 78,679.978 44,865.893 Net PV Benefit I% of Par Amount) 34.0% 9.4% 21.9% 12.5% City Council 23 — 149 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 14 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Stress Test - Future UALs Attributable to O: Stress Test 1 IW 000 10 000 n. ogooc ',ipnn 1(1 Ot70 1-1 000 1000o 10 000 f f f f f r r f f f I I I wxaaae U� n., iu¢ lri,1, JdII, [JAL <- rtr,; Gas 7IIAL iw meLIM City Council 23 — 150 5/18/2021 BofA Securities - Preliminary Analysis 311012021 Page 1S of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2006 (1,483.984) (1,481.984) Benefit Change 2007 25,025.094 25,025.094 Benefit Change 2007 119.441 119.441 Assumption Change 2009 2/,25/.4/5 - 27,257.475 Special(Gain)/Loss 2009 29,176.611 - 29,176.611 Spcciel (Gain)/Loss 2010 10,760.315 10,7Go.31S Assumption Change 2011 12,363.217 12,363.217 Special(Gain)/Loss 2011 (7,365.492) - (7,365.492) Payment(Gain)/Loss 2012 5,629.243 - 5,629.243 (Gain)/Loss 2012 (264.240) - (264.240) (Gain)/Luss 2013 100,132646 - 100,132-646 Assumption Change 2014 L3,S07AA2 - 43,507.182 (Gain)/Loss 2014 (63,657365) - (63,657.365) (Gain)/Loss 2015 32,663.590 - 32,663.590 Assumption Change 2016 16,168.642 - 16,168.642 (Gain)/I oss >016 ;8,544.4)0 - 38,544.420 Accumpl,iori Change 2017 11,911 A21 - 13,911.421 (Gain)/Lo55 2017 (21,744.846) - (21,744.346) Method Change 2018 6,562A27 - 6,562.427 Assumption Change 2018 31,746.753 - 31,746.753 (Gain)/Loss 2018 (13,468.613) - (13,468.613) Al Significant Increase" )019 141.851 - 141.851 Non-investment(Gam)/I o55 )019 ),9/4.088 - 2,974.083 InVe5lmpnt (Gain)/I nss 2019 4,003.293 - 4,003.293 Total 292,703.672 - 292.703.672 City Council 23 — 151 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 16 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2005 (2,800.549) (2,800.549) Benefit Change 2006 1,500.690 1,500.690 Assumption Change 2009 14,083.767 14,083.767 SpeLial(Gain)/Loss 2009 31,/69.094 (31,/69.094) - Special(Gain)/Loss 2010 (11,745.462) - (11,745.462) ASSUr➢ption Change 2011 SS,3SS.R0, 15,355.805 Special (Gain)/Loss 2011 (4,36S.942) (4,365.942) Payment (Gain)/Loss 2012 8,239.758 (8,239.758) - (Gain)/Loss 2012 74,443.250 (74,443.250) - (Gain)/Loss 2013 140,365.987 (140,365.987) - Asaumpfinn Change 2014 52,003.240 - S2,003240 (Gain)/Loss 2014 (R4,279949) - (84,279-949) (Gain)/Loss 201S 59,130S.689 (28,078.909) 31,726.780 Assumption Change 2016 19,756.175 - 19,756.175 (Gain)/Loss 2016 S1,205.324 (12,S16.578) 38,688.746 A55Umption Change )017 )3,)18.574 - )3,)18-574 (Gain)/Lws 2017 (33,611.702) - (33,611-702) Mpthod Change 2018 S,497.157 (S,497.157) - Assumption Change 2018 40,053.249 (40,053.249) - (Gain)/Loss 2018 (1,536.868) - (1,536.868) Non-investment(Gain)/Loss 2019 5,058J05 (5.058705) - lnvestment(Gain)/Loss )019 4,675.386 (4,675.386) - Total 408,691.378 (350,698.072) 57,993.306 City Council 23 — 152 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 17 of 18 City of Santa Ana Pension Obligation Bonds Scenario 1 - Base Case BOFA SECURITIES, INC. IS NOT YOUR MUNICIPAL ADVISOR OR FIDUCIARY. BofA Securities, Inc. ("BofA") is providing the information contained herein for discussion purposes only either as an underwriter or in anticipation of being engaged to serve as an underwriter. By providing the information contained herein pursuant to the participation by an independent registered municipal advisor exemption provided under SEC Rule i5Ba1.1(d)(3)(vl) and the underwriter exclusion provided under SEC Rule 350at-1(d)(2)(I), BofA Is not acting as yaw"municipal advisor" within the meaning of Section 15D of the Securities Exchange Act of 1934, as amended (the "Act"), and does not owe a fiduciary duty to you pursuant to the Act with respect to the Information and material contained in this communication. BufA Is either serving as an underwriter or is seeking to serve as an underwriter on a future transaction and not as a financial advisor or municipal advisnr. The primary mle of RnfA, as an underwriter, is to purrhase serurifies with a view to distribution in an arms -length rnmmerrial transaction between you and DofA and DofA has financial and other Interests that differ from yours. DofA Is acting for Its own interests. You should discuss any information and material contained in this communication with any and all of your own internal or external munlcipal and/or financial, legal, accounting, tax and other advisors and experts, as applicable, to the extent you deem appropriate before acting on this information or material. This material has been prepared by the Public Finance Group and is not a research report and is not a product of the fixed income research department of BofA. This material is for information purposes only, is intended solely for your use, and may not be reproduced, disseminated, quoted or referred to in whole or In part, without our written consent. This material does not constitute an offer or solicitation to sell or purchase any securities and is not a commitment by BofA Securities or any of its affiliates to provide or arrange any financing for any transaction or to purchase any security in connection therewith. The calculations contained herein are based upon assumptions and information that either you or your advisors provided to BofA or which BofA deems in its sole discretion to be appropriate. BofA makes no representation or warranty as to the accuracy or completeness of this material or these calculations and any and all liability to you or any third parties relating to this material or the calculations is expressly disclaimed. The material and calculations made available to you may not be similar to the Information generated by BofA or Its affiliates proprietary models or valuations that are used for its own purposes or to the models or valuations available from other sources including from other dealers. BofA assumes no obligation to update or otherwise revise these materials. Values generated by the data or calculations may not reflect actual prices or values that can be obtained in the market at that time and the calculations should not be relied upon for any tax, accounting, legal or other purpose. City Council 23 — 153 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 18 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Section Page Summary of Rrsults 2 Sources & Uses 3 Bond Pricing 4 Annual Debt Service S Debt Service by Financing 6 Toted Annual Payments Post Financing 7 Total Annual Ohligation by Plan Post Financing 8 Total Savings Analysis 9 Savings- Miscellaneous Plan 10 Savings - Safety Plan 11 Savings - General Fund Allnration 12 Arljustaci Budgetary Savings 13 Simulation Analysis 14 Stress Test - Future UALs Attributable to POBs 15 UAL Selection Miscellaneous 16 LIAI Selection Safety 17 Uiselaimer 18 City Council 23 — 154 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 1 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Long -Term UAL Funded by POB % UAL Funded Balance 6/30/22 Deposit Total Par Amount 648,90S.000 Total UAL Funded 631,263.250 90.00% 701,395.050 591,634.604 MiscelldrieuuS 222,5/1.8/2 /6.04% 292,/03.b/2 208,699.53b Safety 408,691.378 100.00% 408,691.378 383,035.067 Summary Statistics Total Miscellaneous Safety Average Life 13.2 years 12.7 years 13.5 years TIC 2.862% 2.843% 2.872% All -in TIC 2.883% 2.AM% 2.8939l. Financial PV savings I%of Par) 40.79% 3982% 4134% Financial PV Savings 264,693169 93,547.844 171,145325 Cumulative Savings 316,816.423 111,113.474 205,702.949 Budgetary Savings (vs; tY22 UAL) 170,856.462 Sa,,ingS (hY77-)s) 103,421.460 37,465.70) 103,471 460 Mdxiniurn Annual Debt SNivice 46,8.33.924 19,058 015 29,806.858 Maximum Annual Total Obligation 46,833.924 26,602J90 29,806.858 Actuarial PV Savings I%of Par) 32A3% 31.83% 32J70/ Actuarial PV Savings 210,433.520 74,777.556 135,655.964 30,n J(1 ............... Qn 0 5(IAu(1 40,000 3p,CRln f0,Of10 U flrl(1 '. 4, r etn Suvim - [J", and=d UAL tLsrent Jn ....... Y 21 LAL O: Deposit calculation Deooslt Date 7/15/2021 DcposiL Discount FacLor 0.937223 Miscellaneous Safety Total POB Proceeds 208,599.536 383,035.067 - 591,634.604 1)1®cuunL1n9 (Actuarial RaLe) 13,972.336 25,656.311 - 39,628.646 UAL Payment 222,S71.872 408,691378 - 631,263.2S0 City Council 23 — 155 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 2 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $OOO5 Sources & Uses Miscellaneous Safety Total Sources: Par Amount 234,905.000 414,000.000 648,905.000 Premium / (Di' Count) Other Sources - - - - Total Sources 234,905.000 414,000.000 - 648,905.000 Uses: FY22 UAL Prepayment 25,244.430 29,101.640 - 54,346.070 POB Deposit 208,599.536 383,035.067 - 591,634.604 Capitalized Interest - - - - Underwriter'sDintount r2k_936 931500 - 1,A60.O36 Costa of Issuance 52k.536 931.500 - 1,A60.O36 Additional Proceeds 3.961 0.293 Total Uses 234,905.000 414,000.000 - 648,905.000 Average Life 1).7 years 13.5 years 13.) years TIC 2.843% 2.872% 2.862% All -in TIC 2.864% 2.893% 2.883% Bond Structure Dated Date 7/15/2021 7/15/2021 First Payment 6111202) 6/1 /2022 First Maturity 6/1/)02) 6/1/20)2 Final Maturity 6/1/2044 6/1/2044 Capitalized Interest Until Structure Par Amount Coupon Price Final Maturity Avg. Life Serials 347,515.000 2.333% 100.000 6/1/2035 8.6years Term Bond 1 301,390.000 3A60% 100.000 6/1/2044 18.4 years Term Bond 2 - 100.000 1/0/1900 Total 648.905.000 2.870% 100.000 6/1/2044 13.2 vears City Council 23 — 156 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 3 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Maturity Component Principal Coupon yield Price 6/1/2022 Serials 21,730.000 0.420% 0.420% 100. DOD 6/1/2023 Serials 11,70S.000 0.470% 0.470% 100.00D 5/1/2024 Serials 14,76S.000 0.700% 0.700% 100.000 b/1/2025 Serials 1/,3U5.000 1.130% 1.130% 100.000 6/1/2026 SerialS 17,140.000 1.330% 1.330% 100.000 6/1/2027 Serials 16,995.000 1.6R0% 1.6RO55 100.ODD 6/1/2029 Serials 16,900.000 1.RR0% 1MO% 100.000 6/1/2029 Serials 26,080.000 2A50% 2A50% 100.000 6/1/2030 Serials 32,170.000 2.250% 2.250% 100.000 6/1/2031 Serials 32,89S.000 2350% 2.3S0% 100.000 6/1/2032 Serials 33,660. DOD 2.450% 2.4S0% 100.0nn 6/1/2033 Serials 34, 190.000 2.SSOX 2.SSO% 100.000 6/1/2034 Serials 35,370MO 2.650% 2.650% 100.00D 6/1/2035 Serials 36,310.000 2.750% 2.750% 100.00D 6/1/2036 term Bond 1 37,310.000 3A60% 3.160% 100.000 6/1/>037 term Bond 1 38,480.000 3.16OI%II 3.160V, 100.000 6/1/2038 lent, Bond 1 39,700.000 3.160% 3.160% 100.000 6/1/2039 Term Bond 1 39,2601100 3.160% 31160% 100-000 6/1/2040 Term Bond 1 38,200.000 3A60% 3.160% 100.00D 6/1/2041 Term Bond 1 38,060.000 1160% 3A60% 100.000 6/1/2042 Term Bond 1 25,100MO 3.160% 3.160% 100.000 6/1/>043 Term Rond 1 24,375.000 3.160% 3.160% 100.000 6/1/>044 term Bond 1 >0,90>.000 3.160'sb 3.i601A 100.000 6/1/7045 Term Rond 1 - '4160% 3.160% - 6/1/2046 Term Bond 1 - 3A60% 3A600A - 6/1/2047 Term Bond 1 - 3.260% 3.260% - 6/1/2048 Term Bond 1 - 3.260% 3.260% - 6/1/2D49 Tenn Bond 1 - 3.260'i6 3.260''A - 6/1/2050 Term Rond 1 - 3.260% 3.26056 - 6/1/2OS1 Term Bond 1 1260% 3.2600/ Total City Council 23 - 157 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 4 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Annual Debt Service Fiscal year Principal Interest Debt Service 2022 21,730.000 14,491.46R 36,211.468 2023 11,705.000 16,406.610 28,111.610 2024 14,765.000 16,351.596 31,116.596 2025 11,30b.000 16,248.241 33,553.241 2026 17,140.000 16,0S2.695 33,192.695 2027 16,995.o00 11,824.733 32,R 19.733 2028 16,900.000 1S,S39.217 32,439.217 2029 26,080.000 15,221.497 41,301.497 2030 32,170.000 14,660.777 46,830.777 2031 32,895.000 13,936.952 46,831952 2032 33,66C7000 13,163919 46,R239I)N 2033 34,450.000 12,335.249 46,R29.249 2034 3S,370.000 11,459.7S4 46,829.7S4 2035 36,310.000 10,522.449 46,832.449 2036 37,310.000 9,523924 46,83,1924 )037 38,480.000 8,3449)8 46,8)49)8 2038 39,700.000 7,128.960 46,828.960 2039 39,2(i0A00 5,874.440 45,134440 2040 38,200.000 4,633.824 42,833.824 2041 38,060.000 3,426.704 41,486,704 2042 25,100.000 2,224.008 27,324008 )043 24,375.000 1,430.848 )5,805.848 )044 )0,90n.000 660.598 )1,ti6�.593 2045 - - - 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 20S1 Total 648,905.000 245,457.388 894,362.388 City Council 23 — 158 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page S of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Debt Service by Financing Fiscal year Miscellaneous Safety Total 2022 19,OS8.015 17,1S3.4S3 36,211.468 2023 8,197.143 19,914.467 28,111.610 2024 9,406.122 21,710.475 31,116.596 2025 9,9b1.161 23,592.0/5 - 33,553.241 2026 9,739.328 23,453.367 - 33,192.69S 2027 11,716527 21,103.206 32,819311 2028 12,21SJ27 20,223,490 32,439.217 2029 16,286.647 25,014.8S0 - 41,301A97 2030 18,519.555 28,311.222 - 46,830.777 2031 18,421.205 28,410.747 - 46,831.952 2032 18,514k95 28,309.025 - 46,R23919 2033 18,500.080 28,329A70 - 46,829.249 2034 17,023A07 29,806.647 - 46,8293S4 2035 18,526.487 28,305.962 - 46,832.449 2036 18,520.912 28,313.012 - 46,833.924 2U37 18,341. P6 n,483.60) - 46,824.928 2038 17,022.102 29,806.858 - 46,828.960 2039 1S,723.948 29,410.492 - 45, 134.440 2040 14,632.022 28,201.802 - 42,833.824 2041 13,880.636 27,606.068 - 41,486.704 2042 7,389.678 19,934330 - 27,324.008 2043 5,275.848 2U,530.000 - 25,805.848 2044 2,836.900 18,128.698 - 7045 - - - - 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 2051 Total 319,709.374 574,653.014 - - 894,362.388 City Council 23 — 159 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 6 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Debt Service Miscellaneous Safety Total 2022 36,211.468 36,211.468 2023 28,111.610 12,9S7.869 0.000 41,069.479 2024 31,116.596 13,100.589 44,217.185 202D 33,553.241 13,2/1.450 - 46,924.691 2026 33,192.695 13,633.279 - 46,825.974 2027 32,819.733 14,00;.0;9 46,824.792 2028 32,439.217 14,387.063 46,826.279 2029 41,301.497 S,S23.743 - 46,825.240 2030 46,830.777 - - 46,830.777 2031 46,831.9S2 - - 46,931.952 2032 46,823.919 - - 46,923-919 2033 46,829.249 - - 46,829.249 203A 46,829.754 - - 46,829.754 2035 46,832.449 - - 46,832.449 2036 46,833.924 - - 46,833.924 7037 46,824.928 - - 46,824-9>8 2039 46,828.960 - - 46,823-960 2039 45,134.440 - - 45,134.440 2040 42,833.824 - - 42,833.824 2041 41,486.704 - - 41,486.704 2042 27,324.008 - - 27,324.008 2043 25,805.848 - - 25,805.048 1044 21,565.598 - - 21,565.598 2045 - - - - 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 20S1 Total 894,362.388 86,879.052 0.000 - 981,241.440 City Council 23 — 160 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 7 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Miscellaneous Safety Total 2022 19,OSR.O15 17JS3.4S2 36,211.468 2023 21,15S.012 19,914.467 41,069.479 2024 22,506.710 21,710.475 44,217.185 2025 23,232.b1b 23,592.0/S 46,924.691 2026 23,372.607 23,4S3.367 46,825.974 2027 25,7215RG 21,10320E 46,824.792 2028 26,602J90 20,223.490 46,826.279 2029 21,810.390 25,014.8SO 46,825.240 2030 18,519.555 28,311.222 46,830.777 2031 18,421.205 28,410.747 46,931.952 2032 1k,514.k95 2k,.1M 025 46,921 919 2033 18,SOO.ORO 28,329A70 46,829.249 203A 17,023A07 29,80E647 46,829.754 2035 18,52&487 28,305.962 46,832.449 2036 18,520.912 28,313.012 46,833.924 2037 18,;41.P6 n,483.60) 46,824.9>8 2038 17,022.102 29,806.858 46,823-960 2039 1 S,723.94R 29,41 O.492 45,134.440 2040 14,632.022 28,20L802 42,833.824 2041 13,88&636 27,60&068 41,486.704 2042 7,389.678 19,934330 27,324.008 2043 5,275.848 2U,530.000 25,805.048 2044 2,836.900 18,/M.698 21,565.598 7045 - - - 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 2051 Total 406,588.426 574,653.014 - - 981,241.440 City Council 23 — 161 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 8 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 56,216.012 (36,211.4681 20,004.544 20,165.931 2023 61,071.833 (12,957.869) (28,111.610) 20,002.355 19,390.620 2024 64,221.346 (13,100.589) (31,116.596) 20,004.161 18,878.698 2025 61,531.864 (13,2/1.450) (33,SS3.241) 20,707.173 19,009.504 2026 69,529.201 (13,633.279) (33,192.695) 22,703.228 20,227.318 2027 71,395.317 (14,005AS9) (32,R 19. 733) 24,S70.S26 21,251.214 2028 72,927.794 (14387.063) (32,439. 217) 26,101.514 21,921A60 2029 69,282.413 (5,523.743) (41,301.497) 22,457.173 18,446.526 2030 71,117.721 - (46,830.777) 24,286.944 19,416.779 2031 73,027.521 - (46,831.952) 26,195.569 20,328.625 2032 67,89S. F67 - (46,823. 919) 21,071.749 15,961.052 2033 67,036.95A - (46,829.249) 20,207.709 14,892.551 2034 61,813.905 - (46,829.7S4) 14,984.151 10,820.2S9 2035 59,692.424 - (46,832.449) 12,859.975 9,074.548 2036 56,436917 - (46,833.924) 9,602.993 6,670.190 7037 50,733.458 - (46,8)4.928) 3,908-530 7,8>9.238 2038 118,123.557 - (46,828.960) 1,294.597 1,123 061 2039 4S,140.3SR - (45,1 34 440) 5.918 302. 931 2040 42,838.845 - (42,833. 824) 5.021 282.886 2041 41,490.921 - (41,486,704) 4.217 270.219 2042 27,326.929 - (27,324 008) 2.921 173160 )043 )5,8v,)61 - p5,805.848) 6.413 163.481 )044 )1,568.340 - O1,}fia.S9$) 2.742 133.391 2045 4,S58.7S➢ - - 4,558.752 2,329.124 2046 1,158.317 - - 1,158.317 575.099 2047 104.981 - - 104.981 50.652 2048 _ _ _ _ 2049 2050 20S1 Cash On Hand 4.2S3 4.2S3 Total 1,298,053.610 (86,879.052) (894,362.388) 316,816.423 264,693.169 City Council 23 — 162 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 9 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 26,113.042 (19,0SR01S) 7,055.027 7,34S 712 2023 28,212.056 (12,957.869) (8,197A43) 7,057.045 6,507.624 2024 29,562.724 (13,100.589) (9,406.122) 7,056.014 6,110.672 2025 30,992.098 (13,2/1.450) (9,961.16/) 7,759.482 b,2/8.042 2026 31,910.742 (13,633.279) (9,739.328) 8,538.135 6,439.270 2027 32,768J82 (14,005AS9) (11,716,_527) 7,047.196 5,02G,4G5 2028 33,6SOA18 (14,387.063) (12,21S.727) 7,047.628 4,709. 199 2029 28,951.341 (5,523.743) (16,286. 647) 7,140.951 4,S24.805 2030 29,701976 - (18,519.555) 11,184.421 6,546.286 2031 30,SO1.330 - (18,421.205) 12,080.125 6,591.622 2032 26,643217 - (1R,514_R95) 8,128323 4,219_lk7 2033 26,135.643 - (1k,S00.Ok0) 7,635-564 3,716.RS6 2034 23,677362 - (17,023. 107) 6,654.255 3,036.720 2035 22,594.351 - (18,526.487) 4,067.864 1,817.149 2036 21,070.280 - (18,520.912) 2,549.368 1,131.314 2037 18,09.;89 - (18,341.3)6) 88-063 192.787 2038 17,025.951 - (17,022.102) 3-849 111a-302 2039 1S,729.153 - (15,723. 948) 5.205 "12S.7SR 2040 14,633.708 - (14,632.022) 1.686 110.726 2041 13,883.678 - (13,880,636) 3.042 99.486 2042 7,392.007 - (7.389.678) 2.329 49.685 2043 5,279.598 - (5,)75.840) 3.750 33.977 2044 2,83/.096 - p,83('.900) 0.196 16.9,)2 2045 - - - - - 2046 - - - - - 2047 - - - - - 2048 - - - - - 2049 - - - - - 2050 - - - - - 2051 Cash On Hand 3.961 3.961 Total 517,697.940 186,879.052) (319,709.374) 111,113.474 74,777.556 City Council 23 — 163 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 10 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 30,102.970 (17,153.453) 12,949.517 13,006.567 2023 32,859.777 (0.000) (19,914.467) 12,945.310 12,062.042 2024 34,658.621 (21,710.475) 12,948.147 11,320.922 2025 3b,S39./66 - (23,592.0/5) 12,947.691 10,618.212 2026 37,618.460 - (23,453.367) 14,165.093 10,822.985 2027 3A,626535 (21,1M 206) 17,523.330 12,392.894 2028 39,277.376 (20,223.490) 19,053.886 12,SS9A2S 2029 40,331.072 - (25,014. 850) 15,316.222 9560.539 2030 41,413.745 - (29,311.222) 13,102.523 7,741.413 2031 42,526.191 - (28,410.747) 14,115.444 7,774.393 2032 �11,252 150 - (2A,309 02S) 12,94342S 6,6932AA 2033 A0,901.314 - (2A,329. 170) 12,572.145 6,085. S70 203A 3A,13 G.SA3 - (29,806.6d7) 8,329.896 3,883.741 2035 37,098.073 - (28,305.962) 8,792.111 3,803.012 2036 35,366.637 - (28,3li.U12) 7,053.625 2,906.466 2037 3>,304.070 - ()8 n83.602) 3,820.468 1,584.608 2038 31,09z606 - (29,R06.858) 1,290.748 666.601 2039 29,411.20S - (29,410.492) 0.713 227.93R 2040 28,20SA37 - (28,201.802) 3.335 209A 17 2041 27,607.244 - (27,606,068) 1.176 192.938 2042 19,934.922 - (19,934330) 0.592 130 493 2043 2Q537.663 - p0,530.000) 2.663 128.533 2044 18,/31.M4 - (1R,/)8,69R) 2.546 11/.19) 2045 4,S9,A.7S➢ - - 4,558.752 931.900 2046 1,1558 317 - - 1,158.317 221279 2047 104.981 - - 104.981 18.744 2048 _ _ _ _ 2049 2050 2051 Cash On Hand 0.293 0.293 Total 780,355.670 (0.000) (574,653.014) 205,702.949 135,655.964 City Council 23 — 164 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 11 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year Savings - Misc. GF Allocation Savings - Safety GF Allocation Savings to GF 2022 7,055.027 100.000% 12,949.S17 100.000% 20,004.544 2023 7,057.045 100.000% 12,945.310 100.000% 20,002.355 2024 7,056.014 100.000% 12,948.147 100.000% 20,004.161 2025 /,/b9.482 100.000% 12,94/.691 100.0001/ 20,707.173 2026 8,538.135 100.000% 14,16S.093 100.0000/ 22,703.228 2027 7,1147196 100.000% 17, S23330 100.00011/ 24,570.52G 2028 7,047.628 100.000% 19,053.SR6 100.000% 26,101.S14 2029 7,140.951 100.000% 15,316.222 100.000% 22,457.173 2030 11,184.421 100.000% 13,102,523 100.00006 24,286.944 2031 12,080.125 100.000% 14,115.444 100.0000/ 26,19S.569 2032 8,128.32:i 100.00(1°% 12,943A2S 100.000% 21,071.749 2033 7,6:1 .S64 100.000% 12,S72. 14S 100.000'% 20,207.709 203A GGS4.2SS 100.000% 8,329.896 100.000% 14,984.151 2035 4,067.864 100.000% 8,792A11 100.000% 12,859.975 2036 2,549.368 100.000% 7,053.626 100.000% 9,602.993 )O37 88.063 100.000% 3,8)0.468 100.00094 3,908.530 2039 ]18,19 100.0001A 1,290.748 100.000Yo 1,294.597 2039 5205 100-000% OJ13 100M0"% 5.918 2040 1.686 100.000% 3.33S 100.000% 5.021 2041 3.042 100,000% 1.176 100.000% 4.217 2042 2329 100.000% 0.592 100.000% 2.921 )043 3.750 100.000/ ).663 100.000% 6.413 )044 0.196 100.0001% ).746 100.000'X, 2.742 2045 - "100.000% 4,558.7S7 100.000% 4,558.752 2046 - 100.000% 1,158.317 100.000% 1,158.317 2047 - 100.000% 104.981 100.0001/ 104.981 2048 - 100.000% - 100.000% - 2049 - 100.0001k - 100.0001A - 2050 - 100.000% - 100.000% - 20S1 100.000°/a 100.000% To be Updated with City's feedback Cash On Hand 3.961 100.000% 0.293 100.0000/ 4.253 Total 111,113.474 100.000% 205.702.949 100.000% 316,816.423 City Council 23 - 165 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 12 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Fiscal year FY22 UAL CFy UAL Budget Benchmark Total Obligation Savings 2022 56,216012 S6,216.012 56,216.012 36,211.468 20,004.544 2023 56,216.012 61,071.833 56,216.012 41.069.479 15,146.534 2024 56,216.012 64,221.346 56,216.012 44.217.185 11,998.827 2025 5b,21b.012 b/,631.8b4 56,216.U12 4b,824.691 9,391.321 2026 56,216.012 69,529.201 56,216.012 46,82S.974 9,390.039 2027 56,210.012 71,395.317 56,216, 012 46,A24.792 9,391.221 2028 56,216.012 72,927J94 56,216 012 46,92G279 9,389.733 2029 56,216.012 69,282.413 56,216.012 46,825.240 9,390.772 2030 56,216.012 71,117.721 56,216.012 46,830.777 9,385.236 2031 56,216.012 73,027.521 56,216.012 46,831952 9,384.061 2032 56,216I112 67,A95.667 S6,21[;_012 46,A23919 9,392-093 2033 56,216.012 67,03(iSSA S6,216 012 46,829.249 9,386-763 2034 S6,216.012 61,813.905 56,216.012 46,829.754 9,386.258 2035 56,216.012 59,692.424 56,216.012 46,832.449 9,383.563 2036 56,216.012 66,436.917 56,216.012 46,833924 9,382.088 )037 56,216.01> 50,733.458 50,733.458 46,8)49)8 3,908.530 2038 56,216.012 48,123.557 48,121557 46,828.960 1,294.597 2039 %,21&012 45,140.3S8 45,140.3S8 45,134.440 5.918 2040 56,216.012 42,838.845 42,838.84S 42,833.824 5.021 2041 56,216.012 41,490.921 41,490,921 41486.704 4.217 2042 56,216.012 27326.929 27.126.929 27,324.008 2.921 7043 56,)16.01) 25,812.)61 )5,81 ),)61 )5,805.848 6.413 )044 56,>t6.Ot7 )1,;68.340 )1,"68.340 )t,y6b.593 2.742 2045 56,21601) 4,SSA.752 4,558.75) - 4,558.752 2046 56,216.012 1jS&317 1,158.317 - 1,158.317 2047 56,216.012 104.981 104.981 - 104.981 2048 56,216.012 - - - - 2049 56,216.012 - - - - 2050 56,216.012 - - - - 2051 56,216.012 Total 1,686,480.368 1,298,053.610 1,152,096.902 981,241.440 170,855.462 City Council 23 — 166 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 13 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Simulation Analysis Assumptions Expected Annual Return 7.000% Annual Volatility 12.000% Results Probability of Success Average Presrnt Valuc Bcncfit Percentiles PS 1125 PS0 P7S P9S rno u <amri nro n 011 ❑ I ou (isc� of 86.10% 209,034.346 Discounted at Actuarial Discount Rate (56,493802) (5% of outcomes less than) 45,546.592 (25% of outcomes less than) 149,668.678 (Median) 29S,852.997 (25% of outrnmes greater That)) 668,146.338 (51Y. of outcomes greater than) "IPAuIA w! I M,(ORpI fll o Nv vv 6[ m I l li Base Case Stress Test 1 Stress Test 2 Stress Test 3 20% in First Year, 7%Annual Returns 7%After 6%Annual Returns 5%Annual Returns PV Benefit 210,433.520 210,433.520 210,433.520 210,433.S20 PV futwe UALs due to Act Losses - (160,030373) (73,798.6SS) (13D,933294) Net PV Benefit 210,433.520 50,403.147 136,634.865 79,500.226 Net PV Benefit I% of Par Amount) 32.4% 7.8% 21.1% 12.3% City Council 23 — 167 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 14 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Stress Test - Future UALs Attributable to O: Stress Test 1 1W 000 10 000 60 000 5� 000 'u 40 Ot70 � so 000 10.000 wxaaae U� n., iu¢ lr i , 1, JdII , [JAL <- rtr, ; Gas 1 IIAt i w me Lif1L Stress Test 3 W) 000 /0 000 ., r,n,non so non na,uuu �� v.r'rcttn D,- 3 I. l4 ,fu lued IJAL + 't e I sl i JAL "I Ia n I [,% City Council 23 — 168 5/18/2021 BofA Securities - Preliminary Analysis 311012021 Page 1S of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2006 (1,483.984) (1,481.984) Benefit Change 2007 25,025.094 25,025.094 Benefit Change 2007 119.441 119.441 Assumption Change 2009 2/,25/.4/5 - 27,257.475 Special(Gain)/Loss 2009 29,176.611 (29,176.611) - Spcciel(Gain)/Loss 2010 10,760.315 (10,76,0.315) - Assumption Change 2011 12,363.217 12,363.217 Special(Gain)/Loss 2011 (7,365.492) - (7,365.492) Payment(Gain)/Loss 2012 5,629.243 (5,629.243) - (Gain)/Loss 2012 (264.240) - (264.240) (Gain)/Luss 2013 100,132646 (100,132(;46) - Assumptirn) Change 2014 L3,S07AA2 - 43,507.182 (Gain)/Loss 2014 (63,657365) - (63,657.365) (Gain)/Loss 2015 32,663.590 (32,663.590) - Assumption Change 2016 16,168.642 - 16,168.642 (Gain)/loss )016 ;8,544.4)0 - 38,544.420 Accumpl,iori Change 2017 11,911 A21 - 13,911.421 (Gain)/Loss 2017 (21,744.346) - (21,744.346) Method Change 2018 6,562A27 (6,562A27) - Assumption Change 2018 31,746.753 (31,746.753) - (Gain)/Loss 2018 (13,468.613) - (13,468.613) Al Significant Increase" )019 141.851 (141.851) - Non-investment(Gam)/I o$s )019 ),9/4.088 (1,rSS.14)) 1,218.946 InVe5lmpm (G81n)/I nss 2019 4,003.293 (4,003.793) - Total 292,703.672 (222,571.872) 70,131.800 City Council 23 — 169 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 16 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2005 (2,800.549) (2,800.549) Benefit Change 2006 1,500.690 (1,500.690) - Assumption Change 2009 14,083.767 (14,083.767) - 5peLial(Gain)/Loss 2009 31,/69.094 (31,/69.094) Special(Gain)/Loss 2010 (11,745.462) - (11,745.462) ASSnr➢ption Change 2011 SS,3SS.R0, (1;,3SiROS) - Spocial (Gain)/Loss 2011 (4,36S.942) (4,365.942) Payment (Gain)/Loss 2012 8,239.758 (8,239.758) - (Gain)/Loss 2012 74,443.250 (74,443.250) - (Gain)/Loss 2013 140,365.987 (2,02S.S14) 138,340.472 Assumption Change 2014 52,003.240 (52,)03.24n) - (Gain)/Loss 2014 (R4,279949) - (84,279-949) (Gain)/Loss 201S 59,130S.689 (59,ROS.GR9) - Assumption Change 2016 19,756.175 (19,756A75) - (Gain)/Loss 2016 S1,205.324 (S1,205.324) - A55Umption Change )017 )3,218.574 O3,)18. 574) - (Gain)/Lws 2017 (33,611.702) - (33,611.702) Mpthod Change 2018 S,497.197 (S,497.157) - Assumption Change 2018 40,053.249 (40,053.249) - (Gain)/Loss 2018 (1,536.868) - (1,536.868) Non-investment(Gain)/Loss 2019 5,058J05 (5.058705) - lnvestment(Gain)/Loss )019 4,675.386 (4,675.386) - Total 408,691.378 (408.691.378) 0.000 City Council 23 — 170 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 17 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Base Case BOFA SECURITIES, INC. IS NOT YOUR MUNICIPAL ADVISOR OR FIDUCIARY. BofA Securities, Inc. ("BofA") is providing the information contained herein for discussion purposes only either as an underwriter or in anticipation of being engaged to serve as an underwriter. By providing the information contained herein pursuant to the participation by an independent registered municipal advisor exemption provided under SEC Rule i5Ba1.1(d)(3)(vl) and the underwriter exclusion provided under SEC Rule 350at-1(d)(2)(I), BofA Is not acting as yaw"municipal advisor" within the meaning of Section 15D of the Securities Exchange Act of 1934, as amended (the "Act"), and does not owe a fiduciary duty to you pursuant to the Act with respect to the Information and material contained in this communication. BufA Is either serving as an underwriter or is seeking to serve as an underwriter on a future transaction and not as a financial advisor or municipal advisnr. The primary mle of RnfA, as an underwriter, is to purrhase serurifies with a view to distribution in an arms -length rnmmerrial transaction between you and DofA and DofA has financial and other Interests that differ from yours. DofA Is acting for Its own interests. You should discuss any information and material contained in this communication with any and all of your own internal or external munlcipal and/or financial, legal, accounting, tax and other advisors and experts, as applicable, to the extent you deem appropriate before acting on this information or material. This material has been prepared by the Public Finance Group and is not a research report and is not a product of the fixed income research department of BofA. This material is for information purposes only, is intended solely for your use, and may not be reproduced, disseminated, quoted or referred to in whole or In part, without our written consent. This material does not constitute an offer or solicitation to sell or purchase any securities and is not a commitment by BofA Securities or any of its affiliates to provide or arrange any financing for any transaction or to purchase any security in connection therewith. The calculations contained herein are based upon assumptions and information that either you or your advisors provided to BofA or which BofA deems in its sole discretion to be appropriate. BofA makes no representation or warranty as to the accuracy or completeness of this material or these calculations and any and all liability to you or any third parties relating to this material or the calculations is expressly disclaimed. The material and calculations made available to you may not be similar to the Information generated by BofA or Its affiliates proprietary models or valuations that are used for its own purposes or to the models or valuations available from other sources including from other dealers. BofA assumes no obligation to update or otherwise revise these materials. Values generated by the data or calculations may not reflect actual prices or values that can be obtained in the market at that time and the calculations should not be relied upon for any tax, accounting, legal or other purpose. City Council 23 — 171 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 18 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Section Page Summary of Rrsults 2 Sources & Uses 3 Bond Pricing 4 Annual Debt Service S Debt Service by Financing 6 Toted Annual Payments Post Financing 7 Total Annual Ohligation by Plan Post Financing 8 Total Savings Analysis 9 Savings- Miscellaneous Plan 10 Savings - Safety Plan 11 Savings - General Fund Allnration 12 Arljustacl Budgetary Savings 13 Simulation Analysis 14 Stress Test - Future UALs Attributable to POBs 15 UAL Selection MiscellaneouS 16 LIAI Selection Safety 17 Uiselaimer 18 City Council 23 — 172 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 1 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Long -Term UAL Funded by POB % UAL Funded Balance 6/30/22 Deposit Total Par Amount 648,90S.000 Total UAL Funded 631,263.250 90.00% 701,395.050 591,634.604 MiscelldrieuuS 222,5/1.8/2 /6.04% 292,/03.b/2 208,699.53b Safety 408,691.378 100.00% 408,691.378 383,035.067 Summary Statistics Total Miscellaneous Safety Average Life 13.0 years 12.0 years 13.6 years TIC 2.8S7% 2.808% 2.882% All -in TIC 2.R7R% 2.R31%, 2OOW Financial PV savings I%of Par) 40.14% 3819% 41.25% Financial PV Savings 260,471.814 89,70SA17 170,763398 Cumulative Savings 311,127.629 107,120.761 204,006.868 Budgetary Savings (vs; tY22 UAL) 136,067.118 Savings(FY»-)6) 102,595.058 35,340.898 10),595.058 IVlaxiniurn Annual Debt Service 47,2:38. 7, fO 19,060.874 30332.:M2 Maximum Annual Total Obligation 47,238 786 26,532.866 30,332.342 Actuarial PV Savings I%of Par) 3198% 30A3% 32.870/ Actuarial PV Savings 207,541.398 71,474.280 136,067.118 30,n J(1 ............... Qn 0 5(IAu(1 40,000 3p,CRln f0,Of10 '. r etn Suvim - [J", and=d UAL tLsrent Jn ....... Y! 1 LAL O: Deposit calculation Deooslt Date 7/15/2021 DcposiL Discount FacLor 0.937223 Miscellaneous Safety Total POB Proceeds 208,599.536 383,035.067 - 591,634.604 1)1®cuunt1n9 (Actuarial RaLe) 13,972.336 25,656.311 - 39,628.646 UAL Payment 222,S71.872 408,691378 - 631,263.2S0 City Council 23 — 173 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 2 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $OOO5 Sources & Uses Miscellaneous Safety Total Sources: Par Amount 234,905.000 414,000.000 648,905.000 Premium / (Di' Count) Other Sources - - - - Total Sources 234,905.000 414,000.000 - 648,905.000 Uses: FY22 UAL Prepayment 25,244.430 29,101.640 - 54,346.070 POB Deposit 208,599.536 383,035.067 - 591,634.604 Capitalized Interest - - - - Underwriter'sDintount r2k_536 931500 - 1,A60.O36 Costa of Issuance 52k.536 931.500 - 1,A60.O36 Additional Proceeds 3.961 0.293 Total Uses 234,905.000 414,000.000 - 648,905.000 Average Life 1).0 years 13.6 years 13-0 years TIC 2.803% 2.882% 2-857% All -in TIC 2.831% 2.903% 2.878% Bond Structure Dated Date 7/15/2021 7/15/2021 First Payment 6111202) 6/1 /2022 First Maturity 6/1/)02) 6/1/20)2 Final Maturity 6/1/2044 6/1/2044 Capitalized Interest Until Structure Par Amount Coupon Price Final Maturity Avg. Life Serials 346,395.000 2.295% 100.000 6/1/2035 8.2 years Term Bond 1 302,510.000 3A60% 100.000 6/1/2044 18.4 years Term Bond 2 - 100.000 1/0/1900 Total 648.905.000 2.867% 100.000 6/1/2044 13.O vears City Council 23 — 174 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 3 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Maturity Component Principal Coupon yield Price 6/1/2022 Serials 21,97S.000 0.420% 0.420% 100. DOD 6/1/2023 Serials 15,290.000 0.470% 0.470% 100.00D 5/1/2024 Serials 18,510.000 0.700% 0.700% 100.000 b/1/2025 Serials 21,b60.000 1.130% 1.130% 100.000 6/1/2026 SerialS 21,90S.000 1.330% 1.330°% 100.000 6/1/2027 Serials 22,195.000 1.6R0% 1.6RO55 100.ODD 6/1/2029 Serials 22,S6S.000 1.RR0% 1BR0% 100.000 6/1/2029 Serials 22,990.000 2A50% 2A50% 100.000 6/1/2030 Serials 23,485.000 2.250% 2.250% 100.000 6/1/2031 Serials 24,01S.000 2350% 2.3S0% 100.000 6/1/2032 Serials 24,SHn.000 2.4C;O% 2.4SO% 100.000 6/1/2033 Serials 34,R3S.0n0 2.SSOX 2.SSO% 100.000 6/1/2034 Serials 35,720MO 2.650% 2.650% 100.00D 6/1/2035 Serials 36,670.000 2.750% 2.750% 100.00D 6/1/2036 term Bond 1 37,675.000 3A60% 3.160% 100.000 6/1/>047 term Bond 1 38,870.000 3.16OI%II 3.160V, 100.000 6/1/2038 lent, Bond 1 40,080.000 3.160% 3.160% 100.000 6/1/2039 Term Bond 1 39,2451100 3.160% 31160% 100-000 6/1/2040 Term Bond 1 38,200.000 3A60% 3.160% 100.00D 6/1/2041 Term Bond 1 38,060.000 1160% 3A60% 100.000 6/1/2042 Term Bond 1 25,100MO 3.160% 3.160% 100.000 6/1/)043 Term Rond 1 24,375.000 3.160% 3.160% 100.000 (,/1/>044 term Bond 1 )0,90>.000 3.160'sb 3.i601% 100.000 6/1/)045 Term Rond 1 - '4160% 3.1600/ - 6/1/2046 Term Bond 1 - 3A60% 3A600A - 6/1/2047 Term Bond 1 - 3.260% 3.260% - 6/1/2048 Term Bond 1 - 3.260% 3.260% - 6/1/2D49 Tenn Bond 1 - 3.260'i6 3.260''A - 6/1/2050 Term Rond 1 - 3.260% 3.26056 - 6/1/20S1 Term Bond 1 1260% 3.2600/ Total City Council 23 - 175 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 4 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Annual Debt Service Fiscal year Principal Interest Debt Service 2022 21,975000 14,236.497 36,211.497 2023 15,290.000 16,126.499 31,416.499 2024 18,510.000 16,054.636 34,564.636 2025 21,660.000 15,925.Obb 3/,585Abb 2026 21,905.000 15,680.308 37,585.308 2027 22,19 5.000 11,38R.972 37, SR3.972 2028 22,56S.000 15,016.096 37,SR1.096 2029 22,990.000 14,591.874 37,581.874 2030 23,485.000 14,097.589 37,592.589 2031 24,015.000 13,S69.176 37,S84.176 20R2 24,SRC7 000 13,004824 37,SR4R24 2033 34,R35.000 12; 102.614 47,237.614 2034 3S,720D00 11,514321 47,234 321 2035 36,670.000 10,567.741 47,237.741 2036 37,67b.000 9,559316 47,234316 )037 38,870.000 8,368.786 47,)38.786 2038 40,080.000 7,1 QA94 47,220.494 2039 39,245.000 5,873.96(i 45,118.966 2040 38,200.000 4,633.824 42,833.824 2041 38,060.000 3,426.704 41,486,704 2042 25,100.000 2,224.008 27,324008 )043 24,375.000 1,430.848 )5,805.848 )044 )0,90n.000 660.59R )1,ti6�.593 7045 - - - 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 2051 Total 648,905.000 241,494.754 890,399.754 City Council 23 — 176 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page S of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Debt Service by Financing Fiscal year Miscellaneous Safety Total 2022 19,060.R74 17,1S0.623 36,211.497 2023 11,S07.369 19,909.132 31,416.499 2024 12,854.191 21,710.445 34,564.636 2025 14,28/.b01 23,29/.466 - 3/,b8S.066 2026 1S,127.540 22,4S7.769 - 37,58S.308 2027 16,062.266 21,;21.706 37,583.972 2028 16,879.81R 20,701.278 37,SR1.096 2029 12,181.850 25,400.024 - 37,581.874 2030 11,088.073 26,494.516 - 37,582.589 2031 13,797.948 23,786.229 - 37,584.176 2032 ),Ak4230 27,700_S44 - 37,SR4_k24 2033 16,936.k3S 30,300.779 - 47,237.614 2034 1G,935.435 30,298.886 - 47,234321 2035 16,937.623 30,300.119 - 47,237.741 2036 16,937.060 30,297.256 - 47,234.316 2U37 16,939.558 ;0,299.298 - 47,238.786 2039 16,888.152 30332.342 - 47,220.494 2039 1S,729.106 29,389.860 - 45,118.966 2040 14,632.022 28,201.802 - 42,833.824 2041 13,880.636 27,606.068 - 41,486.704 2042 7,389.678 19,934330 - 27,324.008 2043 5,275.848 2U,530.000 - 25,805.848 2044 2,836.900 18,/28.698 - 7045 - - - - 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 20S1 Total 314,050.659 576,349.095 - - 890,399.754 City Council 23 — 177 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 6 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Debt Service Miscellaneous Safety Total 2022 36,211.497 36,211.497 2023 31,416.499 9,653.048 0.000 41,069.547 2024 34,564.636 9,653.048 0.000 44,217.684 202D 37,585.066 9,653.048 0.000 47,238.114 2026 37,585.308 9,653.048 0.000 47,238.356 2027 37,S83.972 9,GS1048 0.000 47,237.020 2028 37,581.096 9,6S3.048 0.000 47,234.144 2029 37,581.874 9,653.048 0.000 47,234.922 2030 37,582.589 9,653.048 0.000 47,235.637 2031 37,584.176 9,653.048 0.000 47,237.224 2032 37,S84.824 9,G53.048 - 47,227.972 2033 47,237.614 - - 47,237.614 2034 47,234.321 - - 47,234.321 2035 47,237.741 - - 47,237.741 2036 47,234.316 - - 47,234.316 7037 47,238.786 - - 47,238.786 2038 47,220.494 - - 47,220.494 2039 45,118.966 - - 45,118.966 2040 42,833.824 - - 42,833.824 2041 41,486.704 - - 41,486.704 2042 27,324.008 - - 27,324.008 7043 25,805.848 - - 25,805.048 1044 21,565.598 - - 21,565.598 2045 - - - - 2046 - - - - 2047 - - - - 2048 - - - - 2049 - - - - 2050 - - - - 2051 Total 890,399.754 96,530.480 0.000 - 986,930.235 City Council 23 — 178 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 7 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Miscellaneous Safety Total 2022 19,060.R74 17JSD.622 36,211.497 2023 21,160.416 19,909.132 41,069.547 2024 22,507.239 21,710.445 44,217.684 2025 23,940.b49 23,29/.4b5 47,238.114 2026 24,780.588 22,4S7.769 47,238.356 2027 25,71-M4 21,;21.70G 47,237.020 2028 26,S32.866 20,701.278 47,234.144 2029 21,834.898 25,400.024 47,234.922 2030 20,741.121 26,494.516 47,235.637 2031 23,4S0.996 23,786.229 47,237.224 2032 19,537.32R 27,700. S44 47,227.972 2033 16,936.R3S 30,300.779 47,237.614 203A 1G,935.435 30,298.886 47,234.321 2035 16,937.623 30,300.119 47,237.741 2036 16,937.060 30,297.256 47,234.316 2U37 16,939.558 ;0,799.298 47,238-786 2038 16,888.152 30,332.342 47,220-494 2039 1 S,729.106 29,389.860 45,118.966 2040 14,632.022 28,201.802 42,833.824 2041 13,880.636 27,606.068 41,486.704 2042 7,389.678 19,934.330 27,324.008 2043 5,275.848 2U,530.000 25,805.048 2044 2,836.900 18,/28.69R 21,565.598 7045 - - - 2046 - - - 2047 - - - 2048 - - - 2049 - - - 2050 - - - 2051 Total 410,581.140 576,349.095 - - 986,930.235 City Council 23 — 179 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 8 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 56,216.012 (36,211.4971 20,004.515 20,165.6S4 2023 61,071.833 (9,653.048) (31,416.499) 20,002.286 19,430.9SS 2024 64,221.346 (9,653.048) (34,564.636) 20,003.661 18,920.003 2025 bl,S31.864 (9,653.U48) (3/,585.066) 20,293.750 16,662944 2026 69,529.201 (9,653.048) (37,585.308) 22,290.845 19,916ASS 2027 71,39;.317 (9,6;3.048) (37,;R3.972) 24,1S8.298 20,954.406 2028 72,927.794 (9,6S3.048) (37,5S1.096) 25,693.650 21,642.705 2029 69,282.413 (9,653.048) (37,581.874) 22,047.491 18,089.392 2030 71,117.721 (9,653.048) (37,582,589) 23,882.084 19,023.052 2031 73,027.521 (9,653.048) (37,584.176) 25,790.297 19,946A16 2032 67,R9S_667 (�3,653I74R) (37,SR4 A24) 20,6S7.79S 15,SR0.936 2033 67,036.95A - (47,237. 614) 19,799.344 14,608.713 2034 61,813.905 - (47,234321) 14,579.584 10,545.656 2035 59,692.424 - (47,237.741) 12,454.683 8,806.823 2036 56,436917 - (47,234.316) 9,202.601 6,412.227 7037 50,733458 - (47,238. 786) 3,494.67) 7,567.734 2038 48,123.557 - (47,220.494) 903.063 831.6117 2039 4S,140.3SR - (45,118. 966) 21.392 311.992 2040 42,838.845 - (42,833. 824) 5.021 282.679 2041 41,490.921 - (41,486,704) 4.217 270.033 2042 27,326.929 - (27,324 008) 2.921 173.049 7043 )5,817.)61 - p5,805.848) 6.413 163.387 )044 )1,}68.340 - p1,ti6�a98) 2.742 133.318 7045 4,S9,R.7S➢ - - 4,558.752 ),3:O (i37 2046 1,158.317 - - 1,158.317 575.746 2047 104.981 - - 104.981 50.711 2048 _ _ _ _ 2049 2050 2051 [ash On Hand 4.253 4.253 Total 1,298,053.610 (96,530.481) (890,399.754) 311,127.629 260,471.814 City Council 23 — 180 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 9 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 26,113.042 (19,060. 8741 7,052.168 7,343.019 2023 28,212.056 (9,653.048) (11,507.368) 7,051.641 6,590.553 2024 29,562.724 (9,653.048) (12,854.191) 7,055.485 6,196.319 2025 30,992.098 (9,653.048) (14,28/.601) 7,051.449 5,81/.469 2026 31,910.742 (9,653.048) (15,127.540) 7,130.154 5,513.681 2027 32,768J22 (9,653.048) (16,06.2266) 7,053.468 5,119542 2028 33,6S0.419 (9,6S3.048) (16,R79.818) 7,117.S52 4,944.420 2029 28,951.341 (9,653.048) (12,181.850) 7,116.443 4,448.684 2030 29,701976 (9,653.048) (11,088.073) 8,962.855 5,183.634 2031 30,501.330 (9,6S3.048) (13,797948) 7,050.334 3,877334 2032 26,643217 (�3,653I743) ((),AM 2R0) 7,105-889 3,600515 2033 26,135.643 - (16,936. 835) 9,198-808 4,417927 2034 23,677362 - (16,935 415) 6,741.927 3,074.3S2 2035 22,594.351 - (16,937.623) 5,656.729 2,439.336 2036 21,070.280 - (16,937.060) 4,133.220 1,710.637 2037 18,09.;89 - (16,939. 558) 1,489-831 671.774 2038 17,025.951 - (16,888.152) 137.799 136.077 2039 1S,729.153 - (15,729.106) 0.047 "124.219 2040 14,633.708 - (14,632.022) 1.686 110.726 2041 13,883.678 - (13,880,636) 3.042 99.486 2042 7,392.007 - (7.389.678) 2.329 49.685 2043 5,2711.598 - (5,)75.840) 3.750 33877 2044 2,83/.096 - p,83('.900) 0.196 16.9,)2 2045 - - - - - 2046 - - - - - 2047 - - - - - 2048 - - - - - 2049 - - - - - 2050 - - - - - 2051 [ash On Hand 3.961 3.961 Total 517,697.940 196,530.480) (314,050.659) 107,120.761 71,474.280 City Council 23 — 181 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 10 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Prior UAL Unrefunded UAL Debt Service Savings PV Savings 2022 30,102.970 (17,150. 6231 12,952.347 13,009.234 2023 32,859.777 (0.000) (19,909A32) 12,950.645 12,065.840 2024 34,658.621 (0.000) (21,710.445) 12,948.176 11,320.095 2025 3b,S39./bb (0.000) (23,29/.4bS) 13,242.301 10,844.011 2026 37,618.460 (0.000) (22,457.769) 15,160.691 11,537.881 2027 3A,62G535 (0.000) (21,S21706) 17,104.830 12,110.812 2028 39,277.376 (0.000) (20,701.272) 18,S76.098 12,2SR.373 2029 40,331.072 (0.000) (25400.024) 14,931.048 9,333.974 2030 41,413.745 (0.000) (26,494.516) 14,919.229 8,737.166 2031 42,526.191 (0.000) (23,786.229) 18,739.962 10,143.839 2032 41,252.450 - (27,700.544) 13,SS1.906 6,9A2939 2033 40,901.314 - (30300.779) 10,600.536 S,201.210 2034 3A,13 G.543 - (30,298. 886) 7,837.657 3,676.4SS 2035 37,098.073 - (30,300.119) 6,797.954 3,022.042 2036 35,366.637 - (30,297.256) 5,069.381 2,180.618 )037 3),304.070 - (30,)9t) M) ),004.84) %4.146 2038 31,09z606 - (3Q332.342) 765.264 4" 793 2039 29,41120S - (29,489-860) 21.345 234.096 2040 28,20SA37 - (28,201.802) 3.335 209A 17 2041 27,607.244 - (27,606,068) 1.176 192.938 2042 19,934.922 - (19,934330) 0.592 130 493 )043 2Q539.663 - p0,530.000) 2.663 1)P.533 2044 18,/31.)44 - (18,/)8,698) 2.546 117.19) 2045 4,S9,R.7 S➢ - - 4,558.752 931.800 2046 1,1558 317 - - 1,158.317 221279 2047 104.981 - - 104.981 18.744 2048 _ _ _ _ 2049 2050 2051 [ash On Hand 0.293 0.293 Total 780,355.670 (0.000) (576,349.095) 204,006.868 136,067.118 City Council 23 — 182 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 11 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year Savings - Misc. GF Allocation Savings - Safety GF Allocation Savings to GF 2022 7,052. 168 100.000% 12,952.347 100.000% 20,004.515 2023 7,051.641 100.000% 12,950.645 100.000% 20,002.286 2024 7,055.485 100.000% 12,948.176 100.000% 20,003.661 202D /,OS1.449 100.000% 13,242.301 100.0001/ 20,293.750 2026 7,130.1S4 100.000% 15,160.691 100.0000/ 22,290.845 2027 7,053.468 100.000% 17,104.A30 100.00011/ 24,1S8.298 2028 7,117.SS2 100.000% 12,S76.098 100.000% 2S,693.6S0 2029 7,116.443 100.000% 14,931.048 100.000% 22,047.491 2030 8,962.855 100.000% 14,919.229 100.000% 23,882.084 2031 7,050.334 100.0009/ 18,739962 100.0000/ 25,790.297 2032 7,105. AAA 1(10.00(1%, 13,SS1.00G 100.000% 20,GS7.74S 2033 109A. A08 100.000% 10,600. S36 100.000'% 19,799.344 2034 6,741.927 100.0001A 7,837.657 100.000% 14,579.584 2035 5,656.729 100.000% 6,797.954 100.000% 12,454.683 2036 4,133.22U 100.000% S,069.381 100.000% 9,202.601 )037 1,489.831 100.000% 7,004.84) 100.00094 3,494.677 2038 1 ]17.799 100.000% 765.264 100.00011/0 903.063 2039 0-047 100-000% 21 345 100.000% 21.392 2040 1.686 100.000% 3.33S 100.000% 5.021 2041 3.042 100,000% 1.176 100.000% 4.217 2042 2329 100 000V 0.592 100.000% 2.921 )043 3.750 100.000% ).663 100.000% 6.413 )044 0.196 100.0001% ).s46 100.000'16 2.742 2045 - "100.000% 4,558.7S) 100.000% 4,558.752 2046 - 100.000% 1,158.317 100.000% 1,158.317 2047 - 100.000% 104981 100.0001/ 104.981 2048 - 100.000% - 100.000% - 2049 - 100.0001k - 100.0001A - 2050 - 100.000% - 100.000% - 20S1 100.000°/a 100.000% To be Updated with City's feedback Cash On Hand 3.961 100.000% 0.293 100.0000/ 4.253 Total 107,120.761 100.000% 204,006.868 100.000% 311,127.629 City Council 23 - 183 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 12 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Fiscal year FY22 UAL LFy UAL Budget Benchmark Total Obligation Savings 2022 56,216012 S6,216.012 56,216.012 36,211.497 20,004.515 2023 56,216.012 61,071.833 56,216.012 41.069.547 15,146.465 2024 56,216.012 64,221.346 56,216.012 44.217.684 11,998.328 2025 5b,21b.012 b/,631.8b4 56,216.U12 4/,218.114 8,977.998 2026 56,216.012 69,529.201 56,216.012 47,233.356 8,977.656 2027 56,21G.012 71,395.317 56,216, 012 47,237.020 9,979.992 2028 S6,216.012 72,927.794 56,216.012 47,234A44 8,981.869 2029 56,216.012 69,282.413 56,216.012 47,234A22 8,981.091 2030 56,216.012 71,117.721 56,216.012 47,235.637 8,980.376 2031 56,216.012 73,027.521 56,216.012 47,237.224 8,978.788 2032 56,216 )12 67,R95.667 S6,21[;_012 47,237 R72 9,978-141 2033 56,216.012 67,03(i9S8 S6,216012 47,23Z614 8,978-399 203A 56,216012 61,813905 56,216012 47,234321 8,981.691 2035 56,216.012 59,692.424 56,216.012 47,237.741 8,978.271 2036 56,216.012 66,436.917 66,216.012 47,234.316 8,981.696 )037 56,216.01> 50,733.458 50,733.458 47,738.786 3,494.677 203R 56,216.012 48,123.557 48,121557 47,220AE94 903-063 2039 %,21&012 45,140.3S8 45,140.3S8 45,11 R.966 21.392 2040 56,216.012 42,838.845 42,838.84S 42,833.824 5.021 2041 56,216.012 41,490.921 41,490,921 41486.704 4.217 2042 56,216.012 27326.929 27.126.929 27,324.008 2.921 7043 56,)16.01) 25,81),)61 )5,81 ),)61 75,805.848 6.413 )044 56,>t6.Ot7 )1,;68.340 )1,"68.340 )t,y6b.593 2.742 2045 56,216017 4,5S8.752 4,558.75) - 4,558.752 2046 56,21&012 1jS&317 1,158.317 - 1,158.317 2047 56,216.012 104.981 104.981 - 104.981 2048 56,216.012 - - - - 2049 56,216.012 - - - - 2050 56,216.012 - - - - 2051 56,216.012 Total 1,686,480.368 1,298,053.610 1,152,096.902 986,930.235 165,166.668 City Council 23 — 184 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 13 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Simulation Analysis Assumptions Expected Annual Return 7.000% Annual Volatility 12.000% Results Probability of Success Average Presrnt Valuc Bcncfit Percentiles PS 1125 PS0 P7S P9S rno u <amri nro n 011 ❑ I ou (isc� of 86.15% 206,1S4.594 Discounted at Actuarial Discount Rate (54,479.569) (5% of outcomes less than) 45,305.589 (25% of outcomes less than) 147,263.638 (Median) 290,628. S86 (25% of outrnmes greater That)) 6S7,900.563 (51Y. of outcomes greater than) "IPAuIA w! I M,(ORpI fll o Nv vv 6[ m I l li Base Case Stress Test 1 Stress Test 2 Stress Test 3 20% in First Year, 7%Annual Returns 7%After 6%Annual Returns 5%Annual Returns PV Benefit 207,541.398 207,541.398 207,S41.398 207,S41.398 PV futwe UALs due to Act Losses - (160,042940) (72,732.736) (129,042.386) Net PV Benefit 207,541.398 47,498.458 134,808.662 78,499.011 Net PV Benefit I% of Par Amount) 32.0% 7.3% 20.8% 12.1% City Council 23 — 185 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 14 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Stress Test I 1-1 000 10000 d Illllii� Stress Test 3 W) 'Y'0 /0 000 r,n,non so non v✓�rvnn De- 1i 4 rvie� l4 ,fu lued I JAL `t e I sl i JAL "I Ia n 111% City Council 23 — 186 5/18/2021 BofA Securities - Preliminary Analysis 311012021 Page 1S of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2006 (1,483.984) (1,481.984) Benefit Change 2007 25,025.094 25,025.094 Benefit Change 2007 119.441 119.441 Assumption Change 2009 2/,25/.4/5 - 27,257.475 Special(Gain)/Loss 2009 29,176.611 (29,176.611) - Spcciel(Gain)/Loss 2010 10,760.315 (10,76,0.315) - Assumption Change 2011 12,363.217 12,363.217 Special(Gain)/Loss 2011 (7,365.492) - (7,365.492) Payment(Gain)/Loss 2012 5,629.243 (5,629.243) - (Gain)/Loss 2012 (264.240) - (264.240) (Gain)/Luss 2013 100,132646 (100,132(;46) - Assumptirn) Change 2014 L3,S07AA2 - 43,507.182 (Gain)/Loss 2014 (63,657365) - (63,657.365) (Gain)/Loss 2015 32,663.590 (32,663.590) - Assumption Change 2016 16,168.642 - 16,168.642 (Gain)/loss )016 ;8,544.4)0 - 38,544.420 Accumpl,iori Change 2017 11,911 A21 - 13,911.421 (Gain)/Loss 2017 (21,744.346) - (21,744.346) Method Change 2018 6,562A27 (6,562A27) - Assumption Change 2018 31,746.753 (31,746.753) - (Gain)/Loss 2018 (13,468.613) - (13,468.613) Al Significant Increase" )019 141.851 (141.851) - Non-investment(Gam)/I o$s )019 ),9/4.088 (1,rSS.14)) 1,218.946 InVe5lmpm (G81n)/I nss 2019 4,003.293 (4,003.793) - Total 292,703.672 (222,571.872) 70,131.800 City Council 23 — 187 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 16 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start Amounts in $0005 Amortization Base year Balances UAL Refunded UAL Remaining Fresh Start 2005 (2,800.S49) (2,800.549) Benefit Change 2006 1,500.690 (1,500.690) - Assumption Change 2009 14,083.767 (14,083.767) - 5peLial(Gain)/Loss 2009 31,/69.094 (31,/69.094) Special(Gain)/Loss 2010 (11,745.462) - (11,745.462) ASSnr➢ption Change 2011 SS,3SS.R0, (1;,3SiROS) - Spocial (Gain)/Loss 2011 (4,36S.942) (4,36S.942) Payment (Gain)/Loss 2012 8,239.758 (8,239.758) - (Gain)/Loss 2012 74,443.250 (74,443.250) - (Gain)/Loss 2013 140,365.987 (2,02S.S14) 138,340.472 Assumption Change 2014 52,003.240 (52,)03.24n) - (Gain)/Loss 2014 (R4,279949) - (84,279-949) (Gain)/Loss 201S 59,130S.689 (59,ROS.GR9) - Assumption Change 2016 19,756.175 (19,756A75) - (Gain)/Loss 2016 S1,205.324 (S1,205.324) - A55Umption Change )017 )3,218.574 O3,)18. 574) - (Gain)/Lws 2017 (33,611.702) - (33,611.702) Mpthod Change 2018 S,497.197 (S,497.157) - Assumption Change 2018 40,053.249 (40,053.249) - (Gain)/Loss 2018 (1,536.868) - (1,536.868) Non-investment(Gain)/Loss 2019 5,058J05 (5.058705) - lnvestment(Gain)/Loss )019 4,675.386 (4,675.386) - Total 408,691.378 (408.691.378) 0.000 City Council 23 — 188 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 17 of 18 City of Santa Ana Pension Obligation Bonds Scenario 2 - Fresh Start BOFA SECURITIES, INC. IS NOT YOUR MUNICIPAL ADVISOR OR FIDUCIARY. BofA Securities, Inc. ("BofA") is providing the information contained herein for discussion purposes only either as an underwriter or in anticipation of being engaged to serve as an underwriter. By providing the information contained herein pursuant to the participation by an independent registered municipal advisor exemption provided under SEC Rule i5Ba1.1(d)(3)(vl) and the underwriter exclusion provided under SEC Rule 350at-1(d)(2)(I), BofA Is not acting as yaw"municipal advisor" within the meaning of Section 15D of the Securities Exchange Act of 1934, as amended (the "Act"), and does not owe a fiduciary duty to you pursuant to the Act with respect to the Information and material contained in this communication. BufA Is either serving as an underwriter or is seeking to serve as an underwriter on a future transaction and not as a financial advisor or municipal advisnr. The primary mle of RnfA, as an underwriter, is to purrhase serurifies with a view to distribution in an arms -length rnmmerrial transaction between you and DofA and DofA has financial and other Interests that differ from yours. DofA Is acting for Its own interests. You should discuss any information and material contained in this communication with any and all of your own internal or external munlcipal and/or financial, legal, accounting, tax and other advisors and experts, as applicable, to the extent you deem appropriate before acting on this information or material. This material has been prepared by the Public Finance Group and is not a research report and is not a product of the fixed income research department of BofA. This material is for information purposes only, is intended solely for your use, and may not be reproduced, disseminated, quoted or referred to in whole or In part, without our written consent. This material does not constitute an offer or solicitation to sell or purchase any securities and is not a commitment by BofA Securities or any of its affiliates to provide or arrange any financing for any transaction or to purchase any security in connection therewith. The calculations contained herein are based upon assumptions and information that either you or your advisors provided to BofA or which BofA deems in its sole discretion to be appropriate. BofA makes no representation or warranty as to the accuracy or completeness of this material or these calculations and any and all liability to you or any third parties relating to this material or the calculations is expressly disclaimed. The material and calculations made available to you may not be similar to the Information generated by BofA or Its affiliates proprietary models or valuations that are used for its own purposes or to the models or valuations available from other sources including from other dealers. BofA assumes no obligation to update or otherwise revise these materials. Values generated by the data or calculations may not reflect actual prices or values that can be obtained in the market at that time and the calculations should not be relied upon for any tax, accounting, legal or other purpose. City Council 23 — 189 5/18/2021 BofA Securities - Preliminary Analysis 3/10/2021 Page 18 of 18 Requested Certificates Council 23 — 190 5l181202,) RofA SECURITIES -- (z) ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual Phone Number. Facsimile Number: Year: Contact Individual Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 2f- y Council n erwri utg services Tor ensrol e fncrng Sonds 5 l A920n of 24 (z) ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Reference Customer Address: Contract Amount: Description of supplies, equipment, or services provided: Contact Individual Phone Number. Facsimile Number: Year: Contact Individual Phone Number: Facsimile Number: Year: Contact Individual: Phone Number: Facsimile Number: Year: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 2f- y Council n erwri utg services Tor ensrol e icing Bonds 5 l A920n of 24 Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain, otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm BofA Securities, Inc. Signed and Printed Name: Title Managing Director Date March 10, 2021 Holly Vocal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 20 of 24 City Council 23 — 193 5/18/2021 (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 proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, 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 proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal 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 proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California, County of y�ub ribo a d sw�o�rn to (or affirmed) before me on this /D� day of,J/IQYG� 2G by �Ql� IOC proved to me on the basis of satisfactory evidence to be the perso o appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Pane 21 of 24 City Council 23 — 194 5/18/2021 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 San Mateo Subscrib d and sworn to (or affirmed) before m on this ........................»_ ._.._.._...._.._, proved to me on the basis of satisfactory evidence to be the person who appeared before me. PUSH KHADIIA� 22814'8 yC NOTARY FURLIC CALIFORNIA y SAN MATEO COUNTY Mp rort on An M 00g. 2022 t (Seal) Signature City Council 23 — 195 5/18/2021 I The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) 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 be paid 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 this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. 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 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that a uch subrecipients shall certify and disclose accordingly. Signed: Holly Vocal Title: Managing Director Firm: BofA Securities, Inc. Date: March 10, 2021 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL SE CONSIDERED NONRESPONSIVE. RFP No, 21-025 Underwriting Services for Pension Refinancing Bonds Paoe 22 of 24 City Council 23 — 196 5/18/2021 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. 5_ 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. RFP No, 21-025 Underwriting Services for Pension Refinancing Bonds Paae 23 of 24 City Council 23 — 197 5/18/2021 MM CITY OF SANTA ANA 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, 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. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or' sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: 'Z� Holly Vocal Title: Managing Director Firm: BofA Securities, Inc. Date: March 10, 2021 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No, 21-025 Underwriting Services for Pension Refinancing Bonds Pape 24 of 24 City Council 23 — 198 5/18/2021 EXHIBIT 3 SUBMISSION DEADLINE: 5:00 PM PTTHURSDAY, MARCH 11, 2021 STEFLIPHL 23 - 199 5/18/2021 STIFEL March 11, 2021 Kathryn Downs Executive Director of Finance & Management Services Agency City of Santa Ana 20 Civic Center Plaza Santa Ana. CA 92701 Re: Proposal to Provide Underwriting Services Dear Kathryn, Thank you for the opportunity to present our qualifications to provide underwriting services to the City of Santa Ana (the "City") on its proposed pension obligation bonds (the "POBs"). Whether the City decides to refinance all or a portion of its unfunded pension liabilities, this is likely to be the largest and most important financing the City undertakes for decades to come. We understand the magnitude of that sheer fact and, in turn, the magnitude that even a 1 or 2 basis point difference can have. So why entrust this borrowing to Stifel? We could argue many reasons, but most important is our consistency setting the lowest FOB credit spreads and our proven track record of selling POBs successfully in all types of markets for a wide range of California cities with different attributes (i.e. ratings, name recognition, size, etc.). Additionally, please consider the following! #1 California Bond Underwriter. #1 Taxable Bond Underwriter_ #1 Pension Bond Underwriter_ Since 2019, Stifel has brought to market 569 California bond issues totaling $14.3 billion, making us the #1 underwriter by number of issues with a market share of 24%. During the same time, Stifel has led 118 taxable financings totaling $3.6 billion and senior managed 7 pension obligation bonds totaling $989 million, which includes the recent sale of the $287 million City of Orange PORs. Additionally, Stifel is set to lead manage next week's $363 million Huntington Reach PORs. Our primary market presence keeps Stifel's sales professionals in constant dialogue with the buyers of California credits to understand their portfolio needs and credit apprehensions. Distribution Platform that Combine to Deliver Aggressive Pricing. Stifel is one of the few underwriting firms doing business in California that underwrites California bonds from a California underwriting desk. In fact, the firm has 3 California underwriters on 2 California underwriting desks. Our underwriters' knowledge of California communities facilitates our ability to match buyers with communities and credits that meet these investors' varying investment criteria. Furthermore, our sales platform includes 22 institutional municipal sales specialists, approximately 200 fixed -income generalists and 280 retail sales professionals among 36 California private client offices. Sale of taxable bonds to overseas buyers is led by Michael Levy, the Head of Institutional Sales for Stifel Europe. Michael oversees 20 institutional sales people covering European corporations, sovereign funds, pension funds and other European - based asset managers. We will leverage all corners of this distribution network to drive down interest rates on the City's PCBs. Selectnentn 1®, lP iy Incomparable Experience with Local Credits. I;n=c20-G Stifel has extensive experience working with a ; public agencies throughout Orange County. < < M C9',ie�' The accompanying map highlights issuers forI m, which we have served since 2016. This vast "' ® "' experience of working with all of the City s � J C. neighbors provides our banking and underwriting team with n better ^° ®, understanding of local credits and Insights on ..cn� ,, xoac roe: appropriate pricing levels. w�«��n.�. „�. I, . City Council 23 — 200 5/18/2021 STIFEL Taking Pride in Crafting the Rating Presentation. The rating agencies are @ human beings. They see dozens of presentations made by investment hankers all year long. Many of our competitors believe that since S&P's rating methodology is mostly qua ntitatively-drive n that the presentation does not matter —therefore they do not put a lot of thought or time into a "story board." Stifel believes the opposite. A substantial amount of C1ty of Orange S&P's rating criteria is based on qualitative factors which require careful fllui/il''PKSC,lt°"'°"'"°"°°"°°" explanation and positioning of a city's strengths and weaknesses relative CI�� to its peer group (i.e. other cities that received the same ratings recently).p Stifel takes pride in crafting our credit presentations and focusing on these qualitative factors. In addition, we use the insights garnered by being the 91 ranked CA bond underwriter to advise our clients on how to layout their pension management plans more thoughtfully and advocate more effectively for a higher rating. Especially during the COVID pandemic, Stifel has more experience securing General Fund ratings for California cities during this stressful time and we understand how to use the UAL policies and POB strategies employed by our clients as an asset in the rating discussions. Revealing the "Real" Santa Ana for Wall Street Investors —A Marketing Plan Like No Other. The City has a lot to be proud about. Its history, central location, growth, and diversity are core attributes which Wall Street should appreciate as real credit strengths that will only grow over time. Words on the page of a prospectus or rating report alone cannot describe these qualities adequately. We've had great success using full-scale video productions to convey our clients' stories to Wall Street and have produced videos for successful PCB sales in 2021 for the cities of Chula Vista ($349M) and Orange ($287M). Our excitement in telling the City's story led us to conducting research on the City and storyboarding ideas with a professional video production team. To provide an example of the creativity and passion we would bring to the City's effort, we produced a 3-minute video [httos://virneo.com/522542200/dSSa767815] for your review that encapsulates how we would present the "real" Santa Ana to the world. Being the 'Quintessential' Team Player. Whether 'leading the charge' or serving in a more complementary role, we pride ourselves on being the quintessential team player. Our goal as lead manager is to foster a collaborative environment that leverages the strengths of each co -manager to secure the best possible outcome (lowest borrowing cost) for our issuer clients. We have had the pleasure of serving as lead manager of a multi firm syndicate on several recent POBs, including the Orange POBs that priced last Thursday (3/3) and upcoming Huntington Beach POBs, which are scheduled to price next week (3/1S). As an example of our teamwork and collaboration, at the request of the city, its advisor, and in coordination with our co -manager, we seamlessly expedited the pricing of the Orange POBs from a 2 day process to 1 day in order to lock in aggressive interest rates amidst market volatility. Also of note, Stifel supported the City by underwriting roughly $17 million of unsold balances at the end of the order period. While we believe our talents and experience are best suited as lead -managing underwriter of a syndicate, please know that as a potential co -managing underwriter, both our bankers and underwriters will take an active role in supporting the lead -manager to best structure, market, and sell the City's PCBs at the most aggressive rates possible. We understand the importance of this borrowing for the City of Santa Ana. We have assembled a team that brings to the table credit expertise and structuring/marketing experiences that will be valuable to delivering the best results for the City. Thank you for the opportunity to present our qualifications. Sincerely, John Kim, Managing Director Tom Jacob, Managing Director jkim@stifel.com tjacob@stifcl.com (213\ nna W (214) 449 ',Q Q fCity Council 23 — 201 5/18/2021 STIFEL CITY OF SANTA ANA Proposal to Provide Underwriting Services TABLE OF CONTENTS 1. Cover Letter Appendix A — Certifications (Attachments) and Stifel Non -Discrimination Policies Appendix B — POB Experience Since 2010 Appendix C—Team Resumes Appendix D — Most Significant Engagements Since 2016 Appendix E — Sources and Uses of Funds Appendix F— Proposer Questionnaire RFP EXEMPTION DISCLOSURE: As outlined in the SEC's Municipal Advisor Rule, Stifel, Nirnlaus 'I Company, Incorporated ("Stifel" i is providing the attached matenal and all infnnnanon and advice contained therein in response to A request for proposals or request for qualifications (the "RFP") by a municipal issuer or obligaled person with respert to a sppCific I'sue of municipal se<urilies- Sbftl has not acted, And will not Act, As your municipal advisor with rNspNrt to the issuanct' of the municipal serirrities that is the suhjert to the RFP. Stifel is providing information and is declaring to the proposed rnuniciPdI issuer and any obligated portion that it has done so within the regulatory framework of MSRB Rule G-n as an underwriter (by definition also inducing the role Of piacernenL agent Li and not as a financial advisor, as defined therein, with respect to the referunced proposed issuance of municipal Securities. Thu primary rule of Stifel, as an underwriter, is to purchase securities for resale to Investors In an arm's length commercial transaction. Serving In the role of underwriter, Stlfel has financial and other Interests that differ tram those of the issuer. The issuer Should consult with its' own financial and/or municipal, legal, accounting, tax and other advisors, as applirahle, To The extent it deems appropriate. These materials have hot,n prepared bV snfel fur the Client or potential client To whom such materials are dire<tly addressed and delivered for discussion purposes only. All terms and condiLiOns are subject to further discussion and negotiation. SLifel does not express any view as to whether financing options presented in these maLerinls are achievable or will be available at Lhc time of any contemplated Lransacuian. These materials do not constitute an offer or sollcltatlon to Sell or purchase any securities and arc not a commitment by Stlfel to provide or arrange any financing for any transaction or to purchase any security in connection therewith and may not relied upon as an indication that such an offer will be provided in the future. Where indicated, this presentation may contain information derived from Sources other than Stitel. While we. believe such information to be accurate and complete, Stitel does not guarantee the accuracy of this information. This material is based on information currently available to Stifel or its sources and is subject to change without notice. Stitel does not provide accounting, tax or legal advice, however, you Should be aware that any proposed indicative transaction could have accounting, tax, legal or other implications that should be discussed with your advisors and /or counsel as you deem appropriate. City Council City of Santa Ana I Proposal to Provide Underwriting Services 23 — 202 5/18/2021 STIFEL ."d. AT,ror^ Irua r I I , , i f,lf dl r la C I I Statement i If r, r If 1 1, f , I I r I I Nilr . y 1n, . i I We have reviewed and concur with all provisions contained within the Scope of Services, Sections 1-7, 8 (Attachments A, B, C, D), and 9-11. Regarding Section 8, Attachment E (Non -Discrimination Certification), Stifel maintains our own comprehensive Non -Discrimination Policies, which are included as part of Appendix A. f, f;rfvl.ar,d I IIA1, 1, ),i rll.rvXd i. Firm Overview rr I I:< r -, i, ll t r 1 1. n„ y .,. -1I r it f n i r l a. r.,, , r. I1 e, a l i r I V I_, 1 11 1, .._ I I:- , n (G 1" i o. _ f v Of , _. [I I . r ,n i f, f,...I r 1 I I I, , l Ir, 1,r rrr , d n I n If.f1 I I v f f. I ry f , r;. ,. .1 ... i 1 11� I r�, v. r r r I „ r e, r I r -rf n �� ri,l„1 1, rtIrr uW I, [ 1) . 1.v:, ,. 11 rl .r,rry:nUl .fi 'i IV rlfV.r r�..rf 1n firm Stifel (NYSE: SF), founded in 1890, is one of the nation's leading independent investment banking firms with over 8,000 employees located in 370 offices around the globe. Our growth and success over the years is the result of both organic growth and strategic acquisitions. Stifel is a diversified wealth management and investment banking firm serving a broad group of clients individuals, institutions, municipalities, and corporations providing a wide array of services, ranging from investment advice, securities brokerage, lending and trust services, debt and equity capital raising, strategic advice, sector research, and restructuring. Stifel is organized around two primary business groups, Institutional Capital Markets, which includes our Municipal Securities Group, and Global Wealth Management, serving the needs of retail clients. The graphic to the right depicts our overall organization structure, including the reporting lines for our municipal securities business. Stifel's California municipal finance group is the anchor of Our national public finance practice and our commiLilieni, to California is demonstrated through our expansive presence. As further described below, Stifel has 36 public finance offices across the nation with two offices located in California. Stifel is the only underwriting firm LhaL has two municipal bond underwriting desks in the State (Los Angeles and San Francisco). In total, we have nearly 700 employees based in California. Getting to Know Stifel Our organization and capablbtles Investment Ranking Private Chpnt Croup Equ`ty Sales & Trading Stitel Asset Management Research Stitel Bank & Trust Fixed Income Capital Markets Municipal Securities Group - f • John Kim (onnlary) and Toni Jacob • m,inic:pa1p;1, (-ecundoryl. our yruyuzed Pf U, a — pen Stern. Betsy Iciehn, Marcm Manner, Peters al'. anted In Cn1ifurin :n hamri.,, r,r5ra<fron, cna<r In rna<r • nn......x..n ..... sal Sala, Ccl.n'. w .11250.eann2nb2r, wail mp,lonal • T,xrb. 2 .anri Tl T,eh, .Ina .1-1 r„r,—, b<na As requested, in Appendix B, we include a detailed list of the firm's POB experience as both lead and co -managing underwriter since January 1, 2010. Please see our response below and in questions 3(vi), 3(viii), and 4(i) for additional detail on our relevant experience. ii. Governmental Staff and Experience A v it 11 i 1 < nc f n .. V nm 1 II n a 1 n �u r r W (I v 1 1 nC, 1 rf 1 I, II I 1 "" r I: l ro, I rt_ , ,nr ,I r 9 nr Im l :(:)p.i.r �I'rr•I f•It , r V ev ,I, I, r irrr.rf L Nationally, our Municipal Securities Group includes over 300 professionals focused on investment banking, sales & trading, underwriting and support for our public sector clients. Stifel's three California -based underwriters coordinate a 2S0+ person national salesforce (including 200 taxable sales professionals) that provide access to over 6,000 institutional municipal bond Investors. Addltlonally, our Private Client Group manages over $300 billion for retail Investors nationwide. Below is a summary of our resources dedicated to our municipal clients. City Council 23 — 203 5/18/2021 Uy of Santa Ana I Proposal to Provide Underwriting Services Page 1 STIFEL Public Finance Investment Banking: 36 Offices Across 28 States 243 Professionals Institutional Sales & Trading: 12 Municipal Underwriters 22 Muni Sales Professionals 9 Muni Traders Private Client Group: 300+ Offices F11111, 2,300+Prof essionals c m c,, $300, Billion AUM e..,. .. on1.6 Million Accounts 1,118 Retail Muni Traders Fixed Income Group: 200 I axable Sales Professionals While Stifel is headquartered in St. Louis, our California municipal finance group is the backbone of our national practice. Our storied history in Southern California is a result of the acquisitions of Stone & Youngberg (2011) and De La Rosa & Co. (2014). the top two underwriting firms in California. The merger of these two firms with Stifel created the largest California banking team with one of the largest distribution platforms in the municipal securities industry. Stifel's commitment to the sector and more specifically to California, is evident by our continued leadership as the N1 underwriter of California municipal bonds in all the areas that matter most to the City. 'ni:i i,,l r, ftI ir, All ¢.!".....vA, 1hal. M,,iIur fA �i lu 1h,°rt,11 #1 Underwriter in California. No firm underwrites more California municipal bonds than Stifel. Our experience with California entities comprises all financings. Since 2018, Stifel has underwritten S69 California transactions, nearly 2S0 more than our nearest competitor. This translates Into roughly 1 out of every 4 Issues that comes to market. #1 Underwriter of California Taxable Bonds. If wen arrow experience down to taxable transactions, Stifel once again leads tho pock. Since 2018, Stifel hos priced 118 issues totaling $3.6 billion in par voluo in California- #1 Underwriter of California POBs. Since 2018, Stifel has led 7 POB transactions for California issuers totaling $9891`vl making us the ff1 underwriter of California POBs by number of issues and par. zza 411 ]VV lfl „ U LU 10C r r/r. , 8.r rr. 'f,, I 1. nu..; 0 r „ a: 52 id s s q 6 e t .urea_ nlm.. fi tlnfw nLcnp nhrcrn Our primary contacts John Kim and Tom Jacob have worked their entire careers in Southern California, assisting rnunicipalifies such as the Cify. Provided below is a snapshot of their POB experience over the past three years. We provide additional detail on their specific pension experience in our responses to question 4(i). City Council 23 — 204 5/18/2021 Cily of Santa Ana I Proposal to Provide Underwriting Services Page 2 STIFEL RECENT PDB Experience (Over Past 3 Years) t r p ryn Al o U£ryQ,,o"Fa t�� 4 or I Argo c �uw PoRATE� \ Ai e Pr OkgLrO )J ., UPCOMING POE Experience [Q1/2 2021) 19 aOTAry @ F rsH.. Huntington Beath POBs to Price 3/15: Stifel is Lead Manager of 3-Firm Syndicate ` Case Study: City of Orange (� $286,485,000 1 2021 Taxable POBs Role: Lead I Rating: AA I Pricing: March 4 Refinance 100%of the current CalPERS UAL. r I, Stitel crafted the S&P presentation, highlighting the City's history of conservative budgeting, strong reserves, and prudent management policies. The POBs received a 'AA' rating. .i �I„. Sufel organized several efforts to expand demand, such as producing a 6-minute video introducing investor's Lo the City and obtaining an aggressive insurance bid from BAM. The issue was structured with serial bonds through 2036 and two insured term bonds maturing in 204U and 2044. Originally scheduled for a 2-day pricing period, Lhe financing team decided to shorten to one day to mitigate interest rate risk. Stifel guided the underwriting team to a successful outcome (see response to Question 6(f)). The Bonds achieved a final borrowing cost of just 2.74%. The POBs received $398 million in total investor orders, including international buyers. I "h l.. .r r.F •.ALA'. Arr ter.. 'I A.In S .•������������������ mn oc .ven , 1n cant rroe, o- 5198.1hv v..lu r 1136...... th at 1�G V, I I/ f If ,I, kf I,, f Ir I y.1 If I' I Idl y I n :l I f 1, ".ill. IIId f II? YI It Stifel's banking team will be led by John Kim (primary) and Tom Jacob (secondary). John Kim, Managing Director Tom Jacob, Managing Director Prirnpryi �, Secondary 515 S. Figueroa St. Suite 1800 , 515 S. Figueroa St. Suite 1800 it Los Angeles, CA 90071 Los Angeles, CA 90071 jkim@stifel.com tjacoh@stifel.com P: (213) 443-5023 1 C: (415) 999-4779 f�a; P: (213) 443-5010 1 C: (213) 434-3067 iv. Commitment Level of Assigned Personnel 1 I I. r .. I Ief nV I,I' , IId , " (1 Pr it . ,I �Ila I y uV 1 'I II yl Please know that we take pride in always being available to our clients; providing thoughtful and engaging customer service, always delivering a work product that is of the utmost quality in a timely manner. John is a member of Stifel's Executive Committee and Sara Brown and Erica Gonzalez (providing additional pension expertise and oversight) are the co -heads of the firm's California Public Finance practice. All three will ensure that all the firm's resources arc available to the City Tom, with the support of Esthela Carre6n and Nick Tracewell, will also be available to field day-to-day questions. City Council 23 — 205 5/18/2021 Cily raf Santa Ana I Proposal to Provide Underwriting Services Page 3 STIFEL v. Financing Team Resumes I I Ii t I I I t It , Iv i , . e, I , , I I.,r„ of , ,-r, , 'r (al df v _r , , Sn Rounding out our core banking team and providing execution support to our project managers, John and Turn, will be Esthela Carreon, Assistant Vice John K ^^ � ,r -' J b " M , ,r ' President, and Nick Tracewell, Analyst. Providing A "A A °'' `A oversight and ensuring that all of the firm's resources E11h^11 ` : nr n Milk T " A ly will he nvnilahle To the City are Sara Brown and Erica ' °°` f ` """: A < A A Gonzalez, both Managing Directors and co -heads of f 1i,a rtlllol our California Public Finance practice. Our underwriting team is comprised of Ben Stern, from s " a, our Los Angeles desk, and Betsy Kiehn and Marcus co rn u Cnu Peters, both from our San Francisco desk. Full resumes can be found in Appendix C. vi. Relevant A, .>rr , , , i, f ., �,rf r ., f� I f .f r ,... 6 y H i M m arms d dM M,'ae�.e CA a Sur in V o r Ct. I L. a. o F P:A As the leading underwriter of municipal bonds, we have extensive experience in providing similar services to those listed in the RFP. We briefly shared our experience since 2018 in question 3(ii); however, please also consider the following: rml:JO I° i I It. FFi ."OR lur,twgonad,-.r iu r f rehim ru,a Pi Julia Ap,t r,a,a:.% xf U1 Since 201D, 73 POBs totaling over $7.65 billion in par value have come to market. They've been sold by 18 different underwriters. While that may seem like a lot of firms with experience, half (9 firms) have only completed 2 or more transactions. Of Lhe remaining firms (9 firms), SLifel is Lhe 141 ranked POB underwriter — we've underwriLLen 23 POBs totaling nearly 51.8 billion. As illustrated below, our closest competitors have completed 6 and 7 deals apiece since 2010. 1, Stife1 1 23 32% 1 $1,762 23% 2. BofA 2 7 10% 2 1,273 17% 3. Ramirez 3 6 80/ 6 434 60% 4. Hilltop 4 5 7% 5 621 8"% 5. JP Morgan 5 5 /% 3 1,154 15% 6. Raymond James 6 5 7% 4 1,016 13% 7. WedbUsh 7 5 7% 10 114 2% 8. Stinson 8 4 S% 13 36 0% 9. Cahrpra 9 3 4% 9 363 5% Industry Totals 73 $7,654 vii. References d'P V 1 !, , 1) ` / i , , , , ,,, I t f, I I '.f V . IiP )'I , .!I I1d I f rj (, 1 1. r _n. r,i t fIr, r Ir rnl` Additional references (Arcadia, Chula Vista, and Glendora) are provided in Attachment A. Orange (2021 POBs) Will Kolbow Assistant City Manager wkolbow@cityoforar)ge.org 714.744-2195 City Council Huntington Beach (2021 POBs) t ( Sunny Rief, CPA, CFE Assistant CFO g sunny.rief@surfcity-hb.org / 23 — Pasadena (2020 POBs) Matt Hawkesworth� Finance Director;}:r= m hawkesworth @cityofpasadena. net 5/18/2021 4:ily of Santa Ana I Proposal to Provide Underwriting Services Page 4 STIFEL viii. Significant Engagements nu If I„i„t I I .r. I.,,t 7rI t , rJ,r. ,,, [r,, ,.. ti,v. ,.;. 1111, It I ... , .i is ...,... , Please refer to Appendix D. ix. Conflicts of Interest A s,, „ it t 3 t t , t r m t, r v, I I t xw a, , a, I I If If , ,... There are no conflicts or perceivable conflicts of interest with the City. To the best of our knowledge, Stifel has no such arrangements material to our services and performance related to this agreement. x. Affirmative Statement Verifying California Registration A ,,, r, „, wr If' 11 J, 2,II,, i,,,,,t, Y ,I ,.Iat, I f I I f.. The firm and all assigned key professional staff are properly licensed to practice in California. A. Errors and Omissions Insurance Av , I- i,n,i:a,. I , I ,It,n 1, ,i f" 11 It 1)"II, I , , [,a t .p ,rn.., i If ,:u, tit.. ,t1, [r! . 1.1, 1 t The firm maintains E&O insurance that is applicable to the work requested in this RFP. xii. Acknowledgement of Contractual Authorization A., t , . ,I Id „ v Both or life proposed project managers, John Kim and Torn Jacob, are authorized to cunitaclually bind the firm. AnIf t t. . ,t , I t If i If i., I , I f I ti I f r ,., v , I , yI v , M , If d,,, Stifel, Nicolaus & Company, Incorporated ("Stifel") is an investment banking and securities firm providing investment servicesto individuals and institutional clients, investment banking, and related services including the day-to-day purchase and sale of securities. Stifel is a wholly -owned subsidiary of Stifel financial Corp. (Sr). In the normal course of business, at any Riven time, Stifel is subject to a number of claims and disputes, as well as regulatory matters including examinations, reviews, investigations, or formal actions. All required disclosures of material litigation and regulatory matters are made in Stifel Financial Corp.'s public filings with the SEC and other regulatory authorities, such as its Form 10-K and the most recent Form 10 Wiled with the U.S. Securities and Exchange Commission (the "SEC"), 8 K's, and in other regulatory filings, such as Form B/D, as amended. You are further referred to the FINRA website, where you can access Broker Check reports for Stifel, Nicolaus & Company, Incorporated which may be located with the following hyperlink: http://brokercheck.tirira.org/Firm/Summary/793. 4f, rr ,iri rr ri J I; ,.! r,,rt o r,oL f It [if r;r r,vr:.. i. Assigned Personnel Experience ]r _ , t,o l ;.r` a. , c11 If I t, I, It, , „ra q .. m .I „n t v ..?.f", If , in m!fl fv rte, ., ,>o V Ityf' f t.l_Fl. IB „ _.Ilf ,I I I<! .,. etl ,e v.f t„ As previously rneriboned, Stifel is the leading underwriter of California pension financings. Below we list Sufel's California pension experience over the last 36 months as well as those transactions scheduled to come to market in the first half of 2021, highlighting in blue those transactions staffed by our project managers. City Council 23 - 207 5/18/2021 Ciry of Santa Ana I Proposal to Provide underwriting Services Page 5 STIFEL Q2 '21* $152,000,000 ElSegundo 2021 POBs 2 Co -Senior Kim Q2 '21* 92500,000 Manhattan Beach 2021 POBs 2 Co -Senior Kim 42 '21' 272,000,000 Corona 2021 POBs 1 Sole Brown 3/17/21* 363,620,000 Huntington Beach 2021 POBs 3 Senior Kim, Jacob 03/03/21 286,485,000 Orange 2021 POBs 2 Senior I(im, Jacob, Brown 02/10/21 350,025,000 Chula Vista 2021 POBs 1 Sole Brown 02/02/21 106,335,000 Monterey Park 2021 POBs 2 Co -Manager Jacob 11/09/20 101,490,000 Gardena 2020 POBs 3 Co -Senior Kim 10/29/20 52,950,000 Placentia 2020 Lease Rev Bonds 1 Sole 10/27/20 90,000,000 Arcadia 2020 POBs 1 Sole Jacob, Kim 02/05/20 131,805,000 Pasadena 2020 Retunding POBs 2 Senior Jacob, Kim 08/22/19 64,420,000 Glendora 2020 POBs 1 Sole Jacob 12/04/18 15,325,000 Fairfield 2018 Refunding POBs 1 Sole Senior: $1,972,620,000 12 Transactions Co: $106,335,000 1 Transaction 'Gmently onnerwny. Our Proven Track Record of Setting the Lowest POB Credit Spreads. As the most active POB underwriter for California public agencies, Stifel has consistently set the lowest rates on its California POBs. The list below highlights all the long- term POB transactions sold in California over the past 3 years, sorted by "credit spread" (sec explanation below). 03/03/21 Orange $286.49 AA 2044 2.74% 2.27% 0.47% Stifel/Citi 02/11/21 Chula Vista 3S0.03 AA 204S 2.51% 1.94`Yo 0.57% Stifel 08/22/19 Glendora 64.42 AAA 2044 2.85% 2.11°% 0.74°% Stifel 02/02/21 Monterey Park 106.34 AA 2043 2.67% 1.87% 0.80% Ramirez/Stifel 02/09/21 Downey 113.59 AA 2044 2.75% 1.95"% 0.80% BofA 02/05/20 Pasadena 131.81 AAA 2045 3.06% 2.14% 0.92% Stifel/BofA 01/13/21 LI Cajon 14/.21 AA 2043 2.84% 1.82°% 1.02°% BofA 12/17/20 Ukiah /19.86 A+ 2019 2.77% 1.68% 1.09% Piper 10/27/20 Arcadia 90 AAA 2040 2.70% 1.57% 1.13°% Stifel 07/25/18 La Verne 54.27 AA+ 2044 4.26% 3.06% 1.20% Hilltop The "credit spread" represents the risk premium that bond underwriters add to the daily US Treasury rates when setting the taxable interest rates for a particular POB issue. The POB credit spread is heavily dependent on the credit rating of the public dgency (higher rdlings lead to lower spreads), market perception of the public agency's ndrTre value, overall investor demand (i.e. how many investors are competing for the bonds), prepayment provisions, bond size (larger deals attract lower spreads) and relative US Treasury levels at the time of sale (when UST rates are law, the credit spread tends to be lower). An underwriter's abilitytD managethese factors simultaneously and bethe best advocateforthe proposed pricing levels for the POB determines how low the credit spread can be set. We are proud of achieving the following track record in just the last three years: • Set the lowest POB credit spread to US Treasuries (+0.47%) for Orange ("AA" rating) on March 3, 2021; • Top 3 lowest POB credit spreads (Orange, Chula Vista, and Glendora); • 5 of the top 10 lowest POB credit spreads were negotiated by Stifel (no other firm has more than two deals); and Achieved the lowest all -in TIC (2.51%) for a California, long-term POB (for Chula Vista). City Council 23 — 208 5/18/2021 4:ily of Santa Ana I Proposal to Provide Underwriting Services Page 6 STIFEL %. II,'adr uJuiI, a(1,'f.a(D a i r, I , , l', " i. Taxable Marketing and Distribution Capabilities I, ,,, r I .I ,v , r ,I.. , ), v t ;•;r,V v , 1„ na ,1 I' e V lip , 1:1 , I ., -.if { p P", 3 II 1 I .,n )d r i^ I Ys , „r "Orl 11 i1,ur]I q, r.1,t, ,,n in t, 1,",vg1,\uIl ,:_i rr t r,t 1 a r M 11 1,,I/rII, _. rl,r", art 111, t i, r„, :! Lu r hurllalru IIIn,lk r rut, ,rn lt,a• I ntfJrsdI I Stifel has one of the most potent distribution platforms in the municipal origination business. The "potency' of our capabilities is evidenced in our consistent ability to achieve the best pricing levels in the sale of California municipal bonds, which is the reason why so many public agencies select Stifel as their underwriter. For more detail on our experience and pricing performance, please refer to questions 3(i), 3(ii), 3(vi), and 4(i). Institutional Investors. Stifel has 222 Stifel Distribution Channel institutional sales professionals: 22 municipal Municipal Securities Group bond specialists and 200 Fixed Income • 9M {.:,Ir.,,,{,.,w,;,,.,., (taxable) specialists. Combined, Stifel ' 22 M,uurl p:,I S:,Ir: Prnp'r provides the City with access to over 6,000 - rn r,v, - large, medium and small institutions that - Newvorl, — San Francisco purchase municipal bonds. - Shona • 0 ML.nicipal Trader International Investor Coverage. • 3 Mt nicglal stnTegl cts Comprised of 20 institutional Rates Group pmfPssionals hosed In London, 100 sales People Frankfurt, Paris, and Madrid. As noted • 3S Strategists in our Investor Targeting Strategy Corporate Credit • 1 k Cnr pOr.]TF Cr�dli tialc. section, we plan to broaden our investor outreach and complement Stifel Europe our 'Anchor' orders wish those from ?r, it Snp,. PtoPlc municipalities, international f''ndon, Fr Dram, r„P„.... M.,drt' investors, among others. private client Group 2,300 Ad,, ;,,,; Individual Retail Investors. Stlfel's retail sales ,300 Bit iun Assee; 300- offices platform includes over 300 Private Client sales Stifcl Banks, Irt�st Investor Base Tier t Accounts iv iic pal Bonc n1umal Fm1G5 • Asset ivanagers • Global bank . ng lns➢tuticns • US Insurance companies Opportunity Finds wirl Mun15tr3tegle'. SBp3L9T2 AcinLnt ManagBrS Middle Market Institutions Depository Institutions Crossover Buyers International Retail Investors • Hir. I Net Worth • Iam;ly Office • MOM 30u POP offices, from which approximately 2,300 sales executives manage $300 billion in assets. In Orange County alone, we have 43 sales executives in 3 offices- Presently, the firm manages 19,422 Orange County accounts with $4.2 billion in assets under management, of which 250 million is municipal product. Three California Rased Underwriters Working for the City. Stifel's capital markets team will be led by Ben Stern, from our Los Angeles desk, and Betsy Kiehn and Marcus Peters, both from our San Francisco desk. Betsy, Ben and Marcus have led all of the California underwritings that Stifel has brought to market since 201S. All together, they commit the firm's capital as senior manager on over 200 issues totaling more than $6 billion each year. Betsy Kiehn, Head of Municipal Capital Markets Francisco, CA 94104 hn@stifel.cnm )364-2791 Ben Stern, Mana¢ine Director Angeles, CA 90071 443-S22S Marcus Peters, Vice President Francisco, CA 94104 !ters@stifel.com -) 364-6842 City Council 23 — 209 5/18/2021 City of Saro.ta Anna I Proposal to Provide Underwriting Services Page 7 STIFEL G. 1il rl lI:I l I(• rig, III ^,I: 1(4 P/P.,(1,1 I;(q; f^ art I'llr yr+, llfri r rl Ib it 11I ISiu'l(I"I Specific Structuring Ideas A. t I ,( " , , It rr'11 1 .. ,r 1 il; 1 r t 11.ty „.I 11 1 1, t1 .. .,, an,), f I ..... t, 9,1 1t, u -t 1 ar n;a r1, II I l r t r I 1 11 rnr ,c 1 t'rvl , 1 ,:01 n, v.c/i n1 , 10 1t / door l 1 , 1rt .>, 11 11 v 1 n tt ✓ ,na ., rI f „r, Iv , t t ,t, t 1r, „ r, 11 t ,:r . v , 1 1111.. ., . a . n . , ;:t .t t . t . f 't Based on market conditions as of March 8, 2021, we present our proposed structure below. A breakout of the Sources and Uses is provided in Appendix E. Note that our proposed structure will be the same, regardless of the size of the POBs. Please see below and refer to question 6 for a list of all our assumptions and Structuring recommendations. A eve,, Pk, I I" Or, 0,,� Pra, )uwJ ',I. I LK lW". ✓ Designed to Maximize Investor Participation: Our structure contemplates serial bonds through 2039 (much longer than any other recent POB) and two term bonds in 2041 and 2044 (Our recommended final maturity). ✓ No Reserve Fund: The lack of a reserve fund will not impact the marketing or pricing given the expected 'AA' rating. ✓ Standalone S&P Rating: As detailed in the Rating Strategy section, Stifel recommends securing a rating from S&P alone, as it has the most favorable view of POBs among the three major rating agencies. ✓ Optional Call Flexibility: 10-year optional call to preserve future flexibility to refinance. Process to Deriving our Proposed Spreads. Five pension financings have come to market since the beginning of the year, all 'AA' rated by S&P. Because these comparable transactions priced at different times in varying market conditions, it is important to evaluate not only their performance in the primary market but also their secondary market trades in recent weel<,. Our analyses of these trends along with the City',,trnng underlying credit lead u, to our proposed spreads, which are based on market conditions as of March 8, 2021. Our resulting estimated true interest cost is 2.76%. As previously mentioned, Stifel has more pension financing experience than any other firm; experience that includes some of the lowest yielding long-term POBs that have ever come to market (Glendora, Chula Vista, and Orange). With our prover) performance track record, we are confident that we can deliver the most aggressive pricing possible for the City. suer City of Santa Ana City of orange City of Chula Vista City of Downey City of Monterey Park City of El Cajon ssua Pass roes roan roes roes Poss P., Too-oa6,4A ;nn0 e,I r. 0,0 11nine, 11'nnn 147.)I0.0n0 e,Il,hi, 10-yr,r P,r CAI 9/1/2030 L,� ion n/1/201i einn 01il20in en inn G/1/201i C,5) 100 4/1/20300100 S&P AA(I...... d) AA AA AA AA AA 1im9Ee TGo GAM: Tern) GOndl- GAM: Gilcr[]IEGTet,n GOnd,_ None None NOnB Manar.er IBo Still (Lead) Still (Sorel BofA(Lead) Ramlrea(Eeadl BafA(Sole) .ale state r41>0)I March 3, 2021 Fabruary 11, 2021 February 9, 2021 FebrVary 2, 2021 January Ia. 2011 AIr nOm 7 " efff, OJA M ' rasm,6 .iiqE "m = urr°F , mift orfri, tw l"Cn^p dfiC PogW^Ifi9mr Sot 2022 0.)q0 01nn > yr +CA3 n.,q1 n141 ) yr +O.IG 01 nl 0Ill 7,,, +0.04 n.)13 n.I ....a 7, +0.10 n44q n 14q )y. +0.30 7(121 n.1en I Irrt ) yr +0.211 n 1dt-0141 7yr +0.2s n )41 n Ill ),,, +0A I n 317 n 117 7yr .OJn n Air.; n 1-. 3 7yr +n.2s n CAP n I4q >yr +nsn 204 n ,Rq u 3J9 1-,, +0.2s n;97 n M7,3-yr +0.10 o 410) n 17q Syr +AJ4 n 1A711 .07 Syr +OAA n A)e n Cie Ayr +O.45 n o)7 (I ))7 Ayr -n.7n 2025 1.017 0.B47 P, +0.20 0.911 U/I P-vr 10.25 0Pet) 0AbU 5vr 10.20 01120.112 Syr t0.30 0.83/U 43/ syi 10.45 1.1/00.1/0 svr 10,70 2026 1.297 O. R47 5-yr +0.45 1.224 u./2- 5-vr 4, O UB4U UA6U Syr +0.38 U.9R U4/1 svr ♦0.50 1Ob/U43/ svr +O.65 1419042J Syr +0.95 2027 1.680 1.)RO 7-vr +D.40 1S871.117 7-Vr +0.45" 1.164 O1804 7vt +0.36 1 3670.817 7vt +0.55 1 4In 0.780 7Vr +0.65 1 6%0 796 7yr +0.90 2028 11980 1 )AA 7-y +050 1J871117 7-yt +055 1414 0.8(34 7y +0.61 1_5570R17 7yt +035 1 Gin 07Rn 71, +0.85 1 dg6079C 7yr +110 2029 0 141 -_E9'. 10 yr +0.55 ).070 147n 1n yr +0 GO 1 678 " 1,11A 10yr +0A9 1 7rn I 'n 10yr +0.60 17g3 1093 '. 0yr +030 ) f19n n901 nyr +1.00 2030 2.291 1.5u1 1n yr +0.70 2.2201.470 in yr +0.75 1.728 1138.In, +0.59 1.85n I _5010yr +0.70 1,893 109310yr +0.80 2.190 ..09010vr +1.10 2031 2.391 1.591 10-yr +0.80 2.2701470 10-vr +0.80 1.823 11381dyr.. *0.69 19501.'.5010yr +0.80 1993.109310yr +0.90 2.290109010vr +1.20 2032 1491 1.591 10-yr +0.90 21501470 lu-vr *0.98 1938 1.136 10yr '10,80 20501. 15U luvr +0.90 2093109310yr *1.00 2.3901090 lovr *1.30 2011 2. 391 1591 _ui +1.00 2.hPU 14/13 _I)l +1.08 2046 1.13810yr +0.42-., 2.1GU 1. 15U 1UVr 41.00 2.19J 1 UJ3 lUvr +1A0 14JU 1 09U IUVI +1.40 2034 2 601 1 r91 10vr +110 2 G50141010yr +118 2138 1.138101, +1.00 '2:J. tO 11e(J10i +110 2193 1 (110%, +120 2 6401090 10Vr +1 55 2035 2J9_ 1'41 10-yr +120 J 7`,0147010-yr +128 J 29l; 1.13810yr +I16 ) ISO "1.. ISO 110yr +1.20 J 14:11 Oqi 1%, +130 ) 740109010yr +165 2036 1. Hq1 _ 59_ I yr +1.30 ).8)n 147n 1n yr +1.3s ),ICA 1. I1810yt +1.26 14g1 I ocn 1nyr +1.40 ) Nn 1 nqn In, +1 70 2033 /.991 -i.5U'. 1n yr +IA0 2.488 1.138 lnyr +1.35 ".. 2038 3,041 1.591 10-yr +1.45 2039 3.091 1.591 10-yr +1.50 2040 3.01b 2 IbP su-yr +0.75 2 ti 15 1.915 suyr 40.90 2041 3.1s5 ).105 30-yr +0.8s 2. B1/2. 1119S530yt+0.85/OJS 2043 302118113UIr-,,1AS 3.18414343Uyr 1,45 2044 s.255 z sOP s0-yr +0.95 3. 115 2.265 30-yr *0.85 2995 1.015 mu,, +1.05 2045 _ _... 2 91/2.81 1 955 30vr+0.95/0.85 _... _... Takeaways: Relative to Orange s: T.... r (Lower) Spreads 2022 2 City Council e-�� S(2021 .. Serialization Out Much Longer; txpecte Insurance on lerm Bonds , city of Santa Ana I Proposal to Provide Underwriting Services Page 8 STIFEL d[ f, I If I p I , �"I ,.., V d V 41I. d,,. 4 d ,e. do n n ,r�• r, If. A ., [-dV f .. V I If t.I " rlv 7 t .V�^ t 4Yv7 .�� nn i t nrt, ..t. V-, I V r. .., r a IV . t I1 t. t IV :e, t d I i f 11t , r,lrt d ., ec .. n r d ./ tr .. imr , nr 1 v rl 1 Ik It5, t f t We understand that the City has been working with its advisor in identifying all the 'tools in the toolbox' to combat rising pension costs, including POBs. POBs are an important financial decision and can be a valuable tool to help stabilize costs; however, they should be considered as just one component of a more comprehensive pension managernent plan. Our recommendations below tit within 4 specific objectives designed to address the immediate concerns of rising costs while preparing the City for long-term fiscal sustainability. Obiective 1. Achieve Long Term Fiscal Sustainability 2. Mitigate Market Timing Risks 3. Design Optimal Structure (Present -Forward Thinking) 4. Ongoing Liability Management 1. le F,Ia:,i 5ua,:unifl ta.v LailVt:y Recommendation Refinance $385 million of UAL with 2021 POBs —Target Short/Long-Term Safety Bases Given Risks, Target 85% Funded Ratio with 2021 POBs (Funding a Higher A May Limit Available Tools in the Future) —'Modified Level' Repayment Schedule —Modest 'Upfront' Savings to Bolster Reserves —Shorten UAL Payments by 3 Years to 2044 —Evaluate Use of Insurance from BAM —Earmark Surplus Revenues for Contributions —Dedicate Deferred UAL/POB Savings to Pay Down Liabilities —future POBs Dictated by Pension Policy Refinance 5385 million of Safety Plan Bases; Balanced Approach (Short and Long -Term) to Targeting Bases. It is our understanding that the City is considering refinancing anywhere from 50% ($372 million) to 90% ($671 million) of its unfunded liabilities. Over the past few years, most POS issuers have opted to refinance 100% and while an attractive prospect given the historic low interest rate environment, market timing vis-a-vis CAPERS investment performance merits careful consideration and analysis, as we further explain in the second step of our 4-step pension management plan ('Mitigate Market Timing Risks'). In short, a dollar cost average strategy to issuing and investing can help address these concerns. We believe the most prudent approach is for the City to target a payoff amount of $38SM, or roughly half of the City's outstanding pension liabilities, which would result in a funded ratio of 85%. As cxplomcd below, after a few years, the City could evaluate the need to refinance the remaining half. Please see the chart below for estimated savings for each of the considered funding scenarios. Assuming a partial refinancing, issuers have the discretion to apply POB proceeds either on a pro-rata basis or toward specific amortization bases. Given our objective of long-term fiscal sustainability, we recommend targeting both short and long-term bases. This approach is designed to achieve long-term savings while providing near -term flexibilityto proactively manage future pension costs. Addressing solely long-term bases will limit near -term flexibility and targeting only short- term bases would not address long-term fiscal sustainability. Since our primary concern is the General Fund, and because the scenario Recommended Alternarive General Fund is financially responsible for 100% of the Safety Plan Funded Ratio 85% 97%1 and only 72% of the Miscellaneous Plan, we focus our analysis on Par Amount $387,190 $638,790 the Safety Plan. As illustrated on the following page, we have TIC 2.76% 2.75% carefully selected short and long-term Safety Plan bases that UAL Savings $3.76,311 5291,242 5 NPV $139,152 5240,479 aggregate to roughly $385M, which if prepaid, would bring the City's % NPV 361/ 381Y UAL funded ratio to SS%. Mitigates Higher Primary Benefit Timing Risks PV Savings Both scenarios incorporates our stricture recommendations (Step City Council 23 — 21 esign p .nu rue ure an M$wl&,�rf Cily raf Santa Ana I Proposal to Provide Underwriting Services Page 9 STIFEL Base Year Reason Term 3 2009 Assum Change 10 6 2011 Assum Change 12 11 2014 Assum Change 15 14 2016 Assum Change 17 16 2017 Assum Change 18 18 2018 Assum Change 19 19 2018 Assum Change 19 Short -Term Bases (Less than 20 Years) 4 2009 Loss 20 9 2012 Loss 23 10 2013 Loss 24 15 2016 Loss 27 21 2019 Loss 20 22 2019 Loss 20 Long -Term Bases (20 Years or More) TOTAL (85% Funded Ratio) 2, II'INIII, n,.,tLc M,Arlka I i Irnll p, V,, +,, Balance (20211 96 Pavoff $14,943,657 Full (100%) 16,001,459 Full (100%) 53,834,473 Full (100%) 19,877,718 Full (100%) 22,905,129 Full (100%) 5,325,258 Full (100%) 38.800.76S Full (100%) $171,688,519 45%of Total $31,977,596 Full (100%) 74,450,415 Full (100%) 70,331,616 Pro-Rata(50%) 27,722,249 Pro -Rita (55%) 5,185,187 Full (100%) 4,463,871 Full (100%) $214,130,934 55%of Total $385,819,453 Spread Rather than Concentrate Risk. While historic low interest rates have enticed nearly all recent POB issuers to refinance 100%of their UAL, the reinvestment side of the equation should carry equal importance in determining if, when, and how much to issue. As previously mentioned, we would not recommend that the City target the higher funded ratio. Underperformance on investments, especially in the first few years after issuance, can exponentially exacerbate an issuer's already burdensome debt and UAL profile. Furthermore, given that POBs are the most powerful tool in the toolbox, refinancing as much as possible today would significantly limit the City's options to manage future pension liabilities. If investment returns exceed expectations after the first few years post -issuance, the City could evaluate the need for a second issuance. Ultimately, while the prevailing sentiment is that a recession is not on the immediate horizon, the most prudent strategy will be for the City to spread, rather than concentrate rnarket risk through multiple issuances. Lastly, as explained below, any future issue should be governed by the pension funding policy. 1, Irr•^ r,rn WB[,Wni n.,I I,tr q . r u , r , , ),ISo,rP, i r,*J r r la <1 I+,p'w ar,! Ihirn,'r .&,) Structure 'Modified' Level Repayments (A). We recommend a 'modified' level repayment structure, which is characterized by level payments over the first 19 years that then decline in proportion to the prepaid UAL bases. An alternative approach is to structure level annual payments over the life of the POBs, which result in slightly lower payments over time; however, this structure will produce negative savings in later years and generate less net present value savings overall (as illustrated in the accompanying graphic). 'Modest' Upfront Savings with Minimal Impact on NPV Savings (B). The City has the option to structure upfront savings in the first few years by deferring a pnrtion of principal -savings that, for example, ran he used to hnlstor Goneral Fund or pension reserves. While this structuring nuance would result in slightly higher POB payments (and lower UAL savings), the POBs could be structured so lhdl NPV savings dre nornindlly irnpdcled. We incorporated this slruduring nuance on the recent Orange PORs, generating $3 million in upfront savings while only impacting NPV savings by Shorten the Final Maturity (C). To expedite the payoff of POB and UAL payments, several issuers have shortened the final POB maturity to match the last significant prepaid UAL payment. As you can see from the chart below, the prepaid Safety base paymei8tgeg�)ffREDcl FY 2030, slowly decline through FY 22�11_a2j2hen rapidly drop-off urgj"p21ljpj FY 2047 UAL City of Santa Ana I Proposal to Provide Underwriting Services Page 10 STIFEL payment. We recommend shortening the POB amortization by 3 years to match the last significant UAL payment in FY 2043. While shortening would increase annual payments through 2039 by " $200,000, the City would save roughly $4 million in overall interest costs over the life of the POBs. We do not recommend extending the maturity beyond 2047 as S&P could view this as a corrective measure to address an imbalance (potential credit challenge). Evaluate Use of Insurance (D). In most circumstances, bond insurance (rated 'AA') does riot 'pencil' on credits rated 'AA' or higher - and as detailed in the following question, we expect the 2021 POBs will achieve a 'AA' S&P rating. However, in recent months, some investors have been willing to pay a much higher price (resulting in a lower yield) for insured maturities. In the case of the recent Chula Vista and Orange PCB pricings (both 'AA' rated), Stifel identified demand for insured maturities, which resulted in a net benefit of roughly 5 basis points. While we understand that the City's POBS won't likely come to market for some time, we recommend evaluating the use of insurance closer to the time of sale. +: Modified Level Payments: ,IS fl POB Payments Structured to Provide aln o UAI Savings in Fvery Year. ;an :I Modest Upfront Savings: 54 million in Upfront Savings to ROlster General Fund/Pension Reserves; Minimal Impact on NPV Savings a:. Shorten Final Maturity: n o Final POB Maturity in 2044 (Last Prepaid ...o Safety Payment in 2047) o 0 Evaluate Use of Insurance: Expected Net Benefit of "5 Basis Points on Terms 4. 4Y�uq Wa,Ir�lgw R�a•r1^; Irt],:11 PA,CI.ai,n rn'p,, 111 J. Desien O,Awl el SlrMdure (Sn711rrtto /trwrr.Gng A 7a 1.r1 t on W rv1Irnw,ri Salei u: Uptruntoavint%-. p11A .0 a,,.:.1. n MI Im­ry v C snonen Maturlty: Mo r, f..., 4'f—, P.yr.u. A Woall[Ea' mom Payments: o: Insurance May a,no,nc rr imf1 r IVlcfynm-� Additional Discretionary Payments and Future POB Issues. A critical componentto any successful comprehensive pension plan will be the proactive management of future liabilities. The City recently adopted the Unfunded Employee Pension Liability Cost Reduction Policy, which provides, among other things, guidelines for additional discretionary payments (e.g. surplus Measure X revenues, future TAB savings, future Water Bond savings for Miscellaneous Plan base prepayment, etc.) and the issuance of additional POBs. Strict adherence to the policy is important to ensure long-term fiscal health. A{lvdlila,DM,;I 1r h;,tA,• Iiy soar! (.qon ;rof rK iM1n.. u;c Annual CalPERS Prepayment and First POB Payment. We expect the City to continue its practice of prepaying its annual UAL liability by July 31 in order to realize a discount. Given the timeline of validation proceedings, the City could be in a position to price its POBs by late September or early October. To avoid 'double paying' in rY 2022, the City should consider delaying its first POB payment until FY 2023. We have assumed a long first payment date of December 1, 2022 as part of our 'Optimal Structure' detailed above. Select Convenient, Financially Viable POB Payment Dates. POB issuers Lypically select payrnenL dales Lhal rnirnic other General Fund debt, align with the fiscal year, or match large inflows of general fund tax revenue (generally November/December or May/June given large inflows of property tax revenues). We have assumed June (principal, interest) and December (interest) payment dates in our proposed structure. 'Wrap' Around Other General Fund Supported Debt. The General Fund currently supports multiple debt issuances, including the Police Station bonds (mature in FY 2024) and several private placements (varying maturities from FY 2024 to FY 2028). To minimize the impact to the General Fund over the next few years, the City could 'wrap' the 2021 POB payments around the other outstanding obligations. Of course, doing so would require deferring a portion of principal, which would result in a sliFhtly more expensive structure. Lease Revenue Bonds vs. POBs. Over the past year, several municipalities have structured their pension financings as lease reven challenges. However, LA9t"QMrWilateral (equal to the par amount of th@24nar?t1ir-4) and are rated one nckM42Wihan POBs by City of Santa Ana I Proposal to Provide Underwriting Services Page 11 STIFEL S&P. Therefore, based on our understanding of the City's available assets and the objective of achieving long term financial sustainability, we do not recommend a lease revenue bond structure. j , I nF I Ire .. I ,r I I I,.- { I I v I,.I, .+ ' I I , , : 0 , - 11 / l I'_ _ ill, i , nm.it I , IC I , , ,'fI .rt I ry, l..[ty,.. ., " I r )1,1 1 n,.Ii t, Secure S&P Rating. When the uptick in issuance of POBs began about 18 months ago, underwriters were encoLlraging two ratings for any issue over $100 million. However, because of the different treatment of PCBs among the three rating agencies, two ratings often meant split ratings with S&P higher than Moody's and Fitch. More recently, evidence suggests that the negative impact of split ratings is greater than the positive impact of having two ratings. Therefore, no matter the size of the 2021 POBs, we recommend a single rating from S&P. Estimated S&P Rating and Credit Strategy. S&P most recently affirmed the City's issuer credit rating at 'AA' in January 2020. Unfortunately, the outbreak of COVID-19 and subsequent r""` w.i,ht ``"`" H.,h '"u' Ra•'"e mcrr,. E a„Pw"r.., owl 2no I.no I.rn AAA impact or) the global ernnnmy just n few rnonths later caused Ec,nnmy 30% 3 no 1 r,9 1 R4 AAt S&P to reevaluate all sectors of municipal finance. While we """°t°"""" 20% 10o 19s 234 AA Eiy_lu'..y 10% 1.00 2.2, 281 AA - do not expect any downward rating action (especially since the E_deCta,y P CM11L,rty 10% 1 00 285 s 21 A City has maintained its strong crediL profile), we do believe iL s_d,;e-ary re, ro,oance m% sao s25 :d1 A will he diffirult to nhtnin An upgrade in the rurrent economic ''''oot&co,tlnp,CItJabilitcs 10% 4OU 3E 3J4 A- Estinated Score 220 3 D] 424 33ti+ climate. As the City may already know, S&P takes a fairly Eytim,tedPon R,ting AA 4 ? r 4,4 RRR transparent, formulaic approach that heavily weighs the as; 474 nnR- slrenglh of the locdl dnd regiondl economy, rndnagernenl practices dnd policies, budgetary perrorrndnce, liquidity, and the debt and liability profile of the issuer. Using data from the 2020 CAFR and 2021 Budget, we estimate that the City would maintain its strong 'AA' rating. The credit story we plan to take to S&P will address the categories listed above; however, a primary focus will be on the City's underlying economic fundamentals in light of the COVID-induced economic contraction, the financial management policies, and Unfunded Employee Pension Liability Cost Reduction Policy it puts in place to ensure the long-term financial sustainability of the General Fund. Provided below are some initial credit thoughts. I, .. 1,x, I,,( The only glaring weakness in S&P's 2016 $&P Credit$corecard and Santa Ana Highlights N rating report and something outside the City's control.�n9 IflBi However, since 2016, the City's median household q income has grown nearly 40%, surpassing national levels. Market values have skyrocketed, with citywide values increasing by 260/ over the past S years. Single family home growth has been equally Impressive, growing by 44% since 2016. fatlaanalp!p root^era:: Management continues to be one of the " strongest areas of the City's overall credit profile. Comprehensive and fully integrated policies and practices a/A "1° "1° "1° that are regularly reviewed and updated. Most notably, the City recently slrenglhened its budgeL and reserve policy in 2017. As we intend in do for S&P during the Practice D—nation ­o+o review process, we have summarized the most important policies in the accompanying graphic- 10�,r Rud eWr Flexibility: Unlike rndn nei hborin cities, the s r�--.LP " °" ^ " ^^1e ,errs,.=_. g Y Y� Y g g r � ..,: r „r . �.1 r r City has significantly strengthened its budgetary flexibility U,e;E 4ca,F,c rr.,Lt�Lr,ra over the past year, with operating reserves growing by D „-- „ n roughly $8 million to a total of $S3 million, representing 16.6% of General Fund ooeratinR reserves (adooted I.. (' w policy goal). City Council 2312.14 ' ,f10i°,�' '-/9W21I City of Santa Ana I Proposal to Provide Underwriting Services Page 12 STIFEL f Iv. Vf I I Ir .r 1 r ryf, I r J. I it, 'rt 1 p... I'll 1•. ny 1 I I, i ,. aynlA nip t 11 1 , . 1 Our banking and underwriting team structure, market, and price more bonds than the competition (that includes taxable bonds and POBs!). Our constant market presence provides a unique insight into active potential buyers (not just the top bondholders) for the City's POBs. -three -Ilpalrt I..nvestolr fargeting.Stlraategy Stifel has a three part strategy for targeting investors: 1. Target Anchor Investors. First, Stifel's underwriter will identify and market to investors that buy POBs who we see as 'anchor investors.' These investors (e.g. bond funds) were large buyers of the recent Chula Vista and Orange POBs. 2. Broaden Outreach. We will broaden our outreach to a growing list of POB buyers, including municipalities, and international buyers, to help drive down the interest rate. 3. Leverage Private Client Group. Stifcl will leverage its Private Client platform to generate interest from individual retail and smaller money managers interested in purchasing for retirement portfolios. Targets for Anchor Orders. The accompanying table identifies about 50 buyers of recent California POB issuances and details which part of the yield curve they tend to target. Based on our recent experience with the Chula Vista and Orange POBs and the significant secondary trading activity Stifel executed on other POBs, we identified several investors as anchor orders for the City's POBs, highlighted in yellow. Of course, the make-up of the anchor group is subject to change and will be re-evaluated based on insight from our sale of the Huntington Beach POBs scheduled next week (among others). nve%kiril Titio-away'.: Chula'ai1.51a 49lad 01'angp 11101 S :>oo Step 3 Leverage Private Client Group Throughout ;,rlo i(1O Step 2 Broaden outreach IM a r. p is . In R rvcr'. 1 Step 1Establish Anchor Orders 10 >lol, lil'�k'Id,I a Set ..�U .... �� ,,,��San, m mmmml mmmml Rl 1 .IJ M K rl rJ ) �I 1 rV /;r�llll I 1^I/I lrel f ctlP.�fi II �Ir�m [ nd .,tlh._r r ar _ . 1, n.l land nnand III udinP. rx,,,,nrVun uahty A0(3h Ativi<nr Liberty Mutml Group AIG Mackay shields JV^�^^11I11111 I��II1 American Family Life M .gin, P 1 1- �111Y�I���I����Y�III II A nLfc lnzurancc A ..mm �Iil{l �r�� pygkiiiMdCgank sm tr< A,ti [apiral Mpmr, npnnna'. txrhanpp nanl, 3,110 Advil— Rel Air Investment Advisors neaL,�rger g�nnan II r. I „patn,pnr< „li k t Inv<r n t rU od h<hari kR.c BI kR k & f T 8 .m `.� I!Iili��lrli�l�i!11Ygh PIMeu ���. i Y. 1 r 1-. P N- A< M P C L r r ld RE Advisors Corporation C d F -IMy tiny_ S I gCumpany „lox,AApp rare atpd IIf. mc. pprypppppp�ry .1111!�111VIII11Y11111Ya�r?K W A«cr Mgmr rid, ary T t Co of AY s ill 1 rani L1 real Llfa Fin,c NLw York St fez p SP A L Mc 1 First T h gyFCU n An L,11 lWasmerSchmederG Al t.A 1v<m t ypi IU, G -. I S AM W tunA—t Mgmt G t n Wilingtoncapital Mgmt <. III ii�111Ya�iYA111Ya111Y�i h xa Pon Mset Mpmt ppnn .m ` �i�i�111VA11 11Yq�1 wells capital McAt W--_iutTruv_ tl pp ppp Municipal Demand to Further Drive Demand. Our broker colleagues serve as investment advisors to many municipalities around the country. We've utilized the demand from these buyers to help drive down interest rates that we set in the short -end of our POn transactions (first 6 years). Over the past 6 months, Stifel garnered nearly $70 million of orders from municipalities to purchase high-grade taxable bonds, as illustrated in the accompanying chart. City Council e Maw 1 2 3 4 5 T0t31 Allcn, Tx 51,ono $1,0n0 sl.non 51,0no 51,000 55.0n0 Cinch Vista, CA - - - - 1875 1,575 Cloyls, CA - - 3,15n - - 3,150 _aguna Bearh, GA - - - - 30t10 2000 Uc"on dc. CA - - - 1.520 1030 J,550 o.nard, CA 1,000 1,000 ,rhhnrr, Tx 3,m, s,t„ 1.R4n 1, 17, 11,97, San Antonio Watcr Systcm, Tx 3,000 4,000 7.000 rasadcna. CA 1,J00_.�00 3,000 2,J00 4035 aacilancis, CA - - 1.U0U 2,22a - J.225 hpu­­ I,." , , - - - 1 0I111 - l'oul) ,ant, (23 �.L,171,5A SM81202 1 1.640 Total $6,305 $11,655 $31,630 9,420 $10,940 $ 69,950 UV of SAntta Ana I Proposal to Provide Underwriting Services Page 13 STIFEL Mairlw4i!ng IPla ru Stifel will employ a 3-point marketing plan for the City's POBs. 1. Early Outreach to Anchor Investors. Beginning about one month before the POBs come to market, Stifel will begin to communicate with potential anchor investors. Stifel's California based salesforce will target domestic institutional accounts while working concurrently with Stifel Europe to communicate with international accounts. Based on their feedhack we can hegin tracking where they are haying and trading similar credits, giving us i hetter understanding of where they will price this credit. 2. Drone Video/Investor Presentation. Many underwriters have used 'flat' investor presentations to accompany the sale of POBs. We would prefer to show a more dynamic presentation of the community, describe the vision that Council and management have for the City and provide context of the City's strategic location within Orange County. As noted in our cover letter, along with our proposal, we provide a brief video that would be used to market the City's POBs. IM./I, YIX,I YYf"YF➢"MY��JPYFVI'f� ,.. ... per. _. -.. - L`0 ' 3. Local Retail Marketing Plan. Newspaper ads in local publications (both print and online editions) will be used to publicize the bond sale to " residents. Stifel would place ads, at no cost to the City, in publications like the Los Angeles Times, the Orange County Register and The Daily Pilot. Recent examples of our local retail marketing campaign efforts are provided in the accompanying graphic. _I I V11 i I ,, I.rv✓�✓,ry, I I , HI 11 „pv, I „:m ,n; ;'tI I I),,rf II r.d, W, itn r r , r ,,.rr,, i, r,, n,I, in q.' For a transaction as large as the City's, we do not believe a private placement will produce a better result than a public bond sale. A private placement would be set as one blended interest rate (with more weight given to the final maturity of the POBs) whereas a public bond offering would enable the City to divide the issuance into smaller pieces by serializing the Bonds (years 1-15) and then splitting up the remainder of the issue with multiple term bonds. ,. , , , ,, r r, , ,, "I I ,„ ,,, f , , r . W , 11 . 11 r . �,-a . . We have had the pleasure of serving, as lead manager of a multi -firm syndicate on several recent POBs, including the Orange POBs that priced last Thursday (3/3) and upcoming Huntington Beach POBs, which are scheduled to price next work. Our goal as lead manager is to foster a collaborative environment that leverages the strengths of each co- manager to secure the best possible outcome (lowest borrowing cost) for our issuer clients. As mentioned in our cover letter, at the request of the city, advisor and in coordination with our co -manager, we seamlessly expedited the pricing period frorn a 2 lu 1-day process fur the recent Orange POBs to lock -in aggressive inlereal rates arnidsl market vulalilily. The strategy paid off as, over the next two days, US Treasury yields increased up to 9 basis points throughout the yield curve. City Council 23 — 216 5/18/2021 UY of Santa Ana I Proposal to Provide underwriting Services Page 14 STIFEL 7, If ITA art I r,,,II i. NTE Underwritine Fees rnvn..ii Il.II y try I )'It ,^u I, ,itnMtn I ,t.9wn vtr1, ?i 1 nisi; .t t..t y .1_ ..ti .remi,v t,l rill r I,i ^t,IS , y rynt' I 'prtdf W f r pr I f, Id I tr t r,Y �, r p v f f f tlf, yrr 'r it,hervn r , not yf), I at vf,,, v1 rp, , _.If, tv nI[ , , ,f,r fy tY I'X I,ur tt,n I fv Ilrt r tvnuwr (t ,,tt., V ,, ,, nw , v 1 11 1 m v I t, ft nt m. Stlfel's cost proposal Is comprehensive, competltive and reallstic to deliver the lowest cost of borrowing for the City. Based on a par amount of $671 million, we propose a gross spread of $1.86 per bond. a) Sales Takedown. Designed to compensate sales professionals for marketing the POBs as aggressively as possible, ensuring the lowest interest cost. b) Management Fee. Stifel does not propose a management fee if selected as sole manager of the City's POBs. If selected as senior manager, we propose a flat $30,000 fee. c) Expenses. Remaining fees are attributable to continuing disclosure, IPREO, and various other expenses. d) Underwriter's Counsel. The three firms and contacts we propose to serve as our counsel are Juan Galvan at Jones Hall, Albert Reyes, at Kutak Rock, and Kevin Hale at Orrick. Expenses $0.15 $102,500 Average Takedown 1.70 1,143,165 Total Gross Spread $1.86 $1,245,665 MIMM Underwriter's Counsel $0.04 $2S,000 Miscellaneous I ccs 0.00 1,391 IPREO Fees 0.09 61,688 Blue Sky Survey 0.00 500 DTC Setup 0.00 Soo CDIAC 0.01 5,000 CUSIP Numbers 0.00 621 Day Loan 0.01 7,500 Total Expenses $0.15 $102,500 It is important to emphasize that the City's financing costs are primarily (more than 99%) determined by the interest rates set on the POBs while the underwritin fee ee represents roughly 0.2%of the total estimated par amount. Over the 13.3 year average life of the proposed POBs, the City will pay approximately $253.5 million in interest costs (assuming the City's issues $671 million in Bonds). By comparison, our proposed fee of $1.86 equates to $1,246,000. Each $0.50 in takedown equates to $335,000 while each basis point (0.01%) in interest rate equates to approximately $720,000 in interest costs. 8. Q.arr,Ifla,;m�taura�; I. Certifications f j , t If I I,t I tt: Please refer to Appendix A. 9. ira_ IIrrrr_r a:meP i. References I'd, t r _' (t) Y r r, ' Ir ,, , r y III hj w �cI t , ,I wn r to IM ''r<ff rt , -I , N r' t rrn rf. s rt , I le, , ,n ttvse t m .sY t , 1t. ,uf tr „ ;A u , ,tA, r1 ,t ne, y I I antV I, ut It.rrf ,t Please refer to Appendix A. City Council 23-217 5/18/2021 City of Santa Ana I Proposal to Provide Underwriting Services Page 15 STIFEL Appendix A: Certifications (Attachments) and Stifel EEO Policy Please see attachments beginning on the following page City Council 23 — 218 5/18/2021 Oily of Santa Ana I Proposal to Provide Underwriting Services Appendix A M CITY OF SANTA ANA ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Arcadia _ _ Contact Individual: Flue Quad, Director of, Administrative Services Address: 240 W. Huntington Dr. P.O.Box 60021 Phone Number: (626) 5745425 Arcadia. CA 91066 Contract Amount: $2fo000($232/Bond) Description of supplies, equipment, or services provided: Sole Manaaer on 2020 Taxable Pension Obligation Bonds Facsimile Number: (626) 574-5400 Year: 2020 Reference Customer Name: Chula Vista Contact Individual: Maria Kachadoonan. City Manaoer _ Address: 2764th Ave. Phone Number: (619)409-5818 ChulaVista. CA 91010 Contract Amount. $875 062.50 ($2.501Bond) Description of supplies, equipment, or services provided: Sole Manaaer on 2021 Taxable Pension Obligation Bonds Facsimile Number (619) 591-5044 Year: 2021 Reference Customer Name. Glendora Contact Individual: June Overholt, Director of Administrative Services Address: 116 E. Foothill Blvd Phone Number: (626) 914-8241 CA 91741 Contract Amount. $467.045.00 ($7.2516ond) Description of supplies, equipment, or services provided: Sole Manaqer on 2019 Taxable Pension Obligation Bonds Facsimile Number: Year: 2019 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 19 of 24 S ubsp; (;ily Council 3cnhsp;23 lndash;&nbsp;219 5/1 S/2A21 @nhsp; 1riz•116MLI l MULIr_� ATTACHMENT B PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain, otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Stifel, Nicolaus R Com Signed and Printed Name: Title a Cj Q. c Date '� / r r / Z t o,ntiaS StiC..ob THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No 21-025 Underwriting Services for Pension Refinancing Bonds Page 20 of 24 S ubsp; Cily council &nbsp;23 lndash:lnbsp;220 5/1 S/2021 @nhsP, CITY OF SANTA ANA -------------- ATTACHMENT C NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) -fo the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation, that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding, that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, 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 proposal are true, and, further, that the proposer has not, directly or indirectly, submitted his or her proposal 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 proposal. Note: The above noncollusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution State of California, County of '.o�' Subscribed and sworn to (or affirmed) before me on this Ii day of 111,w,tj , 20... I.., by rk ',nra S ,7u l (I io , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Sig ature 9 N RTIAJt;0.9MILARRIN C-CY0ld 1 r.'e =iJI tux Aflnaems COUMnnty o c 2 �%� ma, I My Comm. F,xyrt PS Mdy 1], o.m. Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025 Underwriting Services for, Pension Refinancing Bonds Page 21 of 24 I ubsp; Cily Council &nbsp;23 lndash:&nbsp;221 5/1 S/2021 @nhsp; 0 CITY OF SANTA ANA ... _..... _._............ .- ATTACHMENT D NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) 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 be paid 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 this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Farm-LLi., "Disclosure of Lobbying Activities," in conformance with its instructions. 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 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: I-R Y Title: M+n+ q iV\at r'rac1'�r Firm: Stifel, Nicolaus & Company, Incorporated Date: 'V t t/ 2_1 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RF P No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 22 of 24 S ubsp; C;ily Council &nhsp?3 lndash: lnhsp;222 5/1 S/2A21 @nhsp; CITY OF SANTA ANA 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, 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, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Siifel. Nicolaus & Company. Incorporated Date: `�ea5e CQ�rer �� "fie c, �q�Q �or of r Co✓n'�ter�S7�' � Noa-� sccirn on 1�c, e.S THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025 Underwriting Services for Pension Refinancing Bonds Page 24 of 24 S ubsp; C;ily CounCiI &nbsp;23 lndash:lnbsp;223 5/18/2021 @nhsp; NON-DISCRIMINATION POLICIES Equal Employment Qpporttmity Stifel is cotnmittcd to providing equal employment opportunities ("EE,O") to all Associates, applicants fix employment, and individuals providing services in the workplace without regard to actual or perceived race, color, religion, creed, gender, pregnancy (including childbirth, lactation, child-bearing capacity, sterilization, fertility, past pregnancy condition and the potential or intention to become pregnant and related medical conditions), sexual and reproductive health decisions, sexual orientation, gender identity and gender expression (including uansgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), national origin, ancestry, age, disability, weight, genetic information, marital status, citizenship status, familial status, homelessness (i.e.. lack of a permanent mailing address or a mailing address that is a sheltcr or social services provider), status as a covered veteran or any other protected criteria in accordance with applicable federal, state, and local laws. Stifel complies with all applicable state and local laws governing non-discrimination in employment applicable to each location in which the Firm operates. Stifel strictly prohibits any form of unlawful discrimination. Equal opportunity extends to all aspects of the employment relationship, including hiring, transfers, promotions, training, termination, working conditions, compensation, benefits, and all other terms and conditions of employment. All Stifel Associates are responsible for implementing this EEO policy in thew daily actions, conduct, and decisions. All Associates are expected to treat each other with respect and professionalism. Associates are encouraged to contact Human Resources regarding any potential violation of this policy as soon as possible. Stifel strictly prohibits any type of retaliation against an individual who in good faith reports a violation of this policy, raises it complaint or concern regarding discrimination or harassment, or otherwise engages in protected activity under the law. Stifel also complies with the applicable provisions of the Americans with Disabilities Act, as amended, and similar state and local laws, and it does not discriminate against any qualified Associate or applicant because of a real or perceived disability. Stifel will make reasonable accommodations for qualified Associates or applicants with disabilities or for pregnancy consistent with applicable law. Retaliation for requesting an accommodation for a disability or pregnancy is strictly prohibited. Americans with Disabilities Act The Americans with Disabilities Act ("AIM"), as amended, requires employers to provide reasonable acconnnodations to qualified individuals with disabilities. Stifel complies with the ADA and prohibits discrimination based on disability. 'fhc Fitm also reserves the right under the ADA to seek medical certification, when appropriate, to facilitate its compliance with the ADA. Effective 2019 S ubsp; C;ily Council &nbsp;23 lndash:&nbsp;224 5/1 S/2021 @nhsp; It is Stifel's policy not to discriminate against qualified individuals with disabilities with regard to application procedures, hiring, advancement, discharge, compensation, training, or other terms, conditions, and privileges of'cnployment. An applicant who can be reasonably accommodated for ajob, without undue hardship to Stifel, will be given the same consideration for that position as any other applicant. Any individual who seeks a reasonable accommodation should contact I -Inman Resources - Anti -Discrimination and Anti -Harassment Stifel is committed to it wort: environment where all individuals are treated with respect and dignity. Every individual has the right to work in a professional amnosphere where equal opportunity is encouraged and promoted, where diversity is accepted and valued, and where discriminatory practices, including harassment, are prohibited. Discrimination and harassment arc violations of Stifcl's Code of Conduct. Therefore, Stifel expects that all interactions and relationships among individuals who conduct business for and with the Firm will be professional and free of bias, prejudice, and harassment. These individuals include, but are not limited to, all Associates (including supervisors and managers), clients, contractors, vendors, and outside agencies. Discrimination, harassment, and inappropriate behavior will not he tolerated and will be addressed promptly and appropriately. Unlawfid discrimination is defined as behavior that displays prejudice towards an individual based on age, ancestry, citizenship status, color, gender, gender expression, gender identity, genetic 11112nmation, marital status, medical condition, military or veteran status, national origin, physical or mental disability, pregnancy, race, religion, creed, sex, sexual orientation, weight, sexual and reproductive health decisions, or any other basis protected by federal, state, or Local laws. Unlawful harassment is defined as unwelcome conduct toward an individual because of his or her age, ancestry, citizenship sinus, color, gender, gender expression, gender identity, genetic information, marital status, medical condition, military or veteran status, national origin, physical or mental disability, pregnancy, race, religion, creed, sex, sexual orientation, weight, sexual and reproductive health decisions, or any other basis protected by federal, state, or local laws, when the conduct creates an intimidating, hostile, or offensive work environment, and/or negatively affectsjob opportunities. Examples of harassment that may violate the taw and will violate this policy include, but are not limited to: • Oral or written connmunioations that contain offensive name-calling, jokes, shrrs, negative stereotyping, or threats. This includes comments orjokes that are distasteful or targeted at individuals or groups based on any characteristic noted above: or otherwise protected by Federal, state, or local law. • Nonverbal conduct, such as staring, leering, or giving inappropriate gifts. • Inappropriate physical contact, including any unwanted touching. • Visual images, such as derogatory or offensive pictures, cartoons, drawings, or gestures. Such prohibited images include those in bard copy or electronic form. L❑ective 2019 S ubsp; C;ily Council &nbsp;23 lndash:lnbsp;225 5/1 S/2021 '@nhsp, Sexual harassment is a form of'harassrnent that is based on a person's sex, and includes requests for sexual favors, sexual advances, or other sexual conduct where: • The conduct is made as a term or condition of employment, • The acceptance or refusal of the conduct is used as a factor in employment decisions; or • The conduct creates an intimidating, hostile, or offensive envirommem. Because Stifel strives to ensure a professional, respectful work environment Stifel reserves the right to respond to unprofessional or disrespectful behavior, even if not illegal, or no one has complained about the behavior. E14ectivc leadership requires that managers talk with their Associatcs about theirjob performance. Managers should be clear about how each Associate is performing and bow the Associate's overall behavior contributes to the workgroup's ability to deliver results. While these discussions maybe difficult, they should always be conducted with professionalism and respect. hhe Firm also prohibits Associates from engaging in bullying behavior. Gullying is defined as aggressive or inappropriate behavior, either direct or indirect, whether verbal, physical, or otherwise, conducted by one or more persons against another, and which is repeated or is highly likely to be repeated in the course of employment. The Firm will not tolerate bullying behavior. The Firm provides periodic, mandatory anti -harassment and anti -discrimination training for all Associates. Any Associate who fails to complete such training when provided will be subject to disciplinary action. If the Firm receives allegations of misconduct, it will conduct a fair, timely, and thorough investigation that provides all parties an appropriate opportunity to participate, and reaches reasonable conclusions based on the evidence collected. The Firm prohibits retaliation, including but not limited to threats, whether verbal, written, or by electronic means, against any individual who reports and/or provides any information concerning unlawful discrimination, harassment, and/or other violations of Firm policies, rules, and standards of conduct. Any Associate found engaging in retaliation will be subject to disciplinary action, up to and including termination. Non -Retaliation It is unlawful and expressly against Firm policy for any Associate to retaliate against any other Associate for making a complaint of discrimination or harassment, or for cooperating in an investigation of any allegations of discrimination or harassment. Accordingly, individuals who report incidents ofdiscrimination or harassment in good faith, or who cooperate in an investigation regarding any such allegations, will not be sullject to any form of retaliation. Any Associate who believes that lie or she has been retaliated against, or who believes that he or she has witnessed any form of unlawful retaliation, is required to report it immediately to his or E.fftctivc 2019 S ubsp; C;ily COpOCII &nhsp;23 lndash:lnbsp;220 5/1 S/2021 @nhsp; her supervisor. In the event that this is not possible f'or any reason, or the Associate is uncomfortable reporting the conduct to Iris or her supervisor, the Associate must report the conduct to Hunan Resources. The reporting and investigation of allegations of retaliation will follow the procedures set forth in the reporting and investigation of discrimination or harassment. Any person found to have retaliated against an individual for reporting discrimination or harassment, or for participating in an investigation of allegations Of any such conduct, will be subject to disciplinary action, up to and including termination of employment. Reporting and Investigation It is the responsibility of every Associate to further the implementation of the Firm's policies forbidding discrimination, harassment, and retaliation. If any Associate believes that lie or she has been subjected to discrimination, harassment, or retaliation, or believes that he or she has witnessed any form of discriminatory, harassing, or retaliatory conduct in the workplace, he or she is required to report the incidcru(s) to his or her supervisor. hi the event that this is not possible for any reason, or the Associate is uncomfortable reporting the conduct to his or her supervisor, the Associate must report the incident(s) to Human Resources or to Stifel's Legal Department. An Associate may also report an allegation to the Firm's EdiiesPoint Ilotline by calling 1-966-514-5292_ An appropriate person will conduct a prompt and thorough investigation of the allegations. Because discrimination, harassment, and retaliation issues can be sensitive, Stifel will take reasonable efforts to protect the privacy of all parties involved. However, confidentiality cannot be assured because it may be necessary to discuss allegations with the accused individual or others in or der forthe Firm to conduct a thorough investigation. As with any other investigation conducted by the Firm, Associates involved in an investigation must: • Cooperate fully; • Be completely honest and forthcoming; and • Agree to limit the flow of information only to those who need to know as determined by the Firm. If, as a result of the investigation, it is determined that unlawful discrimination, harassment, and/or retaliation has occurred, the Firm will take such prompt remedial action as it deems reasonably necessary under the circumstances to both stop the inappropriate conduct and prevent it from I'Mirruig in the future. Depending on the circumstances, appropriate remedial action may take the form of disciplinary action, up to and including ternination of employment. If an investigation results in a finding that an Associate knowingly made a false complaint, or a witness knowingly made a false statement, disciplinary action may be takcn, up to and including termination of employment. P. uetivc 2019 S ubsp; C;ily COpOCII &nbsp;23 lndash:lnbsp;227 5/1 S/2021 @nhsp; STIFEL Appendix B: POB Experience Since 2010 02' 2021 $14,000,000 Drexel Heights FD 2021 COPS (Pension Obligation) Sole AZ 02' 2021 5,POD,000 Verde Valley FD 2021 COPS (Pension Obligation) Sole AZ Q2' 2021 14,000,000 Navajo County 2021 Pledged Revenue (Pension Obligation) Sole AZ Q2' 2021 4,600,000 Wickenburg 2021 Pledged Revenue (Pension Obligation) Sole AZ Q2' 2021 50,000,000 Central Arizona FMA 2021 COPS (Pension Obligation) Sole AZ Q2' 2021 150,000,000 El Segundo 2021 Pension Obligaton Bonds Co ((-'u-Snr) CA JK Q2' 2021 95,000,000 Wheeling 2021 Pension Obligation Bonds Lead WV Q2' 2021 92,000,000 Manhattan Beach 2021 Pension Obligation Bonds Co (Co-Snr) CA JK Q2' 2021 270,000,000 Corona 2021 Pension Obligation Bonds Sale CA Q2' 2021 30,000,000 Kingman 2021 Exrise Tax Revenue (Pension Obligation) Sole A2 Q2' 2021 SG,000,000 Lake Havasu 2021 Pledged Revenue Obligations Sole AZ Q1' 2021 26,000,000 Lyons 2021 GO Bonds (Pension Obligation) Lead IL Q1' 2021 363,620,000 Huntington Beach 2021 Pension Obligation Bonds Lead (Snr) CA JK/TJ 03/03/91 286,485,000 Orange JWl Pension Obligation Bonds lead (Snr) CA JK/TJ 02/16/21 6S8,05S,ODO Tucson 2021 COPS (Pension Obligation) Co (Joint-Snr) AZ 02/10/21 350,025,000 Chula Vista 2021 Pension Obligation Bonds Sole CA 02/09/21 11,880,UUO Bradley 2U21 GO Bonds (Pension Obligation) Sole IL 02/02/21 10G,33S,000 Monterey Park 2021A Pension Obligation Bonds Co CA TJ 11/09/20 101,490,000 Gardena 2020 Pension Obligation Bonds Co (Co-Snr) CA JK 10/29/20 52,950,000 Placentia PFA 2020 LRBs (Pension Obligation) Sole CA 10/2//20 1)0,000,000 Arcadia 2020 Pensinn flhligatinn Bnnrls Sole CA IK/I 1 10/22/20 111 RSS,000 Gila County 2020 Pledged Revenue Obligations Sole AZ 10/21/20 89,05S,000 Pinal County 2020 Pledged Revenue Obligations Sole AZ 07/23/20 131,000,000 Flagstaff 2020 COPS (Pension Obligation) Sole AZ 06/10/20 30,705,000 Fort Ord 2020 TABS (Pension Obligation) Lead (Snr) CA 02/Os/20 94,195,000 Pasadena 2020A Pension Obligation Refunding Bonds Lead (Snr) CA IK/TI 02/05/20 47,610,000 Pasadena 2020E Pension Obligation Refunding Bonds Lead (Snr) CA JK/TJ 08/22/19 64,420,000 Glendora 2019 Pension Ubligation Refunding Bonds Sole CA TJ 12/04/18 1S,325,000 Fairfield 2018 Pension Obligation Bonds Sole CA OS/24/17 31,960,000 Riverside 2017 Pension Obligation Bonds Sole CA 1K 05/12/16 31,145,000 Riverside Pension Obligation Refunding BANS Sale CA 1K 01/07/16 334,275,000 Orange County 2016 Pension Obligation Honds Lead (Snr) CA O11/27/ls 21,83S,000 Fairfield 201S Pension Ohligation Bonds Sole CA 08/19/15 15,995,000 Fountain Valley 2015 Pension Obligation Bonds Sole CA 1K 07/22/15 32,02O,OD0 Oceanside 2015 Pension Obligation Refunding Bonds Sale CA 05/07/15 30,940,000 Riverside 2015 Taxable Pension Obligation Refunding BANS Sole CA JK 01/08/15 339,625,000 Orange County Pension Obligation Ronds 9011; Series A Co CA 05/08/14 30,940,000 Riverside Pension Obligation Refunding BANS Sole CA 1K 07/30/13 32,71S,000 Santa Rosa 2013 Pension Obligation Refunding Bonds Sole CA O6/04/13 248,09S,000 Indiana Bond Bank 2013 School Severance Refunding Bonds Member IN 05/01/13 30,94Q000 Riverside 2013 Pension Obligation Refunding BANS Sole CA 1K 05/29/12 3,583,000 San Anselmo 2012 Pension Obligation Bonds Plcmnt Agnt CA 05/18/1 J 2,645,000 Ross Valley 7012 Pension Obligation Bonds Plcmnt Agnt CA 0J/01/12 :30,"0,000 Riverside 2012 Pension Obligation Refunding BANS Sole CA IK 05/0S/11 30,77S,000 Riverside 2011 Pension Obligation Refunding BANS Sole CA 1K 12/21/10 15,870,000 Fairfield 2010 Pension Obligation Bonds Sole CA 06/22/10 4,490,000 San Rafael 2010 Pension Obligation Bonds Sole CA OS/11/10 30,60Q000 Riverside 2010 Pension Ohligation Refunding RANs Sole CA IK 01/06/10 17,650,000 CSCDA (San Ramon) 2010 Pension Obligation Bonds Senior CA 1K Senior Total: $3,924,388,000 46 Sole, Senior and Co -Senior Transactions since 2010 Co To City ou 'nci 23 — 2 28 5/18/2021 4:ily of Santa Ana I Proposal to Provide Underwriting Services Appendix B STIFEL Appendix C: Team Resumes John I(im John Kim has more than 24 years of experience working with public agencies. John co -leads Managing Director management of Stifel's California general government practice group and is a member of the Role. Co -Lead Banker Firm's Executive Committee that runs our natlonal public finance department. John Is serving Los Angeles, CA as or served as lead banker on the Gardena, Manhattan Beach, Orange, and Huntington Beach (213) 443-5203 proposed $363 million POB,, scheduled for early next year. jkim@stifeLcom BA — University of California, Berkley Tom Jacob Tom Jacob has 14 years of public financing experience and during his career, he has assisted Managing Director- municipal bond issuers with the sale of over $S billion in par value. Of particular relevance to Role: Co -Lead Banker the City's proposed POBs, Torn has served as lead banker on several recent pension financings Ws Angcles, CA including the Glendora, Pasadena, and Arcadia PORs, and will be assisting the city of Huntington (213) 443-S010 Beach on the proposed $363 million POB financing scheduled to come to market next week. tjacobCTstifeLcom Prior to working at Stifel, Torn worked at PFM as a municipal advisor. BA — University of Califnrnia, Santa Cruz; MBA - USC Esthela Carreon Esthela Carreon jolned Stifel In 2016 and has over 4 years of public finance experience. Esthela Assistant Vice President has provided analytical and pricing support for a variety of California credits, including pensions Role: Support Banker and larpe taxable financings. Esthela's recent POB experience includes financings for the cities Los Angeles, CA of Gardena, Sierra Madre, and upcoming Manhattan Beach. (2131443-5221 ecarreon@stifeLcom BA University of California, Los Angeles Nick Tracewell Nick Tracewell joined Stifel in 2019 and has since assisted on a variety of financings_ Nick has Analyst provided credit analysis and execution support on a variety of credits throughout California. Role: Support Banker Nick's POB experience includes financings for the cities of Orange, Monterey Park, and San Francisco, CA upcoming El Segundo. (4 15) 361-5968 tracewelln@stifeLcom BS— Miami University Sara brown Sara Brown has worked in municipal finance since 1996, beginning her career in Washington, Managing Director D.C., lobbying for publicly financed affordable housing and moving into investment banking in Co-Hend of CA Public Finonce 1997. Since joining Stone & Youngberg in 2000, which was acquired by Stifel in 2011, she has San Francisco, CA helped structure and bring to market more than 350 financings totaling over $8 billion. This (41S) 364-6872 includes recent POB financings for the cities of Chula Vista and Orange. Sara serves as the co- sbrown@sUfel_com head of Stifel's California Public Finance practice and is a member of the Public Finance Department's Executive Committee. BA — Syracuse University; MPM — University of Maryland Erica Gonzalez Erica Gonzalez has over 1S years of public finance experience and during her career has assisted Managing Director municipal bond issuers with the sale of over 4n0 issues totaling nearly 511 billion in par value. Co -Head of CA Public Finance Erica has recent experience this past year working on large taxable financings for San Mateo - San Francisco, CA Foster School District, San Ramon Valley USD, among others. Erica serves with Sara as the co- (415) 364 6841 head of Stifel's California Public Finance practice and is a member of the Public Finance egonzalez(7stifel.com Department's Executive Committee. BS— University of Southern California City Council 23 — 229 5/18/2021 Cfly of Santa Ana I Proposal to Provide Underwriting Services Appendix C STIFEL Betsy Kiehn Betsy Kiehn joined Stone & Youngberg (now Stifel) in 2004. She directs the pricing and Head of Municipallnsrirurional marketing of tax-exempt and taxable municipal issues underwritten by Stifel making Soles, Doding & Underwriting Role: Co -Lead Underwriter San Francisco CA (41S) 364-2/91 bkiehn@stifel.corn Benjamin Stern Managing Director Role. Co -Lead Underwriter Los Angeles, CA (213)443-5225 bste rn @ stife Lcon Marcus Peters Viet? President Role. Co Lead Underwriter San Francisco CA (415) 364-6842 petersm@stifeLcom commitments on nearly 200 new issues totaling more than $5 billion each year. In addition, Ms. Kiehn manages Stifel's short -terra underwriting and variable rate remarketing efforts — a book of 75 issues totaling $1.3 billion. BS — University of Vermont Ben Stern directed all underwriting at one of Stifel's predecessor firm, De La Rosa & Co. He has 28 years of municipal experience and directs the pricing and marketing of tax-exempt and Laxable municipal issues uriderwriLLen by Stifel from our Los Angeles municipal syndics Le desk. Ben has underwritten more than 5235 billion of municipal financings over the course of his career. Ben has lead all of the firm's successful POB underwritings in California over the past few years. BA & MBA— University of California, Los Angeles Marcus Petrrs joined Stifel in rarly 2017 with over 5 years of experience in the industry. His previous experience includes being a municipal credit analyst supporting an 580 billion municipal bond portfolio as well as a bond insurance underwriter and credit analyst. BA— University of California, Irvine, MBA — Carnegie Mellon University City Council 23 — 230 5/18/2021 City of Santa Ana I Proposal to Provide Underwriting Services Appendix C STIFEL Appendix D: Most Significant Engagements Since 2016 Public Senior Underwriter 03/03/21 Orange Idxa ble POBs 5286.49 Will Kolbow /14-/44-2235 Public Senior Underwriter 02/10/21 Chula Vista Taxable POBs 350.03 Maria I(achadoorian 609-691-5144 Puhlir Senior Underwriter 12/09/20 William S. Hart UHSD Taxahle GO Bnnds 137.03 Mike Kuhlman 661-2S9-0033 Public Senior Underwriter 09/10/70 Saugus USD CO Runds 107.40 Nick Heinlein 661-794-5300 Public Senior Underwriter 04/03/20 Chino Valley USD 60 Bonds 258.00 Ciregory Stachura 909-628-1201 Public Senior Underwriter 09/12/19 Fresno USD Taxable GO Bonds 103.74 Ruth Qu into SSO-457-6225 Public Senior Underwriter 07/11/19 Perris t1HSD GO Bundy 148.00 Candace Reines 9i1-943-6369 Public SPniur Underwriter 06/U6/18 Riverside TRANS 340-()U Ivan Chand 127 Puhlir SPniur Underwriter 01/04/18 Anaheim, RDA IAH% 107.46 lohn Woodhead 714-765-4301 Public Senior Underwriter 11/02/17 Fontana RDA TABS 200.32 Lisa Strong 900-3S0-7671 Huhhc Senlnr wrderwnter 06/11,/11 Irvine USU Special lax Bonds 204N2 John Fogarty 949-93G-S03S Public Senior Underwriter US/74/17 cal Pollution ConUol FA Solid Waste Rev Ronds 778.17 Jerry llhland 53U-639-719(1 Public Senior Underwriter 01/25/17 Chino Valley USU GO Bunds 208.00 Sandra Chen OOIJ-628-1201 Public Sonlor Undcrwrltor 01/19/17 San Dlego RDA TA85 155A0 Lal(Shml I(omml 619-236-6928 Puhlir Senior Underwriter 01/18/17 Palm Desert RDA TABS 140A-3 Janet Moore 7G0-346-0611 Public Senior Underwriter 12/13/113 Montebello USU GO Bonds 100.00 Ruben Nojas 323-88l-/900 Public Scriur Underwlitel 09/08/16 hvine Special Tax Bards 135.84 Glace IC Leung 949 724 6264 Public Senior Underwriter 08/04/1G Los Angeles County RDA TABS 2S1.29 Douglas Baron 213-974-83S9 Public Senior Underwriter OG/09/1G Riverside County TRANS 340.00 Ivan Chan(] 951-9>5-1141 PrbllC Suniur Underwriter 04/0i/16 Sari DICgu USD GO Builds 14i92 Jenny Sall(eld 619-tL,-/GG/ Public Senior Underwriter 01/14/16 San Diego USD GO Bonds 117.83 Jenny Sall(eld 619 72S 7667 Puhlic Senior Underwriter 01/07/16 Orange County Taxable POBs 334.28 S1.12anne Luster 714-834-3362 City Council 23-231 5/18/2021 City of Santa Ana I Proposal to Provide Underwriting Services Appendix D STIFEL Appendix E: Sources and Uses of Funds SOURCES AND USES OF FUNDS City of Santa Ana, C,Afurnia 2021 faxable. Puni,on Obligation Bonds .................................................................................................... SUWg HtIleCtS 90%'UAL Funding, Scenario Alk N,rnoeir,, are Preliminary - Based on Uncredying Rating of'AA'frorn S&P Dated Date 10/13/2021 Delivery bite 10/13/2021 Source:: bond Proceeds Par Amount b38,790,000,00 638,790,000.00 Uses PrOIRCt Fund be�POFiU Propect Fund 636,214,684.50 Delivery Date Expenses: (:fast of 400,000.00 Uncitrwraer% Di;LOWIL 1,188,149A0 Bond insurance 984,24&47 2,5/2,391.87 other Uses of Funds: Rounding 2,91TG3 b38, 190,000,00 City Council 23-232 5/18/2021 oily of Santa Ana I Proposal to Provide Underwriting Services Appendix E STIFEL Appendix F: Proposer Questionnaire Within the past 36 months, has your firm and/or any of its principals been the subject of any investigation relating to the municipal securities industry by the SEC, FINRA, NYSE, or any other State or Federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal securities industry" Glen I Project Lawsuit. A putative class action lawsuit was filed in late 2019 against Stifel, Nicolaus & Company, Incorporated ("Stifel") in Missouri State Court, Case No. 1916-CV29250, by several institutional investors (the "Ivy Fund Lawsuit"). The plaintiffs in the Ivy Fund Lawsuit allege there were inadequate disclosures relating to the sale of municipal bonds they purchased from Stifel, which were issued by the Greene County Development Authority for the construction of a senior housing community in a luxury development in Georgia (known as the Glen I Project). Other bondholders in the same issuance also filed two additional lawsuits against our Company in late 2019 asserting nearly identical allegations and claims: a second Missouri lawsuit, Hoffman et al. v. Stifel, Case No. 1916-CV32191, and one lawsuit now pending in Georgia state court, Principal Street Partners f/k/a Green Square Boston, LLC, d/b/a Green Square Capital Advisors on behalf of Advantage Advisers Tax Exempt High Income Fund I and Advantage Advisers Tax Exempt High Income Fund 11 v. Stifel, Case No. 2019CV328671. (The Georgia lawsuit was initially filed in federal court and also included additional claims and defendants, which were subsequently dismissed voluntarily by the plaintiffs). Stifel believes these lawsuits have no merit and is vigorously defending against the claims. Troy Bank Lawsuit Summary. A putative class action lawsuit was filed on or about February 28, 2020 against Stifel in Missouri State Court, Case No. 20SL CC01077, by Troy Bank and Trust Company, individually and on behalf of a class of those similarly situated relating to a municipal bond issuance in the City of Chicago (the "Ernst" issuance). The plaintiff alleges there were inadequate disclosures relating to the sale of municipal bonds in the Ernst issuance they purchased from Stitel, which were issued by the Illinois Finance Authority to acquire affordable housing units in Chicago. The plaintiff's claims primarily relate to the alleged failure to identify or disclose housing code violations in prior issuances involving the same non-profit, Better Housing Foundation_ The Company believes the lawsuit has no merit and is vigorously defending against the claims. Karegnondi Water Authority. Stifel has been named as a defendant in a United States District Court, Eastern District of Michigan, Southern Division, litigation in connection with the underwriting of bonds to finance the Karegnondi Water Authority ("KWA") pipeline, a new water pipeline intended to serve Flint, Michigan and surrounding areas. The lawsuit is filed against JP Morgan Chase, as senior manager, and Stifel and Wells Fargo, as co -managers, who underwrote the bonds for the KWA in 2014. The complaint alleges novel claims against the underwriter defendants, including conspiracy and professional negligence. We intend to defend vigorously against the allegations. 1 within the past 3b months, has your firm and/or any of its principals bccn invulvcd in any litigation, arbitration, disciplinary or other actiuns arising from the flrm's underwriting, management or handling of municipal securities? Stifel, Nicolaus & Cornpany, Incorporated ("Stifel") is an investment banking and securities firm providing investment services to individuals and institutional clients, investment banking, and related services including the day-to-day purchase and sale of securities. Stifel is a wholly -owned subsidiary of Stifel Financial Corp. (SF). In the normal course of business, at any given time, Stifel is subject to a number of claims and disputes, as well as regulatory matters including examinations, reviews, investigations, or formal actions. All required disclosures of material litigation and regulatory matters are rnade in Stifel Financial Corp.'s public filings with the SEC and other regulatory authorities, such as its Form 10-K and the most recent Form 10-Qfiled with the U.S. Securities and Exchange Commission (the "SEC"), 8-K's, and in other regulatory filings, such as Form B/D, as amended. You are further referred to the FINRA website, where you can access Broker Check reports for Stifel, Nicolaus & Company, Incorporated which may be located with the following hyperlink: http!//brokercheck.finra.org/Firm/Summary/793. This contains the regulatory reports on Stifel's disciplinary disclosures. City Council 23 - 233 5/18/2021 Cily of Santa Ana I Proposal to Provide Underwriting Services Appendix F STIFEL C. Conflicts of Interest Does there exist any relationship between your firm and any other non-affiliated firm(s) or individuals involving any compensation arrangement that maybe associated with your possible engagement to assist with the City s proposed debt issue? I here appear to be no conflicts or perceivable conflicts of interest. I o the best of our knowledge, Stifel has no such arrangements material to our services and performance related to this agreement. City Council 23 — 234 5/18/2021 Celt' of Santa Ana I Proposal to Provide Underwriting Services Appendix F EXHIBIT 4 March 11, 2021 PROPOSAL FOR UNDERWRITING SERVICES FOR PENSION REFINANCING BONDS IbNa201R2NOWMAIffOR RAMIREZ & CO., INC. CELEBRATING 50 YEARS City Council 23 — 235 511 Sl2021 TABLE OF CONTENTS COVER LETTER II. AGREEMENT STATEMENT III. FIRM AND TEAM EXPERIENCE IV. PENSION OBLIGATION BOND EXPERIENCE V. DISTRIBUTION CAPABILTIIES VI. STRUCTURING IDEAS AND MARKETING PLAN FOR PROPOSED DEBT ISSUANCE VIL COST PROPOSAL Vill. CERTIFICATIONS IX. REFERENCES X. EVIDENCE OF FINANCIAL CAPACITY XI. INSURANCE Appendix A: Certifications Appendix B: Proposer Questionnnaire Appendix C: Ramirez & Co: s Underwriting Experience - Cities Population +250,000 Residents Appendix D: Assigned Team Resumes Appendix E: All California City Pobs Issued Since 2017 Appendix F: Pending Litigation Detail Appendix G: Ramirez & Co.'s Taxable Deal List Appendix H: Detailed Cash Flows Of Structuring Proposal Appendix I: Top Buyer of California POBs Legal Disclaimer RAMIREZ Paee 1 1 6 6 8 15 15 15 15 15 City Council 23 — 236 5/18/2021 RAMIREZ March 11, 2021 Kathryn Downs, Executive Director of Finance & Management Services Agency City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Dear Kathryn Thank you forthe opportunity to present Samuel A. Ramirez & Co., Inc.'s ("Ramirez & Co.") proposal for Underwriting Services for Pension Refinancing Bonds to the City of Santa Ana (the "City"'). It has been our honor and pleasure to have served the City on its two most recent refinancings. Ramirez & Co. is prepared to roll up our sleeves, once again, and make the City's pension obligation bond (POB) issue our top priority. In making your selection, we ask that you consider the following! We paid attention to the City; and paid attention early. Few, if any, firrns responding to this RFP have dedirated Lhe time, resources or paid attention to the City, like Ramirez & Co. IrnporlanLly, in October of 2019, Ramirez & Co. was the first to present PCB data to the City. Our team has presented subsequent POB analyses in November 2019, February 2020, March 2020 and June 2020. Additionally, in the height of the COVID-19 shutdown, our team developed the Ramirez Cash Flow Protection Program to help preserve liquidity. And, we have prnvidt'd a weekly market update since April 2020. We developed a statewide strategy to change an SCO policy and deliver savings. In 2007, the City issued Gas Tax Bonds to fund street improvements. Subsequently, the State Controller's Office ("SCO") restricted the use of this financing structure, thereby limiting the City's ability to refinance the 2007 Gas Tax Bonds. Ramirez & Co. coordinated a statewide strategy that included three cities across three counties and statewide policy makers, to successfully change the SCO's policy, allowing the City to safely refinance its 2007 Gas Tax Bonds. We delivered two (2) double 'AA' category rating upgrades; we are ready to deliver a 3'd. As senior manager for the City's Tax Allocation Refunding Bonds, Series 2018AB, our banking team delivered a two notch rating upgrade from 'A+'to 'AA'that saved the City $545,000 in issuance costs by eliminating the need of bond insurance. Similarly, our team helped the City secure a three notch rating upgrade on the City's Gas Tax Revenue Refunding Bonds, Series 2019, from 'A-' to 'AA-' that reduced issuance cost by $1/0,000 by eliminating the need for bond insurance as well. Our team knows the City and we will build on that institutional knowledge to help deliver better than expected results, once again. We know the City's General Fund credit. In the credit discussion, we include specific recommendations that will build on our prior rating success. Notably, the Ramirez & Co. team includes Peter Block, a former 14-year S&P State & Local Gov't Rating Analyst. With Peter's help, we developed a credit model to provide an indicative rating for the City's upcoming POB transaction. We assign the highest rating to the City's Budgetary Flexibility, Budgetary Performance and Liquidity. However, like most California cities, the City's debt and contingency liability is weak due to large unfunded pension/OPEB liabilities. Hence, like we did in 2018 and 2019, our focus will be to articulate the strengths of the City's Management Tearn and the local/regional Economy. Based on our recent rating successes, we firmly expect that the City should earn a strong 'AA' category POB rating. Relevant California City POBs Experience. Since 2017, Ramirez & Co. has senior -managed eight (8) California City POB transactions, representing 26% of all California city POBs. Moreover, Ramirez & Co. set the standard by incorporating a 10-year option call in our City of Brawley POB financing in 2017. Importantly, with each subsequent POB issue, we have broadened the investor base for POBs. Our recent California POB clients include the cities of Monterey Park, Coachella Hawthorne, EI Monte, Baldwin Park, Pomona. Brawleu, and San Fernando (pending); City Council 23 — 237 5/18/2021 AL RAMIREZ cities with similar demographics and economic metrics as the City, making us uniquely qualified to lead the City's proposed POB transaction. Distribution Resources to Deliver the Lowest Borrowing Rate. Ramirez & Co.'s distribution resources are comparable to our larger competitors: a 17 member taxable municipal bond sales force, a 16 member fixed income (corporate bond) sales group, and three sales professionals focused on state & local government investment pools and pensions systems. With sufficient capital to sole manage a $3.15 billion bond issue, Ramirez & Co. will make the City of Santa Ana our firm -wide priority. We commit to dedicate D_II of the Firm's resources to ensure the best execution. Additionally, we commit that we will not senior manage any other transaction on the day of the City's FOB pricing. Consider the use of Joint -Senior Managers. Many frequent (large) issuers utilize Joint Senior Managers, which allows an issuer to reward more than one firm with the coveted "senior manager' role. Notably, Ramirez & Co. served as Joint Senior Manager for both the State of CA and LACCD in 2020. And, we are currently serving as Joint - Senior Manager on an upcoming $G17 million San Francisco International Airport transaction. We encourage the City to consider this approach. Thank you for your consideration of Ramirez & Co. to serve the City, as senior manager, on this most important financing. We look forward to serving the City once again. Sincerely, Raul Amezcua, Senior Managing Director T: (213) 605-5120 E: raul.amezcua@ramirezco.com Fernando Guerra, Managing Director T! (310) 993-1440 E: fernando.guerra@ramirezco.com �j Michael Mejia, Senior Vice President M: (510) 364-1423 E: michael.mejia@ramirezco.com City Council 23 — 238 5/18/2021 RAMIREZ Proposal shall include a statement outlining your concurrence of concerns with any and all provisions as contained in this RFP. Ramirez & Co. agrees to all the provisions in this RFP. i. A general description of the firm, including structure, size, number of employees, relevant financing experience, and any past or canfenploted changes in ownership. Description of the Firm: Ramirez & Co. is proud to celebrate its 50`" anniversary in 2021! Since its inception in 1971, the cornerstone of Ramirez & Co., Inc. has been and continues to be municipal finance. More than 80% of the Firm's activities focus on state and local government finance, with the balance in debt/equity capital markets and asset management. Our focus on this sector elevates the importance of each municipal finance transaction within the Firm. Structure: 100% employee -owned corporation, incorporated as a "C-corp" in New York State. Size: Ramirez & Co. has the size and resources to have senior managed 72 transactions greater than $100 million in the last five years. With capital sufficient to sole manage a $3.15 billion financing in a given day and 39 institutional sales people that include: 17 municipal taxable/tax-exempt sales specialists, 16 fixed income/corporate bonds sales professionals and 3 sales specialists focused on state & local government investment pools and pension clients. As one of the highest capitalized privately -owned firms in the municipal bond industry, we trade, on average $100 million daily and carry a daily municipal inventory of $150 million. !i`illnae 20.15,. Ramirez & t:ie:a Vt:ar, ¢radaud $11.6 billiurn (29,61.7 Lva:cdas) ol< 6.,.a!i9urnua lDo n& in U .ecorndary rnnairkM, hrnIdUdhrig 'y33 bihiorn (4,AA Lradr-s) roll taxable laondr alrnrl ;n2.."R...9 million Q84 trades) of Ci fy oll Nan:liar Ana bonds.. Number of Employees: Ramirez & Co. has 133 employees in thirteen U.S. offices: Los Angeles, New York, Albany, Austin, Boston, Chicago, Dallas, Denver, Houston, Orlando, Puerto Rico, San Antonio and San Juan, Puerto Rico. Notably, every Ramirez & Co. office is managed by a woman, rnmority or US Veteran. 790/. of the Public Finance Department's employees are minorities and/or women. Relevant Financing Experience: Since 2017, Ramirez & Co. has participated in 23% of all negotiated municipal underwritings nationally. More relevant, since 2017, Ramirez & Co. has senior managed 26% of all Pension Obligation Bond issues issued by California cities. past or Contemplated Changes in Ownership: In our 50-year history, we have not had any ownership changes, mergers, name changes or Federal bailouts. Samuel A. Ramirez Sr., President and CEO and Sam Ramirez, Jr. own 90% of the Firm, with 19 employees owning the remaining 10%. Ramirez & Co. is a Top Ranked Underwriter of POBs (California and Nationally). Ramirez & Co. is one of the most experienced POB underwriters in California. Since 2010 Ramirez & Co. has senior managed eight POB transactions, all for California cities, with a par amount totaling $699.5 million (including Joint -Book Runner) and served as co -manager on five POB transaction with a par amount of $5.8 billion. Notably, Raul Amezcua, formerly the head of the 5tifel California Public Finance Team and the De La Rosa & Co. Banking Group, joined Ramirez & Co. in 2021. Raul brings over $2 billion of pension financing experience spanning three decades, from the initial 37-Act County POB issues in the 1990's, to the wave of city POBs issued in the 2000's, 2010's and in the new 2020 decade. His experience includes POB issues for the cities of Placentia, Chula Vista, Riverside and the Counties of Orange, Riverside, San Bernardino, among others. City Council 1 23 — 239 5/18/2021 RAMIRL4 Date Issue Par Amount (millions) Team Members Pending San Fernando, 2021 POBs $45.0 RA, MM, FG, PG 02/02/21 Monterey Park, 2021 PCBs $IcO.3 MM, RA, PI14 11/19/20 Coachella, 2020 POBs $17.5 FG, MM, PM 08/12/20 Pomona, 2020 POBs (Joint Book -runner) $219A FG, MM, PM OB/05/20 El Monte, 2020 POB $11&7 FG, MM, PM 09/24/19 Hawthorne, 2019 POBs $121.8 FG, NIM, PM 02/20/19 Baldwin Park, 2019 POBs $54.0 IVIIVI, PIM 07/12/17 Brawley, 2017 POBs $16.3 MM, PM Pending" City of Philadelphia, 2021 POBs $100.0 MM, FG, PM 12/20/17 City of Houston, 2017 POBs $1,00SA FG, PM 10/25/17 SLa Le of Illinois, 2017 POB $4,500.0 FG, PM 06/08/16 West Palm Beach, 2016 POBs $SOA FG, PM 12/04/14 Long Island Power Authority, 2014 POBs $164.9 FG, PM Total Senior Manager Experience (8 transactions) $699.5 Total Co -Manager Experience (5 transactions) $5,920.4 RA = Raul AnieZQIa; MM= Michael Mepa; F G=Fernando Guerra; PM=Patty Mccrorry. ii. A drscription of thr sizr of thr firm's govrrnmr.ntc1 staff and thr. (irm'c rxprorncr with govrrnmrntal ngrncice of a siniilor, sizr, noture, ord Scope. Emphagl Shallld he placed on oWyrir)ent5 undertaken within the pa4 three (3) years and on f'Y yoyemenri ❑ndfrtakfn by the pfr5arnel prnpntfd to be r155ir/ned t0 this oyo,er)ent. Ramirez & Co.'s Governmental Staff. Ramirez & Co.'s Municipal Finance Group is national in scope and resources, with 67 professionals: 30 investment banking professionals, 30 sales and trading professionals, S underwriting professionals and 2 credit/strategy professionals. Experience and Success with - the City of Santa Ana and - Similar Size Governmental Agencies. The City of Santa Ana - the "scat of Orange County" - is the 11" largest in California, with 335,000 residents and one of the most dynamic in the state. Importantly, rating agencies and investors will evaluate the City to a peer group based on both size and demographic/economic metrics. Experience wine ciries thur have slmUarr aAe=iruoggraxp,d'aiaJrra-armaarreaxpt: rppetriars.. Our team has Wlt Experience extensive experience underwriting bonds for Median Median working class cities that have similar economic City Rating Home Price HH Income metrics as Santa Ana. This is important because Baldwin Park --/AA-/-- $516.500 565,904 30% of the City's rating will be. anchored on its IMI I U,d; 1111111 "' 11111111111r wealth levels, demographics and economic Monterey Park --/AA/-- $647,500 $61,819 profile. Rating agencies and investors have Pomona /AA/A+ $545000 $60,S98 traditionally seen these areas as credit deficient. San Fernando TBD $488,500 $58,425 Hawthorne A)/AA-/-- $777,500 $54,215 However, COVIO-19 has ShOWtI the. resiliency of LI Monte --/A+/A- $566,000 $49,003 Lhese commu ni lies and lhal residents of Lhese Brawley --/A-/-- $221,509 $42,326 cities are the backbone of the local and national Coachella --/AA-/-- $294,829 $37,419 economy. The adjacent table lists the wealth metrics of our recent California POB clients, demonstrating that we excel with cities that have similar economic and demographic metrics to Santa Ana. City Council 2 23 — 240 5/18/2021 RAMIRL4 Fxp Brie nce wvien torge cieir. (propsulofioen gg,raataer Xhfw 250,000}.: Since 2010, Ramirez & Co. has underwritten 285 issues totaling $86.2 billion for cities with a population greater than 250,000 (26 individual cities are listed below). Appendix C includes a comprehensive list. Atlanta, GA Colorado Springs, CO Indianapolis, IN NY, NY Santa Ana, CA Austin, TX Corpus Christi, TX Jacksonville, FL Orlando, FL Yonkers, NY Buffalo, NY Dallas, TX Kansas City, MO Philadelphia, PA Charlotte, NC Denver, CO Los Angeles, CA PlttsbUrgh, PA Chicago, IL El Paso, TX Mcmphis, TN San Antonio, TX Cleveland, OH Houston, TX New Orleans, LA San Francisco, CA Most iampnortaaert cxyneerieeraa:c•.. the City aa� Sumo Aria: Our team successfully underwrote the City's last two refinancings. Each transaction had significant challenges that required a banking effort above and beyond the traditional underwriting assignment and our team delivered better than expected results. $72,310,000, Successor Agency (City of Santa Ana), Tax Allocation Refunding Bonds, Series ,.:r `�'�` 2018A & B (Taxable) Ramirez & Co- Role! Senior Manager idenlll lied an oprpori uni'lly or holm missed, delivered a two [InIldh Ir,nting uynrIrande. acne# glrf.'ATer savings:. In 2014 the City engaged a competitor firm to refund redevelopment bonds but the refinancing was "shelved" when savings fell below minimum threshold levels. In 2018, Ramirez & Co. informed the City that adding refunding candidates, excluded from the RFP, would substantially increase savings. Rased on our analysis, the City engaged Ramirez & Co. to move forward with the improved refunding structure. We. worked with staff to successfully secure a two notch rating upgrade, trom 'A+' to 'AA,' and reduced the City's issuance cost by $545,000 (the higher rating eliminated the need for band insurance). The final structure generated $3.6 million of cash flow savings to the City's general fund in the first year and $14.6 million of savings to other public agencies. Savings were critical to sustain the City's FY19/FY20 budgets. $44,650,000, City of Santa Ana, Gas Tax Refunding Bonds, Series 2019 (D Ramirez & Co. Role: Senior Manager ro/d:;,n4Vi,alv.Pd .p::FpB:wichc Slil .Aegy try solver cornpblex ppolicy Ipifolaleirn, dowered rating uprr,de and lactiPCn taimon vxlperu id tivirigr: In 2007, the City issued its 20007 Gas Tax Bonds to fund street improvements. Subsequently, the State Controller's Office ("SCO") restricted the use of this financing structure. Due to concerns of a possible audit from the SCO's office, the City decided not refinance the 2007 Gas Tax Bonds. Ramirez & Co. coordinated a statewide strategy to allow the City to refinance its 2007 Gas Tax Bonds. To minimize the SCO audit risk, we engaged cities across three counties to secure pre -approval from the SCO to refinance the Gas Tax Bonds issued by the City and the cities of Coachella and Oxnard. Our team also secured a three notch rating upgrade, from 'A-' to 'AA-', which reduced issuance cost by $170,000 and increased cash flow savings by $1.2 million. Through an aggressive marketing campaign, Ramirez & Co. generated strong investor demand producing higher savings than all prior estimates. Moreover, Ramirez & Co. put its capital at risk by underwriting $1.3 million of unsold bonds to preserve low interest rates. These efforts resulted in $18.8 million in cash flow savings and $11.2 million or 20.18% in NPV savings. iii. Name and contact information of the primary and secondory Project Managers to be assigned to the engagement.. Raul AnIPMJa Senior Managing Director (213)605-5120 raul.amezcu@@)ramirczco.com Michael Majia Senior Vice President (S10)364-1423 michael. mcjia Cl rami rczco.com City Council 3 23 — 241 5/18/2021 RAMIRL4 iv. Indicote level of commitment of each of the assigned key personnel and how you will ensure the acressibilily of key personnel to tha City during this engagement. Commitment of Key Personnel. The two recenL financings Ramirez & Co. completed rot the City in 2018 and 2019 were not in response to an RFP. Roth were generated by our hanking team combing through the City's CAFR, doing extensive analyses and thinking 'outside the box' to solve problems. Few, if any, firms responding to this RFP have dedicated the time, resources or paid attention to the City like Ramirez & Co. Importantly, in October of 2019 Ramirez & Co. was the first to present POB data to the City. Our team has presented subsequent POB analyses in November 2019, February 2020, March 2020 and June 2020. In the height of the COVID-19 shutdown, our team developed the Ramirez Cash Flow Protection Program to help preserve liquidity. Importantly, we have provided a weekly market update since 2020. Accessibility of Key Personnel. Raul Amezcua (213-605-5120) and Michael Mejia (510-364-1423) are available 24 hours a day, seven days a week. Additionally, Raul Amezcua, a resident of Orange County, and Michael Mejia live minutes away from the City. We make our firm commitment that no other transaction will take priority over this assignment. We will not plan vacation or time off until this financing is completed. And, we will be present at every single working group call/meeting and council presentation. v. Resumes for the professional staff assigned to the engagement. Include a brief biography of each person specifically addressing experience relevant to the City's proposed financing. A discussion of educational background and Ielevant experience of the Partner, Super visor(s) and Staff which will be assigned to this engagement as well as their assigned responsibilities under the proposal shall be included. Most Experienced California POR Team. Ramirez & Co.'s proposed team is the most experienced POB financing team in California. No other firm has successfully completed more POB transactions in California in the last three years (note: we use three years as a benchmark because all deals prior to 2017 included a make -whole call option which severely restricted long-term flexibility). The table below lists the individuals who will work on the City's POB financing. Resumes with contact information are provided in Appendix D. Raul Amezcua Senior Managing Director Mirharl Mrjia Senior Vice President Fernando Guerra Managing Director Tiffany Lee Vice President Esther Feliz Analyst Arthur Chan Managing Director Patty McGrorry Managing Director John Young Managing Director Peter Block Managing Director 30+ years Lead Banker and Project Manager 15+years Day -to -Day Banking 31+years Project Support 4+years Banking Support 1+year Analytical Support 33+years Quantitative Support 19+years Load Underwriter 45+years Co -Lead underwriter 20+years Credit Specialist/Former S&P Anakyst vi. A description of the Propocer'5 experience in providing similar 5ervice5 to those requested in this RFP. Ramirez & Co. has senior managed 26%of all POBs issued by California cities since. Since the statewide shut -down in March 2020, Ramirez & Co. has underwritten 26% of all California POBs issued by cities (5 of 19 deals total). It is important to note that all POBs senior managed by Ramirez & Co. have been responsibly structured by including a 10-year par call. We have included a list of all California City POBs issued since 2017 in Appendix E. We also include case studies for five California POBs in Appendix E. POB experience in California is more important than experience in other states because understanding and telling the City's credit story —to both S&P and investors - is critical to the success of the transaction. City Council 4 23 — 242 5f 18/2021 RAMIRL4 oii. Identify three maoble bund Issuer references for which the proposed prirnory Project Manager and the secondary Project Monoyer hove rornt"a nor SImllur rerponBlhllitler to thane rontemplored under thR RFP. tnclude ronracr fnfarmatton for,,oeh. The references that can attest to the Firm's capability in structuring and marketing taxable bonds. Dr. Francisco Rodriguez Ben Ceja Jessica Brown Chancellor Assistant CAO Director of Finance 770 Wilshire Boulevard 200 N. Main Street, Rm 1500 401 E Chapman Avenue Los Angeles, CA 90017 Los Angeles, CA 90012-4190 Placentia, CA 92870 (231) 891-2201 (213) 978-7688 (714) 993-8237 irm A list of the local office most.significant ongagiomonts in the last five (5) years, indicating whether they are public or private sector, and including scope of work, date, and name and telephone number of the client contact. Date Issuer Scope of Work Par (m) Role Contact Name Phone 02/D2/21 Monterey Park POBs $106.34 Lead Martha Garcia (626) 3D7 1349 11/19/20 Coachella PORs 517 59 Sole Nathan Statham (760) 398-7707 10/29/20 LACCD GO Ruf $1, /93.81 Luad FrarIUSCa Hodriguuz (231) 891 2201 09/02/20 State of CA GO & Ref $2,630.95 Lead Blake Fowler (916) 651-6743 08/19/20 LADWP Wtr Rev Bonds 5120.47 Lead Peter Huynh (213)367-4671 0G/09/20 El Monte P08s $118.73 Lead Bruce FUILL (G2G) S80-207S 02/06/20 Oxnard Rev Ref. Bonds $16.91 Sale Kevin Riper (805) 385-7475 11/21/19 Santa Ana Gas Tax Bonds ,44.6+ Sole Kathryn Downs (714) 647 +420 09/24/19 Hawthorne POBs $121.87 Sole Felice Lopez (310) M9-2928 10/18/18 Santa Ana RDA TAB Ref $72.32 Sole Kathryn Downs (714) 647 5420 10/10/18 LADWP Revenue Bards 5mn.00 -Pad Peter Huynh (213) 3G7AG71 OS/D2/18 El Monte Water Revenue Bonds $18 88 Sole Fin Dir. (626) 580 2002 05/77/19 UC Regents General Rev Ponds S1 J77 71 1 ead Peggy Arrivas (510) 987-9C67 03/21/18 LAX Ruvunuu Builds $226s0 Luad Ryan Yakubik 1424)64G s2�,i 01/18/18 Los Angeles Rev Ref. Bonds $25.63 Lead Ben Ceja (213) 978-7688 07/12/17 Brawley POBs $16.31 Sole Ruby Walla (760) 344-8941 Ix. A statement that thefirm is independent of the City and that it is unaware of potential conflicts of interest. Ramirez & Co. is independent of the City and, to the best of Our knowledge, we are unware of any potential conflicts of interest that might arise from this engagement. x. An affirmotive statement verifying the firm and all assigned key professional staff ore properly licensed to practice in California. Ramirez & Co., and the personnel assigned, are properly licensed and registered to practice in California. xi. A warrant that the firm rnaintuins a prudent amount of errors and omissions insurance that covers negligent acts and is npplicnhle to thr work rwquestPd in this HFV. Ramirez & Co. maintains adequate insurance coverage of errors and omissions insurance. xii. An acknowledgement by signature that the signer is authorized to contractually bind the firm. We acknowledge that the signers below are authorized to contractually bind the Firm. City Council 5 23 — 243 5f 18/2021 or Raul Amezcua, Senior Managing oiroctor T: (213) 605-5120 E: raul.amezcua@ramirezco.com Michael Meiia, Senior Vico President M: (510) 364-1423 E: michael.mejia@ramirezco.com xiii. Any pendinq legal actions and litigations ogainst the firm. Leqal actions against the firm in the previous five years. RAMIRL4 There are currently three legal actions related t0 underwritings for iSsuerS within the State Of Puerto Rico. I he legal actions include several underwriting firms and we believe there will be no material adverse impact to Ramirez & Co. Further details are provided in Appendix F. Describe the firm's and selected personnel's experience within the last thirty-six (36) months regarding the issuance of Pension nhligntinns Rnnrl . Pension Obligation Bond Experience. Since 2017, Ramirez & Co. has underwritten 9 P06s nationally with a total par of $6.2 billion. Michael Mejia, Fernando Guerra, and Patty McGrorry, all assigned to the City of Santa Ana, have participated in all POBs outlined in the table below, bringing a wealth of knowledge to successfully structure any POB transaction. Moreover, Raul Arnezcua who recently joined Ramirez & Co., completed recent POB financings for Placentia, Riverside and Chula Vista. Par Sale Date Issuer Amount Ramirez Ramirez Team Underwriters Role Pending' San Fernando $45.00 Sole RA, MM, FG, PM 1 Pending," City of Philadelphia $10&00 Co -Sr MM, PM 2 2/2/2021 Monterey Park $106.30 Lead RA, MM, FG, PM 2 11/19/2020 Coachella $17.S0 Sole MM, FG, PM 1 8/13/2020 Pomona $219.80 Co -Mgr MM, FG, PM 2 6/9/2020 El Monte $118.70 Lead MM, FG, PM 2 9/24/2019 Hawthorne $121.80 Sole MM, FG, PIN 1 2/20/2019 Baldwin Park $S4.10 Sole MM, FG, PM 1 12/20/2017 HousLun,Texas $1,005.10 Co-ME1 PM 8 10/2S/2017 Illinois $4,500.00 Co -Mgr PM 23 7/12/2017 Brawley $1G.30 Sole MM, FG, PM 1 Total Par Amount $6,304.60 RA - Raul Amezcua; MM- Michael Mejia; FG-Fernando Guerra; PM -Patty McGrorry Proposers shall provide a brief summary of their firm's fixed income marketing and distribution capabilities, specifically taxable municipal bonds. Description of firm's corporate bond soles and trading capabilities shall include, but not be limited to the fnllnwinq: i. Numher of snles and trndinq pr•rsnnnrl ii.l s•nqur tnhles/rnnlcings iii. Persnnnel nssigned fn sell tnxnhip muniripnl hnnds Fixed Income Marketing and Distribution Capabilities. Developed over 50 years, Ramirez & Co.'s taxable bond distribution capabilities rival any firm on Wall Street, based on the number of sales people and experience. Led by our lead underwriter, Patty McGrorry, who underwrote the City's last two transactions (Gas Tax and TAB refundings), Ramirez & Co. utilizes 3 distribution channels when pricing California POBs: City Council 6 23 — 244 5/18/2021 L RAMIRL4 17 member taxable municipal sales specialists with an average 20 years of municipal bond sales experience. 16 member investment grade/corporate Ronnl6 f}ananxeA Anthony ChSaro, Mµr. bond sales group that will expand the Steven bUQ,12Ch0 ErcK ccfw ,os Gl sn cn investor base with cross over buyers and wdh". eantO, ann.n r.,ylo, non-traditional investors. rtntrnm Deer, H, nand Abramounix Piilip Uenitola Aaron HNgnemV The 3 member sales Years with 70+ group, Cfl+sropher Gatod Rlcnrdo cnrr,d„ nfnrnutinn combined experience, targeting pension P B g P RGboa Fuhr Angrlo WAR, flow to and from investor: funds and municipal governments. brndGen,elq: Pt,diG Dodd, is coordin.and R„rna,dao,don and managed The Ramirez & Co. Advantage: T,,nci'fyI'rooston nr.K,axmry hVthelead Robert Koty ,.. KAmn I.Ind undctw,ite, Municipal Focus. The City's POB will be meter Kncn S tr, M:artln the most important assignment for r,nfaMa,tl^ I Myer j tol, z�hafnM Ramirez & Co. Since 80% of our Firm's T n,pv,y M,alOr wham Kmball I revenues are generated by Public Finance, the firm's entire sales force, x „aco„OG, f°y t Lela both Municipal and corporate, will focus MarKw•�Iraee Q 4oGt er In:nkes n,, on the City's PCBs. We commit not to Robyn Marchand I Thomas Ch nery { senior manage any other municipal transaction on the day we price Santa Ana POBs. Available Capital. Ramirez & Co. has sufficient capital to underwrite a $3.15 billion issue, as sole manager. 100% of our capital will be available to the City on the day of pricing - Ramirez & Co.: A top ranked underwriter of taxable municipal bonds. Since 2017, Ramirez & Co. has underwritten 241 taxable municipal bond issues totaling $50.6 billion; 21%of all taxable municipal bonds sold in the municipal market nationally. Appendix G lists all taxable municipal bond transactions. Senior Managed Par Amount $6.4 billion Number of Transactions 44 Co -Managed 544.7 hillinn 197 Total $SO.B billion 241 Corporate Sales and Trading -Taxable Bond Distribution Capabilities. The Firm employs 39 institutional salespeople; including 16 corporate fixed income salespeople covering 350 corporate fixed income investors, comprised of large money managers and pension funds, as well as middle market investors. Recent Joint -Lead Manager assignments showcase our corporate taxable bond distribution capabilities. $ 400,000,000 SUSfO,OnbrLfVt3GO,IS t , ,, Ramirez & Co. Jo/nr Sookrunner Mwcf tun $ 1.200.000.000 AHr,Qate 5'Ona 10-yOxsr dotes Ram/roz& Co. JolmBooknirmer Nwumbo 2020 $7,50,000.000 '^ PEP$ICO 0. 400% Sr. Mr res due. 202? Ramirez& Co. Jomr600krunner Ocm,w 2020 $700.000.000 DUKE z"ENERGY, (-1g,1w, 202P Ramirez & Co. Jolm Bookrunner AuguA 2020 $750.000,000 VnM, 0 450% 11o0 2022 Ramirez & Co. JOIm BOokrunner July 2020 City Council 7 23 — 245 5/18/2021 RAMIRL4 Provide a brief summary of your specific Structuring ideas including the assumptions of which Ca1PERS UAL bases to fund the maximize savings based on the two scenarios described above. Describe how proposer would lead the transaction as a senior manager. Specifically, provide your strategies and approaches to help ensure the transaction is executed efficiently. A Word on Credit. Prior to the COVID-19 shutdown, the City's financial profile was on an upward trajectory. General Fund revenues were increasing with the approval of the Measure X sales tax, new cannabis related tax revenues and online sales revenues (Bradley -Burns). Then, COVID-19 brought significanL financial uncertainly. However, due to Lhe City's proactive management and conservative budgeting, the financial impacts were not as severe as originally anticipated. The City's FY2020 audit shows LhaL strong IiquidiLy was maintained wiLh an unassigned General Fund balance of $74 million or 24% of expenditures. These factors will he a critical component of the rating process. The City's approved FY2021 budget projected a structural deficit in the "Ten -Year General Fund Financial Outlook" and significant revenue decreases in FY2021 resulting from COVID-19. However, the City's Mid - Year Budget Update (February 16, 2021) indicated the City's financial results are stronger than anticipated by $13.1 million. Downward adjustments, to the Hotel Visitors Tax, Utility Users Tax, Paramedics Service Charge and Parks and Recreation revenues, were mitigated by stranger than expected Sales Tax revenues ($12.5 million higher than prior estimates) that included Bradley -Burns online sales taxes and Measure X. One very significant new revenue source is the score Rating City's Adult -Use Retail Cannabis tax, which is projected to produce $16.9 .100 t 64 AAA million in revenue ($7.25 million increase from approved budget). One z35-84 AA 3s-zsa nn- additional credit positive is the 3%decrease in General Fund expenditures. zss-324 A+ the Ramirez & Co. team includes Peter Block, a former 14-year S&P State & 36S -364 a 3. Fi5-394 A - Local Gov't Rating Analyst. With Peter's help, we developed a credit model to ; os- 4 24 RRR+ provide an indicative rating for the City's upcoming POB transaction. 4.25-4.54 BBB 4.RR-4.74 RRR- + The adjacent tables detail S&P's Local Government Score Card, which 4 7s- 414 nn we used to calculate an indicative 'AA' category rating. 4.9, _,.00 n Weight Category Score Comments 309/ Economy 2.5 Weak per capita income, strong MSA 20% Management 2 Financial policies & budget monitoring/reporting 10% Budgetary Flexibility 1 Available GF Balance is 2596 of expenditures 10% Budgetary Performance 1 Operating surplus in the GF and total pov't funds level 109/ Liquidity 1 Available Cash well above 1596 of Gov't Fund Expenditures Net direct debt below 36/6, but high as a percentage of total 1095 Debt P. Contingent Liability 5 governmental funds revs; driven by pensions and OPFR 10% Institutional framework 3 Standard scorn for all California cities Notably, we assign the highest rating to the City's Budgetary Flexibility, Budgetary Performance and Liquidity. However, like most California cities, the City's debt and contingency liability is weak due to large unfunded pension/OPEB liabilities. Institutional Framework is based on the legal environment of the issuer and cannot be controlled by the City. Given this, our focus will be to articulate the strengths of the City's Managernenl Team and Lhe local/regional Econorny. City Council 8 23 — 246 5f 18/2021 RAMIRL4 + Management Team: The City's robust financial policies, that include a formal budget and reserve policy, debt management policy and a pension funding policy, are strong. Notably, the pension funding policy is very thoughtful and includes a strategy to address both the UAL and OPEB liabilities. In addition to emphasizing conservative budgeting results, we recommend including a substantial discussion of the specific actions taken to contain costs during the COVID shutdown. Providing this level of detail helps articulate the sophistication of the City's management team. Economy: As senior manager for the City's last two financings, we helped earn two and three notch rating upgrades to the coveted "AA" category. In part, this success was due to our ability to position the Santa Ana economy as the backbone of its Metropolitan Statistical Area (MSA). Its vitality at the intersection of Orange, LA and Riverside Counties provides the City with unique opportunities. For its general fund credit, it will be important to detail the City's transformational period fueled by substantial new development, opportunities and revenues. For the City's 2019 rating presentation, our team spent a lot of time discussing the following projects: 3"& Broadway, Willowick, YMCA, Tapestry Hotel by Hilton, Central Pointe, The Bowery, First American Title Company, The Heritage (Park and Paseo) and the Main Place Mall Transformation. These developments were and are critical to the City's credit rating because of potential sales taxes and AV increases. In the POB rating presentation, we will detail the progress that has been made. Based on our recent rating successes, we firmly expect that the City should earn a strong 'AA' category POB rating. Additional Thoughts on Rating Strategy. Ramirez & Co. recommends utilizing an S&P rating only. S&P rates POBs based on an issuer's 60 rating due to an acknowledgement that revenue used to pay for PUB debt service is not limited in scope and is not distinct or separate from the issuer's General Fund. Moody's and Fitch rate POBs one to two notches lower and recent POB performance indicates a single S&P rating will not impact pricing. Additionally, S&P is credit neutral on the issuance of POBs and therefore the proposed transaction will not negatively impact the City's credit rating. Structuring Ideas: Ramirez & Co.'s analysis is a multi -step process based on the following: 1. Pension liability shape (including PCB) 2. Amortization Base by Amortization Base CAPERS UAL refunding model 3. POB size optimization, an incremental approach Notably, our pension optimization model is dynamic and we have evaluated a refinancing of all possible UAL base combinations. The structuring recommendation included below is based on current interest rates and a progressive approach that adds incrementally less efficient UAL bases to reach the optimal solution. As we approach pricing, our quantitative support team will continue to monitor the market and we can revise the combination of UAL bases on the day of pricing based on investor demand and real-time interest rate movements. our quantitative support team includes Arthur Chan, Managing Director, who has a Rnrhelor'c degree in Computer .Srienre with a fnrus nn Artifirinl Intelligrnre from the l/niversity of City Council 9 23 — 247 5/18/2021 RAMIRL4 Wisconsin at Madison and a MoSter'S in Finance and Monogement from the University of Chicago. Arthur will be critical in managing our pension optimization model through the engagement and at pricing. Pension Liability Shape: The City's strategy to refinance between 50%-90% of its outstanding UAL, coupled with projected budget challenges, allow it to restructure its current pension liability with a more long-term sustainable repayment schedule. Below are three structuring approaches, commonly used by California POB issuers. Each structure has a specific savings target. Uniform Target LL}Ual annual savings Benefits Highest overall savings; no negative savings Lower Lash flow relief Lhan Disadvantages level debt ser6iLe In in early Lo mid -amortization period Level Level predictable debt service L uinhm,Amn I:r Level and lJntom, ,tructm es Highe_tt cash flow savings in early Lave[ pror icanle (IF hi ,orvicr in LO rnid-amortiLation period: early m n9id-a nYonira Gen and nn neg3Live savings in la Ler year ❑e4a Gve savings Negative lone -term savings owur agLrt g•rte savings Chan the uriforrn option We recommend a "Hybrid" approach because it provides a balanced solution that addresses the City's short and long-term objectives. Key factors supporting this recommendation include the following: Level debt service in the "front-end" creates a more manageable liability for the City in the short to medium term. This approach also creates 'capacity' to absorb future UALs, if they arise. Hybrid structure option improves overall savings from the level debt service approach; and, greater savings improves the 'probability of success' for the overall transaction. + No negative savings relative to the City's current UAL amortization; this is an important policy objective for every public agency contemplating the issuance of POBs. Base -by -Base CAPERS UAL Refunding Model. Once the strategy for the City's overall pension liability structure is decided, our Pension Optimization Model evaluates each individual amortization base. Refinancing the City's UAL is similar to refinancing a portfolio of outstanding loans. The Ramirez & Co. Pension Optimization Model evaluates and ranks each individual amortization base based on cash flow and PV savings. Importantly, because each UAL base has a different amortization period, our Pension Optimization Model also incorporates the average annual savings per par amount as metric to evaluate and "optimize' the selection of amortization bases to refinance. Preliminary results are Summarized below. The far right column indicates the "Savings Ranking' of each amortization base. The UAL bases highlighted in blue identify the UAL bases we recommend to refinance, based on current interest rates. UAL Amort Balance Savings Av, Ann Ranking 3ase Rcason year Rarne Period 6/30/2021 Pv $ PV I -Al Cash Flow Savin s PV CF AO a Fiu l 6 nrI 2006 None 17 (1 S071241 b. Benefit L ianee 2007 Now 7 27869.276 S466.886 19.G% S,782902 826,29 32 20 c. Benefit C)ange 2007 None 8 120,310 24073 18.S%. 25,721 3,21S 33 34 d. Assump Change 2009 None 10 28,921,692 7,492,002 2S.9% 8,301,799 820,180 30 16 e. Sp(G3[n)/1-055 2009 None 20 29,368,098 12,596,219 42.9% 16,717,958 835,898 14 12 f. Sr IGain)/Lo<, 2010 Ncmc 21 10,81)5,290 4,801,175 44.496 6,492,003 309,143 12 19 v,. Assump Cnanee 2011 None 12 12,883,043 3.830.028 29.7% 4.389472 36S,789 28 23 h. Sp (Gain(/Loss 2011 None 22 (7,380.480) - - - - - - Pymt(Gain)!'_oss 2012 Noe 23 S.629.78S 2.6814S3 47.6% 3,7S90S8 263437 7 2S j. (Lain)/Lose 2012 None 23 (261.26.) - - - - - - k. (Gale)/Lass 2013 100% 21 100.311.691 46,771,862 46.6% 65,858,728 2,744,114 9 2 L A%%ump Change 2014 100%. 1s 45,039,235 14,492,7BB 32.2% 17,231,937 1,148,799 27 11 2014 1nn% 7R (6i,66R,mr) - - - - - - City Council 10 23 — 248 5/18/2021 RAMIR6Y I 1 1 r 1 11 UAL Amort Balance Savings Aup. Ann Ranking Base Reason Year Ramp Period 6/30/2021 PV 1$1 Pv (%) Cash Flow Savings PV CIF n. fGainl/Loss 2015 100% 26 32,611,483 16,250,386 49.8% 23,709,074 911.887 3 7 0. AssLnlp Lunge 201b 8u% 11 1b,21:8,114 5,881,_ed 3b 236 1,2b/,248 42148� 23 1; p. (Ga1n)/Los 201b 801a 2/ 31.911,29b 19,/61.548 b2.1'fe 29,J28.504 108021.1 1 6 q. A:...: rap C,:,., 2017 601A 1R 13,723,n57 ;,32R,0;4 3R.A% G,711,977 372,RRP.. 21 1R a 7n17 nn% 2P 12 I, 124,1G4) - - - - - - ,_ Mclhod Chan,,c 2018 40% 19 G,357,217 2.GG0.981 41.9:6 3.434,492 180,763 17 2G _ Assump Chance 2018 40% 19 30.754.017 12.880343 419^A 1G.G23473 874.920 1S 13 u. (Gain)/Loss 2018 4D% 29 (12,91548/) v. ALSIG INC 2010 None 20 14S,308 52,211 3596. 66,233 2,312 25 33 w_ (Gain)/Loss 21111 None 20 3,048,440 1,202,280 304V.. 1,577,9uR 78,895 211 31 2019 J(I%'• 2r1 3,872,184 11'1, l9l 4,4% 2,g3O5J 116,653 In 30 y. Fresh Start 2005 None 1G (2,854.990) - - - - - - c. Benefit Change 2006 None 6 1,718,7G4 293.127 17', 305.933 50.989 34 32 aa. Assump Change 2009 None 10 14.943.657 3.870.796 260/ 4.288.783 428.978 31 24 ab. Sp(Galn)/Loss 2009 None 20 31.977.596 13.716.229 43% 19.206.019 910.301 13 10 IL. Sy (GairQ(Los 201➢ None 21 (11,794,554) od. Assump Change 2011 None 12 16,001,458 4,753,065 30% 5,447,402 453,9SO 29 22 ;p(ca1n)1I n•., 2011- 'l. Pynn(G:Iinl/Lo» 2012 Non, 23 8,240,5S1 3,926.172 48% S,499,297 239. i00 6 21 ag. fGainl/Loss 2012 None 23 74,450,415 35,483,171 48% 49,716,864 2,161,603 5 3 ah. (Gain)/Lass 2013 100% 24 140.663.232 65,665,618 41% 92,321,103 3,84G,113 8 1 ai. Assump Change 2014 100% 15 53.834,472 17,324,402 32% 20,598,573 1,373,238 26 9 aj_ (Gain)/Loss 2014 10u`% 2S (84,294,374) - - - - - - ak. (Gain)/Loss 2015 100-A 26 59,710,283 29,752,401 50-A 43,402,881 1,669,342 4 4 ol. Assump Chan,, 2016 80% 17 19,877,718 7,193,291 36°o 8,880,592 522,388 24 1S o rn. (Gain)/Luns 201G 801A 27 50,404,089 2G.23G.343 52A 38.955563 1442,799 2 an. Assump Change 2017 609/ 13 22,90S,190 8.392.503 39% 1'_.202422 622.357 20 14 ao. Cam)/Lois 2017 60% 28 (32.6533541 - - - - - - ap. Method L ange 201d 4DV 19 6,326,2he 2.221 b28 42% 2,8/5010 1s1.3'_b _8 2; aG. Asiwnp C9ang0 2018 40'a 19 38,8uu,/bb 16,249.6J1 42A 2u,969.961 1.l0JG82 18 8 n_ (Gain)/Loss 2018 4u'% 29 (1,171,209) 2n19 Nun. 20 S, IRS, IA7 2,n47GGI 19% 2,11R5,9G9 1.34.292 19 29 o.- IGair,)/Io» 7019 20% 20 4,463,871 7,0261,470 45% 2,725,047 136,252 11 28 Optimal POB Size and Bases. Based on the City's current credit profile, the priority at the moment is to maximize cash flow savings and rninirnize interest cost (particularly in the "front-end" of the amortization structure). To accomplish this goal, and also best meet the City's needs, we prioritize UAL bases with the highest cash flow savings that have fully amortized (i.e. no additional "Ramp —Up"). An example of this is that our model replaced UAL base "am" (ranked S) in favor of bases "aa and ab" (ranked 24 and 10). Similarly, our model replaced UAL base "p" (ranked 6) in favor of bases "d and e" (ranked 16 and 12). The results of our optimized model recommend a UAL payoff amount of $627 million or approximately 88.4% of the City's outstanding CAPERS UAL. Ramirez & Co. Recommended POR Structure (Detailed Cash Flow Savings Provided in Appendix H) i>30 Par Anou it SG2�84�000 Ilia,-, ,I .,, ,Go sn j40 sin 2r, Ip lU i Jr'1y Muc IIIIIIIIIIIIIIIIII r;�L 4',, Polls -( nl eat UAL UA_ Payotf AmOLrt 5627,866,312 Costs at l ssui ace. $1078,688 11IMPMEMINNIMM , POB Dcbl Scrvic, 58G3. 288,000 Cash F'.uw Sa,,%, S275,403,941 PV Savings (5) 5221,31G,9813 PV Savings (%) M 25% AI', -in TIC 2.899L, TIC 2.88% City Council 11 23 — 249 5/18/2021 RAMIRL4 Additional Structuring Alternatives, options and Benefits of Proposed Structure Water System CalPERS UAL. 62% of the proposed UAL payoff amount ($391.5 million) is attributable to the City's Safety plan. This is beneficial because the City's water enterprise is responsible for a portion of the miscellaneous plan and the City is considering utilizing a "tax-exempt exchange" to payoff a potion for the Miscellaneous UAL attributable to the water system's employees. In this option, the City uses (PAYG) cash on hand to payoff a portion of a UAL base and, subsequently, funds capital improvements with lower cost tax-exempt bonds. Additional Upfront Cash Flow Relief. The proposed structure optimizes the base case Hybrid structure discussed above. I lowever, various adjustments can be made to deliver even greater cash flow savings. If budget needs require immediate relief, the City may consider structuring ascending debt service in the earlier maturities, thereby moving principal to later maturities. Depending on the amount of deferred principal, this option could marginally increase the borrowing cost of the overall transaction. Smaller Transaction — Dynamic UAL Selection Model. Our proposal is designed to deliver the highest cash flow savings possible and lowest interest rare under the 50% - 90% UAL payoff amounts, however, we understand the City may consider a smaller par amount. The model we designed for the City can be optimized in real time to evaluate alternative options and our team is committed to working with the City and its financing (earn throughout the engagement to assess alternative options that arrount for Changes in interest rates and/or budget needs. Bond Insurance Could Reduce Borrowing Cost and Reduce Risk. Given our activity in the California City POB space, our team has conducted extensive discussions with Build America Mutual (BAM) and Assured Guarantee (AGM) and we are confident In our ability to secure bond Insurance for at least a portion of the City's POBs. The value of bond insurance today is approximately 10 bps in tighter spreads. However, each insurer has a unique view and appetite for POBs. BAM will be our primary focus based on their willingness to insure 'unsecured' POBs for the cities of Chula Vista (AA) and Orange (AA). However, BAM will only insure cities which they believe have zero risk of default and have a minimum rating of 'AA,' based on their internal credit metrics (note: RAM's rating assessment does not always agree with S&P's). Two very important factors in BAM's decision to insure POBs are 1) the size of the City (i.e. general fund size, pnpulatinn, AV, etr.) and ➢) strength of the issuer's pension funding/management pnliries. Thry hclirvc credits for larger cities, such as Santa Ana, are more favorable to insure because of the broader tax base and access to resources/liquidity. BAM is also very focused on the nuances of each issuer's pension policies. Willi the help of UFI, the Cily lids developed a thoughtful pension rnandgemenl policy Owl. includes additional discretionary payments to CalPFRS from excess reserves and a 'tax-exempt exchange' for additional savings. We will reach out to AGM as well, however, they have not insured an unsecured POB since 2017 haled on a commitment from their CEO to not insure "unsecured" municipal bonds. All California POBs insured by AGM have included a pledged of pension lax revenues. Private Placements recommended for smaller financings with a short final maturity where the All -in - TIC is lower than a Public Offering. Ramirez & Co. would recommend a private placement for a financing with a par amount under $5 million and a final maturity under 15 years. The pros to utilizing a private placement are lower issuance cost and lower due diligence requirements. The cons are restrictive credit and structuring requirements (note: very few banks provide loans for POBs). Scale. Below is our indicative scale forthe City's upcoming POBs as of March 5, 2021, based on comparable transactions including recent POBs issued by the cities of Orange, Chula Vista and Downey. City Council 12 23 — 250 5/18/2021 RAMIRL4 sale Date rd<L• uer1 Chula I . .ol I Pare r [all Date'. , Rating .0 Year Par Yield U$T Spread P,v Yield UST Spread P,r Y,ld UST Spread Par Veld UST $prCod'. 2022 - 0 2911, 2-Yr 0 IS% 57695 n 291°r. 1-Vr o 15% 56,5n5 0.151% 1-vr O 04% 2023 019% )yr 01$% 51n,1)0 019% )yr 01$% 5A,74: 0.)41% )yr 013% 11V Olt 7ti )yr 010%'. 2024 UAN. 3vr 0.30'A $ll,li'� U.J310 3Vr 0.30A $y UUi U41JA Syr 0.24A ti36N U46/'b 3VI 0.30A )0)S L0501e 5m 0.25r%'. 511.225 0.974% 5 , 3.25%'. $9215 0.660% SvI 13.20% SA 220 0772d 5 030%' 212b 130n% 3 r 0.50% $11.220 1.224% 5 yr 0.50% $9 a7S OA40% S vr 0A9% S4 25n n.972'a 5 r 0.50%'. )O)7 - 1 6RRa:. 7-yr n.asN. $11470 1 AR7a:: 7-yr A45V. $n7I9 116AW. 7-yr 036V. }A )911 IA7a, 7-vr n.559.. 202E - _S6Sl, /-vr 065% $11,bhu 1/SC+: /-Vr 065% $`U.U3U 1314Sf /-vr 13.61% $a 34U 1.3h W6 I -VI 0.75% 2029 - ).17(11 1(1-vr 0.60% 511 A60 ) 070', 10-, ob0% 1510,17i 1 6)8% 10-v, OA9% ,`,440n 175(tw, 1(l-yr 0.60%' Luau 2.320% 10 yr 0.75% 512,105 2.220% 10 yr 0.75% 5-0,735 1.728% 10 V 0.5956 $44Gn -.8SX, 10 yr 0.70%'. Ati1 - 2.37096 10-vr 0.80%'. $12,375 2.270-6 10-yr 0.80% 511,125 1 QM 10-vr 0.69% SA 530 1950% 10-vr 0.8091.'. 2032 - 2.31U%. 1U-yr 100% $13,bb I43uh: 1U-vr 3.98%....$1189U 1.936% lU-vr om% S4,6D] 2D50ffi lU-Vr OAD%'. 2033 - ).6J03'. In-, 110%'512,965 )_SSO'a 10-yr 111E%'511,110 1n48% 10-vr 091% $46 99 216(tYn I(l-yr IDO% 2034 2.//0% 10 yr 1.20%'$13,29:. 2.6:A% 10 yr 1.18% �e:r,100 2.138A 10 yr 1.0056 j4690 2.2AA 10 Vr 2.10%' )O15 - 2.6713% 1U-vr 1.30%'.$13,b5U 27513% lU-Vr 1.2E%'.$15.950 -1296% lU-vr 1.16% 515.015 2.350% 10-Vr 1.20%' )09G - 2D20% 10-m 1.35% 514.025 2.820% 10-vI 1.35% $16530 2398% 10-w L26% )O17 ,17, 1n0 2/RA% in-vr Las% '. 2040 $39,443 i. U131i 3U-vr 035%•'. SiO,bUb 2845;n 3U-11 0.90%' 2041 - 1.161%In-vr 0.85% ,76.`D), L/G]%/L bObb4 In-w U./S%•/U.GS% 2044 549,4G5 3.115-b 30 yr 0.85%' 52,.1G0 2.995% 30 yr 1.05% )64S 5£0.365 2£US%/2 OUV 3U-vr 0.85%•/u.95%I Lu4b - i2bk, 30-yr 0.95% Dollar amounts In thosands. •lnsurcd matunt rs Marketing Strategy. Ramirez & Co.'s lead underwriter Patty McGrorry, lead underwriter on 26% of all California City POBs since 2017, and lead underwriter for the City's last two financings (2019 Gas Tax Refunding Bonds and 2018 Tax Allocation Refunding Bonds), will lead our marketing ettort. Our Six -Step Marketing Process is designed to maximize demand for Santa Ana POBs_ I'rr,-1 „u,1nr (, Cr,,dit ,ind P;fr,u lrlriny,: Due to our work on the City's last two transactions, we know how to tell the Santa Ana story in a way that, thus far, has earned two "AA"" category ratings. Our rating presentation, POS and Investor Roadshow will highlight the strength of the City's management team by 1) detailing the response to COVID-19, 2) conservative budgeting S.Aggressive Scale and Willingness to Underwrite process which has produced better than anticipated unsold ilonds: results for the last two years and 3) create a narrative S. Complete Transparency to the City and UFI: of economic growth. We will, once again, reframe the City's outlook as one of robust growth and economic expansion Avwhrx Since 2017, Ramirez & Co. has been a leader in the POB market and responsible for expanding the depth of California POB investors. We continuously monitor all POB investors in the primary and secondary markets. Today's 15 most active buyers of California City POBs are listed below. Appendix I lists the top 211 buyers of California POBs in the primary and secondary market, a level of insight and institutional knowledge of California POB investors that Ramirez & Co. brings to the City City Council 13 23 - 251 5/18/2021 i I:11-C':I 1A11.11,11 h IV 'l ALURL Lap.tal - - - - - - - 8 1U Acres Capital - - - - - - - 8 11 Bain Capita'.. - - - - - - - B 12 Be ksn le Hathaway - - - - - - - - - B 13 BIaCkROik -ON- - - - - - - - - - - 8 14 rleherty&Crwnllne - - - - - - - - - - - - - 8 is GSAM ON 8 r xfjand I(we".ta,r L»,rnnrgd: Our proprietary database has identified 186 investors that have only purchased one or two FOB transaction in the primary or secondary market. We will conduct an aggressive marketing campaign to generate demand from this investor base. Key investors include: AIG, Alliant, Nor I horn Trust, Nluvoen, P[IIefsrdt;e, Wlufeloven, L�A(on Vance, rcder,Qed, anionll (,,then,:; *I w Cvov, ()VIq ,and Non rr,idlhon,al Rllylrrs_ The resurgence of California POBs started with our 2017 Brawley POB, primarily sold to hedge funds and cross -over investors, such as Hopwood Lane, Multi -Bank, Spring Lake Asset Management and Wall Street Access. The POB market has evolved and today, the largest buyers are large bond funds and insurance companies such as Wells Capital and Allstate. As the market has matured, Hedge Funds, SMAs, professional retail investors, pension funds and local governments have become the non-traditional buyers that could expand demand for the City's transaction. Below we list key cross -over buyers within these sectors. The list is not exhaustive and represents only specific cross- over buyers identified in our proprietary POB investor model. Hedge Funds and Proprietary Trading Desks: IVlantoiri r.Apmal I Lr, Mmil Irno (..ilrlial, Murrill Lynch Prnpir,kili g De�.k, hluefin Ir.Idong, ra•rltova G-Iy,etal, Morg.an'A:iiiley Arb, )mong others SMAs and Professional Retail: R,inta ri,irtaara A:,sct Manat;nment Pension Funds and Local Gov- Ventura County ;ant! I os Anj!ew, , DWP (poll (:hav,d Pomona PORB,) A.R.Et.r: ,, ron fir„ Vim_ ; ru„i 1AliVBrnt n,,�z ,,,,,l,aµ hDrllti m: rZnrt AaM It is critical to enter the market with an aggressive scale after a thoughtful and comprehensive premarketing effort. This approach has produced better than expected results in every POB transaction our team has lead. Additionally, we took this approach on the City's last two transactions to deliver superior results. Our willingness to underwrite was also evident in the City's Gas Tax Refunding Bonds, Series 2019 where our team underwrote unsold bonds without any changes to the scale. We consistently put capital at risk to support the most aggressive pricing and this approach delivers exceptional results for our issuer clients. J.;. We commit to provide full disclosure and a transparent process. We will provide (i) access to Ipreo Gameday on the pricing day to ensure access to real time investor order information, and (ii) ongoing market feedback through the structuring process and pricing. POB Marketing Challenges. The most important marketing challenges for POBs in the current market are 1) identifying active POB buyers and 2) articulating the credit strengths of the specific issuer to investors. Leveraging our leadership in the POB space, we have identified the top POB investors above and based on our history with the City, we can articulate the Santa Aria story better than any competitor. Our team is uniquely qualified to address the most critical challenges and lead the City's upcoming POBs. City Council 14 23 — 252 5/18/2021 RAMIRL4 Provide an estimate of your total, not to exceed, underwriting costs associated with serving as senior manager to the City on a ool-1 o-exceed Oppraximol ely $671 rnilhon istiu0 of fi rPrl rate PORs. Ploosp no1P Thal any pnyrot,ni In lhP undi rwril Pr is Coming Pal ors the closing of the bunds. Proposed Underwriter Fee. $1.75/bond for all maturities plus standard underwriting expenses. We note that a low underwriting fee does not always result in the best deal or lowest borrowing cost. An example of low underwriting fee bids with negative impacts: two recent PCIBs priced with a make -whole -call option will have negative lasting impacts on the two cities and indicative of how fee is not the most important component when selecting an underwriter. We can negotiate our fee, if it does not meet the City's expectations. Proposed Underwriter's Counsel! Kutak Rock - Albert Reyes; Jones Hall —Juan Galvan; Norton Rose Fulbright - Russell C. Trice $/Road Total UnderwntersDiscount T.Juvlowu 51J5n -11761Sn00 Managanie0t Y2e SU.000 SU.UU Esucnscs 5O 173 5119,3n447 Total Discount S3.929 S1,293,554A]i Estimated Expenses Uw cou0521 so.U3/ j2J000.UU CDC Rcvicw 50 003 51,8nn_on IPRro 5nnrA -4`,,19` DS PREU Wrnac.3y SU. Uss `.21,91b. b'I CDIAC 5O 007 S"OnD. no OTC ;O.OnI $fioo 00 LislP SU. Jul "s-1 Uu Da, -oar, 50023 S18,C38.89 Total Expenses SOA79 $119,304A7 ParAmount $671,000,000 The fullowiny forms, included irr, this RFP, shall be signed and included Lis part of the proposal subrniltul package: Attuchment A. References: Attochment & Proposers Statement, Attachment C Non -Collusion Affidovit; AttOChnlent 0: Non- Lohbyiny CPrrifiratinn; Arachment E. Non-Oiscrimmotinn CPrtifiratmo Please find the requested attachments (A — E) in Appendix A of our RFP response. eontrortor shall provide three (3)references from public oyency rustomers for which actuarial wnrk Volilar to sPtvlreS sperlfled in rhis RFP have Been performed, including ennmet nomer and telephone numbers, and types of wtviees your firm has provided. Use ArtarhmentA— Referenrns. The respondent gronts permission for the City to contact any individuals listed as referencr�s. Plence find the requested references in AttachmenT A in Appendix A of our RFP respnnse. Proposermay be requested to submit its most recent audited financial statement, evidencing Proposers financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. Among Highest Capitalized Privately -owned Firms in the Municipal Bond Industry. Ramirez & Co. operates as a privately -held corporation and has grown its capital organically (frorn its profitability) over 50 years. Nearly all of the Firm's capital is dedicated toward municipal underwriting and is routinely deployed to support our municipal clients in the primary and secondary markets. As of September 30, 2020, Ramirez & Co.'s capital is sufficient to sole manage a $3.15 billion single municipal transaction, assuming a 7% regulatory haircut. We are happy to provide our most recent Focus report upon request. The Selected Proposer 5holl provide the required evidence of insurance coverage as set forth in the Standard ogrepnlpnt within ten (10) business days after reseipl of Notice of Inlenl to Av,noL Canlruclor must ma in lain, for the durnhon of ils ronim, 1, insurance (over ages ds required by (he City. Rarnirez & Co. understands the contract is contingent on complying the required evidence of insurance coverage and provide evidence within the 10 business days after the receipt of Notice of Intent to Award. City Council 1, 23 — 253 5/18/2021 Ap 61 RAMIRCL City Council 23 — 254 5/18/2021 ATTACHMENT A REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional Rages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name City of Monterey Park Address. 320 West Nemwark Ave. Monterey Park. CA 9175� Contact Individual: Martha Garcia Phone Number. 626-307-1349 Facsimile Number Contract Amount $106.3 million Year 2021 Description of supplies, equipment, or services provided' Senior Managed Taxable Pension Obligation Bonds. 2021 Series A Reference Customer Name City of El Monte Contact Individual: Bruce Foltz Address 11333 Valley Boulevard El Monte, CA 91731 Contract Amount. $118, i million Description of supplies, equipment, or services provided' Phone Number. 626-580-2075 Facsimile Number Year. Senior Managed Taxable Pension Obligation Bonds, Series 2020 Reference Customer Name City of Hawthorne Contact Individual: Felice Lopez Address 4455 West 126th Street Hawthorne. CA 90250 Contract Amount $121.9 million Description of supplies, equipment, or services provided Senior Managed Taxable Pension Obligation Bon Phone Number: 310-3494-g23 Facsimile Number. Year 2019 Series 2019 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21- y Council n enron tng SGMCOS tor PensicnHeWcing Bonds 5 rlIW0 of 24 R91 CITY OF SANTA ANA ATTACHMENT B PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after d has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service property addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement helshe will fumish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and Chy's legal holidays), or the funds, check, draft, or proposees bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposees bond substituted in lieu thereof shall be returned to the undersigned_ Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Samuel A. Ramirez & Co., Inc. Signed and Printed Name: Raul Amezcua TMe Senior Managing Director W 0/2021 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFPNo. 21-0?§ty Council Undenvntng Services for nsr a cng Bonds 5/V9Vb9 of24 Cam; CITY OF SANTA ANA ATTACHMENT C 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 proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, 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 proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal 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 proposal. Note: The above noncoliusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this noncollusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California, County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by Raul Amezcua , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. SEE ATTACHED CERTIFICATE Notary Public Signature Notary Public Seal THIS FORM MUST BE C MPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE_ RFPNo.21-OWyCouncil Underwriting Services for PensiQ%&ig1rncingBons gi 9e of24 JURAT 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 C0006 Subscribed and sworn to (or affirmed) before me on this -9—�l day ofW0. t 20,IL- by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. (Seal) OPTIONAL INFORMATION DESCRIPTION OF THE ATT CHED DOCUMENT e or dektiption of attach document Mb 11))" UI I r��A4r'--- (Title or description of attached document continued) Number of Pages --L Document Date Additional information 't Cooam+rm. RiOssD�aRnhGx UU2f22 yPucnc-NOrang#Count3y Q,,,yC,mrn.E;,Pife5f 3oJr0ni1e _ Mar 10.2022 INSTRUCTIONS The wording of aN Jufxs completed In Caifomle alter January r, 2015 must be In fire form as set Win *shin this Jurat. There are no exceptions. It a Jural to be completed does not follow this form, the notary must Correct the verbiage by using a jurat stamp containing the correct walling or attaching a separate juref foam such as (his one with does contain the proper wordig. In addrtiwr, rite notary must requie an oath or affirmation from the document signer regarding the truthfulness of the contents of Me document. The document must be signed AFTER the oath a affirmation. If Me document was previously signed, y muse be resigned in front of the rotary public during fhe post Process • State and county information must be the state and county where the document signer(s) personally appeared before the notary public. • Date of notarization must be the date the signer(s) personalty appeared which must also be the same data the jurat process is completed. • Print the names) of the document signers) who personalty appear at the time of notarization. • Signature of the notary public must match the Signature on file with the office of the county clerk. • The notary seal impression must be clear and photographically reproducible. Impression must not cover text or lines. If seal impression smudges, re -seal if a sufficient area permits, otherwise complete a different jurat form. O Additional information Is not required but could help to ensure this jurat is not misused or attached to a different document. 4 Indicate title or type of attached documentnu bet of CitCIn23 — pugs and date. 5/18/2021 2015 Version o ary��l asses.com 800-873-9865 • Securely attach this document to the signed document with a staple. CITY OF SANTA ANA ATTACHMENT D NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) 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, ban, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid 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 this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. 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 31, U.S_ Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Senior Managing Director Firm: Samuel A. Ramirez & Co., Inc. Date: 3/10/2021 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL,. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFPNo. 21-02FzityCouncilVnde►K'rifingServices for Pensior2pefigWingBonds 5ftppRof24 CITY OF SANTA ANA ATTACHMENT E NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. 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 of recruitment advertising; layoff or termination; rates of pay or other fors 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. 5_ 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. RFPNo, 21-024CityCouncilUnderwrifingServices for PensionAefirtwingBonds Pq"Jpf24 CITY OF SANTA ANA 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, 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. as added by Chapter 643 Slats. 1939. and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: t Title: Senior Managing Director Firm: Samuel A. Ramirez & Co. Inc. Date- 3/10/2021 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PRQPQSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 21-025ity Council Underwriting Services for Pensior2pefiggqcingBonds 5PWQG"of24 RAMIRLZ A. Within the post 36 months, has your firm and/or any of its principals been the subject of any investigntion relating to the rmunicipal spcuritiPs industry by rho SEC, FINRA, NYSE, or any nther State or Federal organizntion shot nvprspps, regulates, licenses or is otherwise responsible for the municipal securities industry? Neither the Firm nor any partner or employee of the Firm, have been the subject of any investigation, litigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state or federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal securities industry within the past 12 months. S. Within the post 36 months, has your firm and/or any of its principals been involved in any litigation, arbitration, disciplinary or other actions arising from the firm's underwriting, management or bundling of municipal securities? Neither the Firm nor any partner or employee of the Firm, have been the subject of any investigation, arbitration, disciplinary or other actions by the SEC, FINRA, IRS, MSRB, or any other state or federal organization that oversees, regulates, licenses or is otherwise responsible for the municipal securities industry within the past 36 months. C. Does there exist any relationship between your firm and any other non-affiliated firmis) or individuals involving any compensation arrangement that may be associated with your possible engagement to assist with the City's proposed debt issue? Ramirez & Co. does not have any such relationship or arrangement, with any other non-affiliated firm(s); with respect to any compensation arrangement that may be associated with this proposed engagement with the City's debt issuance program. City Council 23 — 262 5/18/2021 rn p 61 ..f RAMIRCL Par S.I. Ain t Rnmir.ir Data Issuer Igaua DAaoription San" (millions) stile Role 031,W21 New York city -New York General Obligation Bonds SenEs F Subser F-1 VAN) 0 NY CO-MGR 02/04/21 New Orleans Cub-Luu'siane Sewerage Svc. Rev Ref Bonds Series 2021 $1782 LA COk1GR (1>/Di New Orleans (,Bv-I o,G ilrll Wafer Reveope Refundin4 Roads seder A)il $194 .1 1 A CO-MGIt '12117,20 New Yorx C.ty-New York General Obligation Bonds Series D & E $1500.0 NY COMGR 11/17/20 Ncw Oilcans Clb-Luuuiana Suvaagc Scrv,,c Rcvcnuc Bands Scuts 2020 B $84 8 LA COMGK 10120(20 Ai -Or) (:ity 7eEXAs Wfr& Wsao, Sys Rev Ref Bonny Sene. 2o20 C $203 5 TX CO-MGR 10/15120 Denver City and Co- Colorado Airport System Rev Bonds Series 2020 B2 $24.1 CO COMGR 101115/>o Denver U,ty And U'Ujorodo Aq,,at gy9tem Rev Roods time£ %on R1 SJ 1-5 CO CO-MGR 10/1 b/20 Denver City and Co-Coorado Airport System Rev Bonds Series 2020 Al & A2 $1 bb 8 CO CO-MGR 10/15/20 Dcnvcr City and Co -Colorado Airport Svslan Rcv Bonds Scrics 2020 C $411.5 CO COMER In/UW110 Ni--w Yurk City- New Yurk General UblikInmin Rnn ri. viI IS-rfr—R Y41111_, NY GO-MGR 09/24120 Chicago City III'.nois Gen Airport Sr Ln Rev Ref Bonds Series 2020 D $465.8 IL CO MGR 09194/?o Chico, Cit,III'.ri Gcn Air,irt Sr I n Rcv & Rcf ❑•.ros S-ne, 9090 A-C & $753.3 If CO-MGR MW 111120 CbnduL.e CRy-Novm C.aulltin Wn1ei R 3ew- Sys li J N .1 OnnJs _ es 2020 $3314 NC CO-MCI2 00/01i20 Philadelphia City- TRANe Series A of 2020-21 $300 0 PA CC>MCR Pennsylvania 1180712I1 Nr!w YnYrt CI1,N,nv Yurk Grev!r:d Oblblainn Rnnrb: 3m A&RSAi,,-, $4411 J NY CO-MGk A13Ul Ofg)7('iU New Yorrt Clfy-New York General Obligation Rands Fier ARRSA),E, $66U-3 NY CO-MGR Ai&B1 08/25/20 San Antonio Cily-Texas Cornb Tax & Rev Cerl of Obligation Series 2020 $7.7 TX LEAD 061 San Antonio City-Texog COmb Tnx .$ Rev (;erf Of OI)Iit"Inon Series JWn j17.7 TX I FAD 0812520 San A tonio City -Texas Gen Imp & Comb Tax Rev Cert of Series 2020 $1 1 a9 TX LEAD Do 08/25/20 Sall Ari unto Cily-Tcxas Gal Imp & Comb Tax Rcv Cat of Belles 2020 $114-9 TX LEAD Oo 0811$120 Jncksalvlllie City-h1Gl'ICA spECIAI H2ve0Le & HEf BpOUS series 2020 G slab FL CO-MGH 08/18/20 Jacksonville C,ty-Florida Spceml Rcvcnuc & Rcf Bonds Scr,CG 2020 A & B $130-3 FL CO-MCR 08/05/20 P111sUunp, Cdy-Pav,sylva rip GO PduouGnq Runds Svnius A of 9090 139-0 PA CO-MGR 0810SI20 PittabLrgh C'.ty-Pennsylvania GO Refunding Bonds Series B of 2020 $121 5 PA CC>MGR 07/16/20 Cleveland C'.ty-Ohio Various Pumose GO Bonds Series 2020 A $50 7 OH COMER 01/101(20 nnl:nti hills Cltpinr11A0A (3A311TII OI31 Sya 911M I it HCf Iinrl Sons Y020 A fill IN CO-MGk (W.M(.10 Corp'.Is Christi Cnv-Te.xss UM Svs.lr I n Rev Imp & Ref Bond Settee M20 A S I.S.3 8 TX CO-MGR 06/30/20 Coru'-s Clins'.i Ci',y-Texas Util Sys Jr Ln Rev Irnp Ref Bund Series 2020 B $183.6 TX CO-MGR U5/l IVA) flnlln (Iity-Texng Wpwrkq & 5wr sy-. Rev Ref Rond9 sene-3 AM) O $14U_y TX CO-MGR OG/10120 Dallas City-Texss Wtrwrks & Swr Sys Rev Ref Bonds Series 2020 C $140.9 TX COMGR 061111120 Dallas City -Texas Whwrks & Swr Sys Rev R0 Bonds Ssn< 2020 D $181-a TX [10MGR Oh/10/i0 Dallas (.ity-Texas Wnwrk� & Swi Sy= Rev Ref Roods Serie= itoo D $181.n TX Ct)-MGR 06110,20 Kansas CdrMissouri Water Revenue Bo ids Series 2020 A $04.7 MO COMGR U41021) ban From isS0 Cfty/Orr GO RItUldfn4 Honda tienec 202U-fill $192_3 CA CO-MGR (initriYllln I13/U:,)•111 Houston City- I exAs Comb Jtll Syfi 1ST Lien He.V Unnor Snna6 2112u b $ i 1, 2 1 X SO-. 0305/20 New Yorrt C'.I`v-NCw York Gcncral noliaaliorl Bonds 20 3cr D 3ubscr D-1 $800 0 NY OOMGR 021-13120 New Yurk C 1,New Yurk Gniem UbGgn Goo Rnn Js Sub... C-1 $1,(181 4 NY CO-MGft 02/12/20 El Paso C.iy Texas Airport Revenue Ref Bonds Series 2020 $10.9 TX LEAD 02/11/20 CI Paso Cliv Tcxas GO Gcfundinp Bonds Genes 2020 D $23-0 TX CO MGR 112/ l V211 LI I'a An C.ly- I exAS Comb I x .0 i2?v Ce,.n br Onkq,a ib0 SPiiEA 2020 $H44 I X CO-MCI2 02111/ 10 El Peso Ciy-Texas CO Refunding & Improvement Series 2020 A $113 9 TX CC>MCR Boons 111MR1:0 Phl.1dolphi., C11y- ("0 l:clnnMln[1 I innrl3 !Cnolc:IWOA $llitn PA U0-M(3R PMfei3ylvanla 11121(14 Santa Ana CRv-cAliifornia GAs Tax Revenue Ref Boons Sere= 201 1 $44 7 CA SOLE 11/20119 San Antonio Cily-Texas Sod+ Ln A'. roof. Sys Rev Ref Bond Series 2019 B 131.5 TX COA9GR 111/1)(19 San Antonio GtyTexes Anport Sys Rev Ref Ron, tiede` 7019 R $9w_D TX CO-MGR '11120, 19 San Antonio City -Texas Airport Sys Rev Ref Bonn Series 2019 A $17.3 TX CO-MGR 11/20/19 San Anloniu Cily-Texas Sub Lit A'.10.1. Sys Rcv Rcl Bund Scrics 2019 A $€J.4 TX COMGH I lfOW14 DEnve.r (.try and Cr.Colnl:arlM Anport System Revenue Bonds Series 2n-14 D $n17 CU co-MGR 11/06119 Denver City and Co- Colorado Airport System Revenue Bonds Series 2019 C $120.0 CO COMGR lowi/19 San Antuniu City- I evls Hccry u: & (,'Oa Sys Jr I it 12er Rp1hi tiencs %019 $9521) 1 X CO-MCI2 ID/U4119 New Yong Clty-NEW York Ceti Uollgatknn BOn M� Serle3 E 51!h U-1 $34110 NY CU-MLK 10/O4/19 New York C'.1v-NCw York Gcncral Oblipation Bonds Scrics B Sub B-1 $110.0 NY COMGR 04111114 .L n Anloniu (A,T,xa.: W:,I- Sys .G I n Ron, R I R sir,, t.e: 2,14 C M8 M TX I FAD 09110,19 ACSUI CityTexas Pub Imp Bonds & Carts of Oblig Series 2019 $115S TX LEAD 0011D/19 Austin City-Tcxas Pub Imp & Rcf & Certs of Oolig & Scrics 2019 $17G 0 TX LEAD I18/2IV14 10-.In Clly-Gia nrll:e Sub Ln AI,mi. (9cn K knv '; ..... -: 2014 A X C .$232 if GA CO-MGk 08/26/19 Atlanta City-Georg'.e Sub Ln & Airport Gen Rev Bands Series 2010 B & D $474 3 GA CC>MGR M19flr19 M, k:nnvill. OilyFlnrim, Spw:ial R.uwu:. R.1 R,,nrl: �nriw. 9nT9 R $45.5 FI CC-MGR 118/'JW14 . mrk3n,)V111C City -I Aw'.) B;wml R(,vrYu ll, I LCf inhM r Srj�:i,lgA $Ihlh II CO-MCI2 08/22(19 Houston City -Texas Public Improvement Ref Bonds Series 2013 C $23 3 TX LEAD City Council 5/18/2021 23 — 263 RAMIR6Y Par Sale Amount Ramirez Date Issuer Issue Description Series (millions) State Role 08/22/10 I Iouslcn CiMTcxae PUN Improvancnl Rcf Bonds Gcrics 2019 B $214 r TX LEAD 05122119 Huu: iur, CIIy-Tcx,i Pul.1 [, Inip,uvcuicnl Rcf Runts cdcs 9019 A $255 4 TX I FAD 03112,19 San Antonio CityTaxas Tax Notes Series 2019 $24.b TX CO-MGR 08/13/19 San Antonio City-Tcxns Comb Tax & Rcv CcrL: of Ob Gcrics 2019 $36-4 TX CO-MGR Runrls OW 14 S9n Antnr4n City ICxac. Genced Imp K 12C113nn(Id SCn(y 2014 $ill9 I X CO-MGH 07/3118i fhlledelphia Cny C.elleral Oollgation Bondi Seriei 201ri B S2934 PA CO-MCR Pennsylvania 07/24/19 K.lnsas C Lv-Misspun Water Kr:Iunrdirlrl ri(`vCrlue Bnrlds Goh<s 2019 A $72-9 MO CO-MGR 07/24/14 New York C;'.ty-New York General O'nligation Bondi Seriei A Srhier A-1 Mild 0 NY LEAD 04123, 19 Austin City -Texas Airport System Ray Ref Banes Series 2019 $151 7 TX CO-MGR 1)4/1)9/19 HoLiwin Clty-I cxas Hn1N Orctlpl X&Sp>r_12Gf GG0l=32019 $106-3 IX CO-MGI2 Runes 02126,19 Chicago City -III nois General Oeligation Bonds Series 2019 A $722.0 IL CO-MGR 03/0019 Ncw Yolk CdyNcw Yurk Gencml Obligation Bonds Sclic3 L & I -1 $91 2 NY CO-1,16I2 IVlnhl14 FI Pilo Cary -Texas General ()nllgatlun Rin,ns Semi A)19 R 117 0 TX (I()-M(3R 02/06119 El Paso C.':y-Texas GO Refunding & Improvemen': Series 2019 A $81.4 TX CC-MGR Bongs 02/06/19 FI Po,p Ciiy-Tcxus Curnb Tux & Ruini,uc C,- d1 ur Gu;cs 9019 193-5 TX CO-MGR 0"Ii, 01/08119 San Antonio City Texas General Improvement Ref Boras Series 2019 $24.8 TX CO-MuR 12/10/16 Ch,calp City-Ill'.rl M-ilti-Family Hcus'.nq Rev Bends Series 2016 $27.3 IL CO-MGR ll/'5WW NCw Ynrk C'.ly-New Ynrk (inlErel OnligSlinrl i;nml SCr I Sun 1-3 & 1-1'. $'.. 54 s NY CO-MtiR 11/30(18 Now York Clty-New York Cenerel Obligation Bondi 19 Ser D Subier D-1 $700 0 NY CC-MCR 'I1/09/ 18 Odandu City-Flonua Capital Irnp Special Rev Bunds Series 2018 B $t OE.1 FL LEAD 10/24/16 Atlanta city-6eorq.1 Water & Waslewntcr acv Ref Safes 2018 C 1.28A-9 GA CO-MGR Ronns 09/27118 San Antonio City -Texas Wtr Sys Commarc.at Paper Notes Subser A-1 & Sal B $500.0 TX CO-MGR 09/12/16 1n(flanapol8 CltylpdL?na Var Svg I Irgt Llcll 12cf R 1V BQIKIg Gc11as 2016 A $361-1 IN C61,161? 08/14(18 Danvar (Sty And C(eCdrowrlo faUhnrdlnATe Revere Bonds Seriei 2011n B S-Ixa 4 LID LD-MGR 08114,18 Denver City and Cp-Colorado Subordina':e Revenue Bonds Series 2018 A $2.341.7 CO CC-MGR 06/09/15 Ncw YurK Cty-Ntw Yurk GG1tral OnIlgaUun Runli`• ScOcS A & R $770_p NY CO-MGR 04126,13 San Antonio CityTaxas Water Sys Jr Lien Rev &Per Bonds Series 201EA $202.8 TX CO-MGR 04/12/18 Ncw York CdyNew York General Oolipalion Bonds Scrics F Scbscr F-1 $850.0 NY CC-MGR 0311)2r1R I luicaun City-Tex:o: Sub L'.n,, R-v-nun X R I ❑%no L: — 2018 A S,. 3n e TX CD-MGR 03/02118 Houston City-Texaa Sub L'.an Revenue & Ref Bonds Series 201E B $2892 TX CC>MCR 02/23/18 Ncw Yurrt Ctv-Npw Yurk Gcncrul OUIirlptiun Ran Us Gulf, r A-6&J-4&F-3 $, 94.3 NY CO-MGR H=:V18 Now York CLLyNew Ynrk Gn.(rA 0A.q:ilinn ❑nn(I.. Sane: L S,:b L4 $700 d NY CU-MGH 02116,18 Houston Cd Texas GO Commercial Paper Series G-1 $7S.0 TX CC-MGR n V1P.ri8 Hnm:Inn CilyTwx;I. Cnu 11) IIII `+y= Cnu.u, P:glwr Nnlw•: wu R-9 $71_0 TX I FAD 1i00117 Houston City -Texas Pension 0ohnation Bonds Series i017 $1.00S.1 TX CO-MGR 'I2/06/ 17 New York C.ty-New York General Ouligatiun Bonds Series C & D $9435 NY LEAD 11129117 Dlalecr CIlv and C:u-(:V4UredV Airport Gvslcnl He=v,:ur„=Dands Gcrice 2017D $21-3 CO CO -NIGH 11/29/17 Danvar 1-ity and Cc.Cdorado Airport System Revenue Bondi Seriei 2017 A $2SA 2 C,0 (JO-MGR 1129/17 Philadelphia City TRANS Series Act 2017-W $129.0 PA CO-MGR Pr:nnsyivalla 11/21/1( Houslon GtyTtxas GO Qmin)trncinI Paper N'utes SeOtS G-2 $121 0 TX CO-MGR 09/21/17 El Paso Ciy-Texas Water & Sewer Rev Imp & Ref Series 2017 $23 9 TX CO-MGR Bonos 09/15/17 New York C'.tv-New York General Onll-litlon Bonds 2016 Ser 5 C, in 5-1 $550.0 NY CO-MGR 03P WI Ynnkari City -New Y01K 2010nI Hef-nnl0g Gnndi Seriei 2011 0 $1 /3 NY CO-MCR 03/10/17 Yonkers City New York School Serial Bonds Series 2017 B $20.4 NY CC MGR 00/10/17 Ynnkcrs Ci1y-Ntw Yurrt GO Se,ol Ronus Scrics 9017 A 130.7 NY CO-MGR 08110,11 Yonkers City -New YorK C0 Rafundin.] Bonds Series 2011 C $12 1 NY CO -MCP 08/04/17 Orlando City -Florida Sr & 2nd Ln Tow Da. Tx Ref Series 2017 A R B $224 1 FL CO-MGR Runrls; l lefl11117 Aus1i, C Iy- C — W.dor X vv +Wir sy: HCv RCl Itnrr1:- ?arms Jr117 $3".'1.1 1 X CO-MGH 07/27(17 New YorK C.ty-New York Cenerel Ooligation Bondi _'018 Seriei A S999.0 NY CPMCR 07/12/17 Dallas Cily-Texas Vdhwrks & Swr Sys Rcv Rcl Bonds Scrics 21) 7 $1713 TX C(}k1GR 07/1J/17 phla(Iglphla Gin, General O'nlii"tidn Rnndi `eriei 20-17 A $jyth PA CO-MGR Pennsylvania OG/21/17 Chicago Citylll'.nois General Airport Sr'_ian Rev Bonds Series 2017 D $278.1 IL CO-MGR U11•/21/1 ` ChICarlo GIVY llnlolS Gal Nrp(,rt Sr LI) RcV & Ref bnnng S,-nc3 201 ( A-C $134-4 IL CO -MOB 04121,117 Atlanta CJtyCeorgle Water & Wastewater Rev Ref Series 20-17 A $22(L2 CA CO-MCR Bnnas 0409/17 Pillsbcrph CllyPennsvlvania General Oblitialion Bonds Scrics of 2017 $94.G PA CO-MGR 041p5117 3m A n b (A,Texn.: FI _ _ X [ s F, , Rev X RA Ruud-. New F-,1-t 21117 $31Gi_r) TX CD-MGR 02/08117 New YorK C.tv New York General Oolination Bonds Series C & D $000.1 NY CC MGR 01/10/17 Austin CltyTtxlls Elccldc Unit Sys Rev ref Dun& Scrics 2017 $101-6 TX CO-MGR 12/1)711IS Nr_w Yurk CLLy-NLw Yurk Guvr-n 1 2(117 S.e 3 Su, 4-1 $65(1_Il NY CD-MGH 11/3116 Chicago City-III'.nom Gen Airport Sr Lien Rev banal Series 2016 G $09 3 IL CO-MGR 11/30/16 Chill ,On Ciiyllf.nni. Gwr, Airl-ri Sr I iwr, Rwv I,unrc: Sl,vi . 2016 n-P $1,052.0 11 CO-MGR City Council 5/18/2021 23 — 264 111' RAMIRLZ Par Sale Amount Ramirez Date Issuer Issue Description Series (millions) State Role 1D105/16 Phil,Idclpllia Cily TRANs Series A of 201 G- 17 $175.0 PA CO-MGR Pennsylvania In/1)5/16 ..nn Anlunin CIIyT,.— WnI-i Sys.h Gal R,v fi R I DnnJ _ a-s 201H C S3051 TX CO-MGR 08/11/16 J3ekeonvi11e City-Flonca Special Revenue Refundinq Bonds Series 2016 A & B $1,0 9 FL CO-MGR 08/03/16 New Yurk C ty-New Yurk Geoerul Ol1lGlafun Ruo(Is 9017 Ser A Sub A-1 $800.0 NY CO-MGR I V(02elh SAO Antnren City- I Oxac: Cnmtl lox X R,Iu CCfI: If Oniiq SCrify 201 H f ,4 a I X LLAO O8/02(1(, San Antonio City -Texas Cen Imp & Comb Tax & Rev Carts Sefies 201E $306 4 TX LEAD 06123/i6 Dallas City -Texas WIIWIKs & Scwa Sys Ruv Rcl Sono, 21) 6 B $'. 70.2 TX CO-MGR bona, 01423l10 Dallas City -Taxes Wtrwlks & Sewer Sys Rev Ref Saner 2016 A $370 1 TX CO-MGR Boons 0612111G Los Angeles City -California TRANS 201E Sede& A & B $1.447-7 CA CO-MGR Ob/19/10 New Yolk 1;Itv-New York (;eneral O'Ofiyatwn Hondg Sane£ F & F $n00.5 NY OO-MGR 0611211G Chicago City-III'.nois Second Lien Water Revenue Bonds Series 201G A 2 $22.I IL CO-MGR Otd12/16 Clncane Glv-Illinois Second Gal Water 1levcrlac ponds Senor, 201b A-1 $;,9 r-. IL CO1MGI2 I15/ 1p' I CI1IK1fu Glty-IIIInuIS Av, I ten W Ater Res X RN Rnnng Sefl'J000 & J0(14 $444 a If GO-MGR OD 11116 ALatln CiY-Texas Water & Wsmlr Sys Rev Ref Bonds Series 2016 $247.8 TX LEAD 0411411E Buffalo Cily-New Yu,K General Irip 5l:nJ & Rcf Bonds 5cl ies 2016 A & B $47.0 NY LEAD 03121,16 O1lango Clty-I 10110A CApItAI Imp&Itef Special Rev Series 2016 Ii&r $8t.b IL CO-MCIP Eonoe 02/21/16 New YorK C'.ty-New York Ceneral Oolipation Bonds 201E Series C & D $BOO 5 NY CO-MCR 1 IlDY115 El Paso CI',V-Texas WA- X Sowo. Rnv Hui 8nuds Scrics 2015 C R4A.h TX LEAD 10114(1G Chicago City -Ill'. now. )nn I'.2n Wswr Tmllmla3lon SeneA MI5 SA7.1 II I FAD B01104 'I0/14/ IC.. ChicagU Citylll'.nui& 2nc Ln Wstwtr Transnf.ssion Rev Series 2008 C $3322 IL LEAD 04/11)ii1 Austin rlty-Texas Pubiie Prop Flo Contract Obey Safes 201b $14a TX CO-MGR 00110115 Austin City -Taxes Certificates of Obligation Series 2015 S 137 TX CO-MCR 09110/15 Aosfin Clty-IC.Ul Pabp(-lmprovancnt&RCI UOnns Saner 2015 $236-9 IX CC>-MUR 07[i1l1G New York Clty-New York General U'ofiyabon Bonds Senee A & B VS0 5 NY Ctl-MCR 0711511, Houston City -Texas GO Commercial Paper Notes Senas E-1 $100-0 TX CO-MGR 0(115/1b 1101.1,101) City -I oxas GO Commercial Paper Notes gf,mzs n-2 $100-0 I X COMER (11119/15 San Antonio City- Iaxss Airport Syntem Heveooe Imp Honda Saner 2ol1) $3tl H I X CO-MCH 07/15/15 San Arlorio Cilv-Tcxas CLII.o,,lcr F3c Charge RC, Donda Scrics 2015 $123.0 TX C0-MGR 07/15/15 SAn Arltonlo CltV-Tcvo^ FIccjr, ,.X GAS 5V`• Rcv Rcf Rp11!1$ Ncw ScncS 2015 $370.5 TX CO-MGR 01/1]11U San Antonio City Texas Water Sys Commercial Paper "series A S. B $4b0.0 TX CO MGR Notes 06/94/15 I us Anpcic_ City-Culifuouj TRANS 9015 Scrics rp1,388.9 CA CO-MGR IIHI14115 I101-IM1 City -I (,- Cool) JhI Sy: 1 '. Lion REI Bonn. Sili C4 2015 U PfiL.7 I X CD-MGR OG/0311G Chicago Citrill!nois Sales Tax Revenue Refundmq Series 2002 $111 7 IL CO-MGR Boncs Obin3/15• Ncw Yurrt City -Nu. Yolk (icnaal 0-11figafion Dom1s 1995 Sr,l F Sllto' I S50-n NY CO -NIGH I4 01,113/15 New York Clty-New York Ceneral Obligation Bonds 2015 Ser F Sub F-1 Mild 0 NY (.()-MCR 06/03111 New Yorrt C`.tv-Naw York General Ooloation Bonds 2015 Series 1 $316.7 NY CO-MGR U4/2f/14 ChnaOo CltyWinols GO RcRmdlnq Li011d0 Sales 20W E F G $I b l ( IL CO-MGR 0512711G Chicago City-III!nois General Onligmicn Bonds Series 200S B $170.I IL CO-MGR 05127115 Ch'tallo Glv-Illinois General Oobyafi0n OondS Senc-S 2005 D 11174-0 IL COMER ObP f/ Ip (;mead(' (;Ity-III n013 General pnhgau0n Huang :;Lae`: /OO/ H g.1 'hi If W-MGH OG12211G Chicago City-III'.nois Commercial Paper Notes Series D $7G0 IL LEAD 05/13/15 Augtln Cltv-TeXag Elec 1,11I'Ity Svs Rev Ret Bonas Series 2015 B $01.0 TX CC, MGR 0:413/1b Auatln City- axaA tiac UtII Ity Sys Rev Hef Bgn(1& g2(Iag 201 b A $32 / H I X CO-MCH 04/)1/11, Philadelphia City Water& Wastewater Rev Ref Series 2015 B 3141.7 PA CO MGR Pcnnsvivama Bonas 0:1i l'v15 Ncw Yurk CIIyNrnv Yurk Gunur:d 0"1..,1 " 2015,, :v:uu: C X ❑ S79117 NY CO-MGR 02120111, Houston CIMTexas GU Commercl31 Paper Notes Series G-1 & L $200.0 TX LEAD 0102/15 San Antonio City -Texas W,Iter Svs Jr I n Re. & Ref Raids Sefies 9015 R $303-� TX CO-MGR 1)1111114 0:4IAs C Iy ex.r.. ("0 rG:n(lino X ....... Seric ?014 $5911 4 I X CO-MGR BOW" 10/30,11 Jacksonville City-Flonna Special Revenue & Refunding Series 2011 Von FL CO-MCR Bonas 10/29/14 Atlani Ulv-G xlg GO 3"tUldinq LlOn(IS Sacs 2014 A 1,1t1-4 GA C(YMGR 101/i3/14 Affirm coy-GeonpA GO Refilndiny Ronde Series A)14 R $410 GA co-MGR 10117,14 Otlanoo Ci'.v-Flcriaa Cap hop Spec it Rev & Ref Bond& Series 2014 B-D $8C.0 FL CO-MGR 09/1014 CHIT kilo Clty4l no13 WBStcwoior Rcvcnllc Honda Send J014 $59J 4 If CO-MGR 00/00/11 Austin City -Taxes Certificates of Obligation Series 2014 $9 6 TX CO-MGR On/1g114 Austin CilyTcsas Publ!c Improvement Bona& Scrics 2014 $10.0 TX COMGR 08/14/14 New Yore CIIyNew Yurk Geuo:-0 UbGga Gun Rnn Js J1115 Soles A & R 5;4Ht111 NY CO-MGR 03114,14 Pittsbcrgh C.ty Pe insylva lie General OOligation Bonds Series of 2014 $445 PA CO MGR 03/12/14 I Wustun City -Texas &w-rt Svs Facs Rev Rcf D!rnds Scrics 2014 $302 TX LEAD Hhf2U 14 Los A,1, 1, u. [Sty(a.liluintr TRANS 2f114 Seems $1,;1H42 (:A LEAD 06/13/11 Houston City -Texas Comb Jt,Inv Sys tat Ln Rev & Ref Series 2014 D $148 0 TX CC-MGR 06/13/14 Nww Yorrt C IyNuw Ynrk G-,,.,rA Onlirpllinn Rn... 1 90 14 Seri. :3 & K $1,018.0 NY CO-MGR City Council 5/18/2021 23 — 265 L RAMIR6Y Par Sale Amount Ramirez Date Issuer Issue Description Series (millions) State Role Of120114 Chicago C,10111 no,, 2ria Ln Rcvcnuc & Rcv Rcf Bonds Scrfc 2014 B $267-G IL CO-MGR 05129114 Cli.".'u CIIy-111'. nu1;, 9ntl 1 n Ra.a,,,c & Rcv Rcf Zv,iies 9014 A $454 2 I CO-MGR 03126,14 Atlanta City-Gsorg'.a Airport General Revenue Ref Series 2014 C $161.0 GA CO-MGR Samos 03/96/14 Ada -ran City-Geurul o Airport PFC & Gen Rev Ref Runts Seri,, 9014 A & R $094.13 GA CO-MGR I I'NV V14 Chicegn Cdy-111'. nnis GO Prn'M X k(InnfliOG Lin Orin SCriCs 2014 A $4 Q 6 IL ('O-MCK 03113(14 Chicsoo Cltv-IIIInrrc GO Project & Refundinc Bonds Series 2014 B $45rl 8 IL CPMCR 03/13/14 I Iuuslun Clly-Tunas Fiisl Gun Rcvcnuc Re Builds Scric 21) 4 B 580�-2 TX CO-MGR I)'1/13/14 Mamphia C, ty-Tenneggee Ceneral Improvement Ref Ronne Series 70-14 A $-1040 TN CG-MGR 031M/11 New York CkyNew York Ceneral Obligation Bonds 2014 Set I Sun I-1 S650 0 NY CO-MCR 01/15/14 Phla(b=1phl.) Clly- Warr & Wa'.C.11r_r KCvcnu<_ Scno, 21114 A $12J2 PA LLAD PR)1111gyIKL11B Botha 01111/ 14 El Peso Chy-Texas Water & Sewer Revenue Ref Bonds Series 20-1'1 $e4 '3 TX CO-MCR 12/12/13 Ncw York Cllv-Ncw York Gcnuml Obli,lahon Builds 2014 Series G & I I $8no.1 NY CtrNIGK 10/03/13 OhlcOgp (;Ity1111nu$ (;en Airpurt Sr I Seri Rev Ref RGnJs Series %013 AS C $434_f 11 OO-MGR 10/0's113 Chicago City -III nois Gen Airport Sr Lien Rev Ref Bonds Series 2013 B & D $463 2 IL CO-MGR 09/27/13 Ncw YGIK C.V&NeW Yell( General Obllgalloll Bonds 2003 gel C. SUb C-A 517f 7 NY CCl-MGR M/27113 New YniK Clty New Y01'k General Onllgatlon Bonn, _1114 Ser J-1, t, 5 F $716 b NY CO-MGR 09/11/13 Adanta City Georgia Water & Wastewater Rev Ref Series 2013 A l $178.7 GA CO MGR Boras 09/05/13 '1-k.ay.-11, City-FInm1:I S'-. -I Rnvnnnn & Rr:1 Rum1: &-rur. 2013 R 135.1 FI CO-MGR 0910SI13 Jacksonville City-Floria3 Special Revenue & Ref Banoa Series 2013 A & C $85 6 FL CC'MCft 08/01/13 New York C.tv-Neal York General Dalmatian Bonds Series B & C $3725 NY CO-MGR 07/1 v13 Ncw YGrK CI1yNrnv Yurk (3cnur.d OA."A nil RondN Snbsk_ 1 $134ft NY CO-MGK 0712113 New YorK C'.fv-New York General Onlipation Bonds Series A Srheer A -I $375.0 NY CC>Mt3R 07/16/13 San Anwriu Ciry-Texas Gen Imp & Comb Tax & Rev Carts Series 2013 $129.6 TX CO-k1GR Of/03/1:3 Wrath tJityTaxr3 War& WS>wh syS Rav fief Fianna Serie-3 i013 A 9i98X-, TX CIS-M(sR 07/03(13 Dallas Ciq Texas CO Refunding Bonds Series 201., B $426 TX LEAD 07/rx)/13 Dallas CilyTcxas (30 Rclunding & IrrlprDy(=merit Scnc 2013 A $1114_5 TX LEAD Bontls Ot,127l13 San A unnio Liq Texas Elen s Gas Sys ., Gen Rev Bond Series 20-13 $,7S 0 TX CO-MCR O6/26/13 Ws Angdcs Clly-Cahfundd TRANS 2013 Series A-C $1.324-6 CA C(--)-MGR 06/24/13 Ncw YorK CtyNew York Gcncral Obhgaalon Bonds 2013 Series I & J $94d-6 NY CC-MGR 1131 113 New Y01K C.ty-New York Ceneral Doligatinln BOnis 13 SM F SLn 1--1 $Y /G.:1 NY CO-MCH G&H 01/10/13 Od, ndo City Flonaa Wstwar Sys Rcf & Imp Rcv Bonds Series 2013 $302 FL CO MGR 1211 K1l_ LCA AnGele3 CiryCalifnfni9 WAIe(sy31Anl CI".tEueOue NnlAi S?fiH A -I A Mio CA CO -Muir 12112,12 New YorK C.tv-New York Ceneral Oolipation Bonds 2013 Series D & E $1.000 1 NY CC>MCR 1109/12 Huosaun CIN-Texas CurcU U111 F'. rsl1San Rev Ref Runt Seri,, 9019 F $n6.1 TX CO-MGR 10124,12 Phl3dalph13 City- Water& W3stew3ter Rev Ref Series 2012 $104 PA CO-MuR Pennsvlvania Bontls 10/01/ 12 New Yorrt C.ty-New York General Ooligatiun Bonds 2013 Set A-1. B & C $1.125.0 NY CO-k1GR 09/07112 San Anlunru Oily-Tcxi, Walks Sv=lcni Kcvnnic & Hai Sc=uce 2012 A $16J-4 TX CO -NIGH bonny 09/0611'21 Chicago City-III'.nois 2na Ln Wsimtr Transmission Bonds Series 2012 S276 5 IL LEAD 08122/12 De11as City-Tcx�is W hwks & Swr Svs Rcv Kul Bontls Sunw, 2012 B $1(16_7 TX C()-MGR U6/22/12 D011as CityTcxoi Wiwks & NXf gys Rcv Rut Bonds s=ries 2012 A $2b9.4 TX CO-MGR 08102,12 San Antonio City-Taxas Comb Tax Rev Cn Ob&Gen Imp Series 2012 $167 U TX CO-MGR Banos 07/12/12 Austin Cltv-TeXas War & W stwar SyS Rev Ref Bones Series 2012 $336.5 TX Cr>MGR 0:421/12 New Y01K Cty-New Y01'1, Ceneral Onllgatlon BnnlS 2012 Series H & I U,I fL/ NY CO-MCH 05/23/ 12 San Antonio City Texas Elactir c & Gas Sys Rev Ref Boras New Series 2012 3655.4 TX CO MGR 0411 B/12 AII,ve,1 CGIy-G,,,rl,+ Airporl Gcncr, l Rcvcnuc n,,in Js Sena, 9019 C S995 7 GA CO-MGR 04118,12 Adanta Cityceorgla Airport Ceneral Revenue Bonds Series 2012 A & B $248 4 GA CC, MCR 0327/12 San Antonio City -Texas General Improvement Ref Boras Series 2012 $331 TX C&MGR I1:VD7112 I luirslnn CilyT, tiuL Len Rcumnu: Rcf 9nuJs 5cm c. 2012 9 $2171 TX CO-M(;R 021)7112 Houston Cav-Texas Sub L'.en Revenue Ref Bond- Series 2012 A $286 b TX CC>MGR 02/24/12 New Yurk C'.tv-New Yurk General Oblirlariun Burds 2012 Series E & F $1.030.6 NY CO-A1GR 02/0012 San Antonio City Texas Water SysTem Rt vends Ref Bonds senes 2012 $227 1 TX CO-MGR 1128/11 Houston f_-Sty-Texa=. Ceneral Obligation CP Notes Series C-1 & 2 S200 0 TX LEAD RA 11/16/11 AusGrt (:11v- cx11 Wa1,1r & Wsrwlr Svs Rev Kul Bonds Suncl, 2011 $237-5 I X C()-MGR 1 1f09l11 Phlarlelphia Cdy Water & WsTwlr Rev & Ref Bonds Series. 20-I-I A & B .$184 o PA LEAD Pennsylvania 10/14/11 Austin rily-Texas Publ',u Inlpruvcmcnl Ref Bonds Series 2011 B $3.0 TX SO'_C 10/14/11 Alupn City- evne PUUIir Improvcnicn[ RCT Hundg Sufic£ J011 A $6d-;y I x I FAO 09129,11 New YorK C`.ty-New York General Ooligation Bonds Subsenes E-3 & H-A $14u 6 NY CO-MGR 09/28/11 Ncw YGIK Glv-Ne. York Gcncral Obligalon Bonds 2012 Sur D Sun D-1 $528 NY CO-MGR OA12111 I Hnuslr i City I ex33 (:0n)h JhI Sys I-Irar Gen Kea KM Befies 201 1 t, $".66 7 1 x CO-MCH 07120,11 New YorK C.ty-New York Ceneral Cidipation Boras Series Al. B & C $714.7 NY CC>MCR 041?7/11 Chiu,-ju City-111'. neis PFC Rcucn,ie Refuntlinq Rend. Sure, 90 '. A $19.9 II CO-MGR 04/2011 Cnlc3go City -III pals -'1 C IIC1Cn1C Hafu110111g 60I16S Sams 2011 B $3i8 IL CO-MGIt City Council 5/18/2021 23 — 266 L RAMIRL4 Par Sale Amount Ramirez Date Issuer Issue Description Series (millions) State Role 04/27/11 Chicago Cilrllllno,, Gan Airport Thira L'.cn Rcv Bonds Gcrics 2011 A-C $1.000.0 IL CO-MGR 04/07/11 Pb11aJclpbia Cily Gcnclvl Otdigvlinn R,xid, Socks 9011 $253 7 PA CO-MGR rri-i-yl—tin 04106111 San Antonio CityTaxas Water Svelem Revenue Ref Bonds Series 2011 $16 6 TX CC>MGR 03/09/11 New Yurk C trNew Yurk Gener;II OUIi,gian Rpnd, Ser H Scbsef H-4 S45.1 NY CO-MGR ❑"Mull1 Now Yn1, Cl ty-Na-York Grnf Cal 0nligainn Unred, "I I I SM I gun I-'. $4011.11 NY CO-MUR 02/23l11 Houston City-Texs=_ First Gen Rev Refundln9 Boras Series 2011 A $2733 TX CPMCR 12/15/10 Ncw Yurk Clty-Na. Yolk (irnnal OnI11la0on Bands Scres G & 11 $)OU-0 NY C041GR 1 i/15/10 New York City-Ngw York Cengral Oofiyation Rnnds SgriES F $ul)sm F-1 $307.0 NY CO-MGR 12/Do-)/10 San Antonio City -Taxes Airport System R6v6nca Raf Bonds Series 2010 B S20. ) TX CO-MCR 1209/0 Sap Anloniu C1ly- 1 ox9s HI C & Ait7.lort Sys Kcv Imp H,1 Sens 2011) A $79-5 1 X CO-MGR 1 ill h/10 Acsh i CityTaxas Water & WsTwlr Sys Rev Ref Bonds Series 2010 A S7fi.i TX CO-MGR 11/103/10 Austin CityTaxas Waler& Wstwtr Sys Rev Ref Bonds Series 20IQB $1010 TX C(}MGR 1ill 0/10 DA1les (;ity-Tyx3s Fquiprr,Pm Arq ConlrArlt.al Ol)l qA $eriPs Jo10 y 17.j TX 1;0-MUR 11/10/10 Dallas City-TBxss CO Re.frnding Bonds Series 20 1D $77 7 TX CO-MGR 11/1p/10 Da11as pity-'. cxas GO'Rcicndincl Bands Gcrics 2010 C $142.n IX CtrA1GH 11IUS1Ill AHAnIA (dty-Geu1YJiA Aupun Gen Kev & I'FC tin Lei genes 2010 A & B $Sri / 1 GA GO-MGK Bonn, 10/2°/ 10 San A tonio City Texas Elea & Gas Sys Rev Ref Bonds Series 2010 B $200.0 TX CO MGR 10/20/10 Cr Antonin City-T,,, rlcc & Gus Sys Jr'. n Rcv ❑uncls g-ncz 90'.0 A $300.0 TX CO-MGR 10/2B110 (.kayo City -ill'. nois SECOnd LI211 H2V2rue Boras Series 2010 B $84 0 IL CC-MCI1 10/25/10 Chicago C,W1IInoiG Sccond Gan RCVCnIIC Banns Scric; 2010 D 1-2 $00-1 IL CC>MCR tnll 511n Chi. miln CIIy111'. nnls Sw:rind I Iwn R—ti— Rums: wm go in C $(15.5 11 CO-M[dR 10107110 New York L ty-New York General Obligation Bonds Subseries A- 7 & 8 $88.S NY CO-MGR 10/07/10 New Yurrt C.trNew York General Obligatiun Bunds Series D & E $300 0 NY CO-MGR 10/0rH0 New Yark City -New York Gcncr3l Onllyalon Kona: 2011 Sm C SIb C-1 V1, (I NY (,0-MGIL 10105/ 10 El Paso city -Texas Water & Sewer Revenue Ref Bonds Series 2010 A S12_G TX CO-MCR 09/29/10 Coluradu SDnngs Clty- Utili'Jes System In1p Rev Bonds Series 2010 B-1 $5.7 CO CO-MGR ColurIntro 09lY8(lo Colorado Spnnys City NlllTies System Imp Rev Bonds Series )o O R4 $-174 3 (:O (:O-MGR 08110/ 10 Chicago CiMlll'.nois General Oblivahan Bonds Scrics 2010 B $F.7 8 IL LEAD 06/19/10 Chlcuyo C1ty111 uID1s Gcncral ONIKIdtoll tlAld.4 Scn.�2010A 02.7 IL LtAD IIM/1211H 1-1111AfIMPINA City CAs Wa1HA KPv6ne6 BnnOs NmTn Se..riPS $1Ig1.(I KA CO-MCK Pennsylvania 07/29/10 Chicago City Ill nois Mcdti family I lour, no Rcv Donds 2010 Scrics $33.0 IL CO MGR 07/2h/ 10 New Yafk C. ty New York CSIIErA oni.gAlinn Unntl, SPfiH A & R $962S NY CO -MCI? 0610D110 New York C.ty-New York Ceneral Obligation Bonds Series H SLbser H-2 $151 5 NY CC>MCR 06/09/10 New Yurrt C to -New Yurk Geoer;II 01,Ii,1;Itiun Rands Series H Sctlser H-T $748.0 NY CO-MGR Oo/OBHO Chicago City111'.nois Second Lien Revenue Boras Series 2010 A- 192 $80.e IL CO-MC&P 03118/10 New Yom C.ty-New York General Obligation Bonds 2010 Set G Soo G-3 $30 3 NY CO-MGR fLV/1 R/10 Nww York CI Ir Now Yurk (9wlwra 0ldillalinn Runde: W1111 SurG S.mn G-1 S84441 NY CO-MGR 0$/11/10 Dallas OIIyTexss Con in Tax & RP, (,efts of OHIO $grips i0-10 V 1 6 TX CO-MGR 0311 1/10 Dallas City -Texas General Obligation Bonds Series 2010 B S8&4 TX CO-MGR Dill Vil) C);1llp, City-Trxcls GO Rchnldi iq & InlOrov,incpl Son,=£ 2010 A 1.196-6 Tx CO-MGR City Council 23 — 267 5/18/2021 RAMIRCL Lead Banker/Proiect Oversight Raul Amezcua Senior Managing Director M: (213) 605-5120 E; raul.amezcua@ramirezco.com Day -to -Day Contact Michael Mejia Senior Vice President M: (510) 364-1423 E: michael.mejia@ramirezco.com Rankine Su000rt Dr. Fernando Guerra Managing Director M: (310) 993-1440 E: fernando.guerra@ramirezco.com Banking Support Tiffany Lee Vice President M:(626)862-8920 E: tiffany.lee@ramirezco.com Analytical Support Esther Feliz Analyst P! (212) 248-3848 E: esther.feliz@ramirezco.com Technical and Quantitative Support Arthur Chan Managing Director P: (212) 248-0509 E: Arthur.chan@rarnlrezco.com ✓ 30+years of municipal finance experience ✓ Joined Ramirez & Co. in 2021. Most recently, he managed Stifel's California Public Finance Group and served on the Executive Committee from 2014 to 2020 ✓ Completed 250 senior managed issues exceeding $30 billion ✓ MBA from the Anderson School of Business at UCLA, B.S. USC ✓ 15+years of municipal finance experience ✓ Structured over 150 municipal financings totaling $4.5 billion ✓ California PCB specialist (completed 8 California POB Lr risa(Lions) ✓ B.S. in Environmental Economics and Policy from UC Berkeley ✓ 30+years of California municipal finance experience ✓ B.A. in International Relations from the University of Southern California and M.A. and Ph.D. in Political Science from the University of Michigan ✓ 4 years of public finance experience ✓ Responsible; for lirge issuer coverage ✓ Structured dozens of transactions totaling more than $S00 million ✓ B.A. in Economics from UC San Diego ✓ I ransactional and quantitative support (lead support banker for the City of Newyork, Los Angeles, State of California, etc.) ✓ R.A. in Fconomics and International Political Fconomy from Fordham University ✓ Joined Ramirez in April 2018 with over 33+ years of expPrienre ✓ As former Head of the Debt Solutions Group at RBC Capital Markets, Mr. Chan has worked on $101 billion in senior- rnanaged transactions for numerous state and local issuers nationwide ✓ Bachelor's degree in Computer Science - Artificial Intelligence from the University of Wisconsin at Madison and a Master's in Finance and Management from the University of Chicago City Council 23 — 268 5/18/2021 RAMIRLZ Lead Underwriter ✓ Underwritten over $40 billion of senior managed financings Patty McGrorry ✓ 19+ years of municipal finance experience Managing Director ✓ B.A. from Villanova University P: (212) 248-3884 E: patty.mcgrorry@ramirezco.com Co -Lead Underwriter John Young Managing Direcror P: (212) 248-3870 E: john.young@ramirezco.com Chief Credit Strategist Peter Block Managing Director P: (212) 248-3885 E: peter.block@ramirezco.com ✓ 45+years of municipal finance underwriting experience ✓ Former MSRB Vice -Chairman and former head of Municipal Bond Underwriting al Bear 51.earns ✓ 30+ years of experience as a municipal credit research analyst ✓ Prior to joining Ramirez Mr. Block was the Head IradingDesk Analyst for Morgan Stanley's Institutional Municipal Securities Division ✓ Former Director at Standard & Poor's and Sector Leader for Derivatives and Public Pensions City Council 23 — 269 5/18/2021 RAMIRL4 Par Amount Sale Date Issuer (millions) Underwriter IIIIIIIIIIIIIIIIIIIII,ii ,k M El ..IL' IIIIII.. ii M ii,,, M ,n,M, ,,, IIIIIIIIIIIIIIIII ., „, 3/ 15/707 I Orange $786.4 Stifel 2/11/2021 Chula Vista $350.0 Stifel 2/9/2021 Downey $113.6 BofA IIIIIIIIIIIIII IJIIIIIII��� � �' �� IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ,,,, ` II ; ,,,, ,,, ' ,M „ OM ,,,,,, 1/13/20021 Fl Cajon $147.2 BofA IIIIIIIIIIIIII 1 ,,, ,�,,, : ° ° ,' U' IIM MMMMMEM 11/10/2020 Gardena $1015 BufA 1012712020 Arradia $90.0 Stifel 9/17/2020 Acusa $70.1 Bo(A (IIIIIIIIIIIIII � ° ° IIIIII° � MM�" M;a N� 6/10/2021) Carson $108.0 Cabrera IIIIIIIIIIIIII 1, ., r ° IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ,�, 6/4/2020 Riverside City $432.2 BofA 6/2/2020 Inglewood $101.6 Cabrera 5/27/2020 Montebello $153.4 Cabrera 5/12/2020 Ontario $236.6 Hilltop 4/30/2020 Larkspur $18.3 DA Davidson 2/5/2020 Pasadena $131.8 Stifel 10/9/2019 Pacifica 59.7 US Bancorp IIIIIIIIIIIIIIII,� ° � �,°�,m IdM � IL... �IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ,M,i IIM �,,,,,, 9/12/2019 Marysville $15.0 Hilltop 8/22/2019 Glendora $64.4 Stifel 3/6/2019 Chowchilla $10.5 Brandis (IIIIIIIIIIIIII,,, ° ° IIIIII„',,,, ",6,,M •,n, °, IIIIIIIIIIIIIIIII .,„",,� IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII ,M„ OM I....i. 7/25/2018 La Verne $54.3 Hilltop 11/30/2017 Monrovia $111.6 Hilltop 10/31/201I Inglewood $S2.2S SLern Bros IIIIIIIIIIIII . 11 IIIIIIIIIIIIIIIII „„, Ramlree & Co's Total Par Amount $654.4.6 Ramirez's Total Deals 7 City Council 23 — 270 5/18/2021 RAMIRL4 Mh $106,335,000, City of Monterey Park, Taxable Pension Obligation Bonds, Series 2021 Ramirez & Co. Role: Senior Manager + Relevance LLo Santa Alan: Harmie_> N1 r o. .0Intl odw('d A/lo terey Push (wlwrul Furrd ratinq to ;&P simifor to thr piocc"!, that the City of �arrto AHO will Pr-<puire, l h,- (ify's cf orronuc WO dcrin'>yruphrr pi o(ilc 7, vary ,Imdai to [he (, o y of 'Ilaora Arta rmd our ream helped chero achwve nr bettcr r rcda rulurq than miiu.ip riwd. + Ramirez & Co. introduced the City's general fund credit to S&P for the first time (no prior general fund rating). Our banking team successfully arli(Ulaled the CiLy's regional importance and pending economic development, achieving an 'AA' rating despite below average wealth levels. + Ramirez & Co. achieved lower rates than all prior POBs, includingthose with higher credit ratings. $17,590,000, City of Coachella, Taxable Pension Obligation Bonds, Series 2020 Ramirez & Co. Role: Senior Manager • {ele vornee• LLo .=aniLLa Aria: Rumire.z & rra, gilded lhrr Oty through thf, rrituiq pro('e", in ffic it¢iddie of the r OVID 14 3huidowrr rrr-sprte he411A' Ovr,r rope wealth tvi/vA ran'! fullinq wvvriues our teonr 11,11r:resrfu(Oy ochiorror9 hotter lPnr'rrn expi>rhod ratinq wr felts. • Ramirez & Co. successfullyguided the City to secure a'AA ' (stable) rating, despite falling revenues from COVID-19, and helped develop a bond structure that maximized cash flow savings. On the pricing day, our aggressive marketing helped secure the lowest spreads of any'AA2 rated California POB in the history of the Muni bond market. $121,865,000, City of Hawthorne, 2019 Taxable Pension Obligation Bonds Ramirez & Co. Role: Sole Manager + MB�i.p;vfPuvy� fro I.E.Paroffn Ana _;, trrrf.yc"t Cohlorrnia POIt of 201_a of rt tonic, wplc(l jiyiro io'ivNYno`,: hrrr,! apjwovrrt P0fI medic; and lire produn l WON very r hrdlengh)y to sell. Ramirez & Co. sole managed the largest financing in the history of the City. + POBS funded 100% of the City's outstanding CalPERS UAL and were structured with 30-year level debt service to provide Tong -term pension cost management. Aggressive marketing efforts maximized investor demand and secured orders from buyers that had never purchased California PORs priorto the sale (Wells Capital Management, among others). $54,085,000, City of Baldwin Park, 2019 Taxable Pension Obligation Bonds Ramirez & Co. Role: Sole Manager + IldgX uo,,, !!np 1f.Q...$. nl� Auu,, ,; Rwrwcv Fr Of.', andity (',) gen.vnPl r= ;truly &'avI010 and i_rPttrer khan ,rxriert'vl p rk incl io O ehoth� nyiml mmkot errvirorrnrcnt. With a very aggressive pricing scale, we generated $73.4 million in orders (1.4x oversubscribed). + The transaction was priced in a very challenging market and was successful due to a focused marketing effort and Ramirez & Co.'s willingness to underwrite unsold bonds. $16,310,000, City of Brawley, Taxable Pension Obligation Bond, Series 2017 Ramirez & Co. Role: Sole Manager IFtelevaaance liar Santa Ana_GridCrWf' that ROMirer & CO. wo5 OPC 14 MC first uwdr-'writers of P(-HP). POBs refinanced the City's exiSking CalPERS obligakion and Shortened khe overall final maturity frnm ➢S years to 15 yrars. Onr of thr first California PORs to he stnirturod with a 10-year par call. City Council 23 — 271 5/18/2021 RAMIRL4 i. On July 24, 2019, the Puerto Rico Federal Financial Oversight Management Board ("PROMESA") filed an adversary complaint against a dozen municipal underwriters including Ramirez, in connection with Puerto Rico bond offering(s). In response to the allegations, the underwriters' defense counsel filed a motion of dismissal, joined with an insurance claim under our professional indemnity policy. The case is re: The Financial Oversight and Management Board for Puerto Rico, Case No. 17-BK-3283 (LTS) (Jointly Administered). This case has been stayed by the court and is in the process of being briefed. Litigation counsel has not yet formed an opinion on the merits of the allegations. Ramirez shall advise on material developments, if any_ ii. On February 19, 2020, Ambac Insurance Co. ("AMBAC") served the Underwriters including Ramirez and several other firms. Plaintiffs allege misconduct in debt offerings issued by the Puerto Rico Infrastructure Financing Authority ("PRIFA") and the Puerto Rico Convention Center District Authority ("PRCCDA") in the mid-2000s. The case is called Ambac Complaint & Summons; Re: CV No: SJ2020CV01SOS (906) Breach of Duty vs. Samuel A. Ramirez & Co., Inc. et al. The Underwriters have filed for removal, pending scheduling by the court. Litigation counsel has not yet formed an opinion on the merits of the allegations. Ramirez shall advise on material developments, if any and; iii. On November 2S, 2020, Financial Guaranty Insurance Company ("FGIC") like the predecessor case (AMBAC, referenced above) served all thirteen underwriters of certain municipal bond offerings issued by Puerto Rico and its instrumentalities. As in the AMBAC pleadings, the company alleges that the underwriters of Lhose bonds failed Lo conduct appropriaLe due diligence and should have alerLed iL Lo certain misstatements or omissions in the official statements for the bonds. Their complaint alleges that the underwriters are liable to it under the Puerto Rico equitable doctrines of octos propios and unilateral declaration of will. The case was filed in Puerto Rico Court of First Instance No. SJ2020CV06383. The Underwriters are in the process of filing a motion for removal, pending scheduling by the court. Litigation counsel has not yet formed an opinion on the merits of the allegations. Ramirez shall advise on material developments, it any. City Council 23 — 272 5/18/2021 RAMIRL4 Sale Par Amount Date issuer Issue Description (mllllonsl State Role 03/03/21 Br rl. ington City -Vermont Airport Revenue Apt Bonds $5.'_8 VT snip 02/25/21 Regents of the 'u niv of Cal `furn`a Revenue Bonds S392.95 CA Co -Mgr 0>/)4/>i NYC-. Hnu :in8 DPv tarp Millti-Family Hnusin8 Nov Rnnrlc $)l ).n0 NY I o-Mgr 02/23/21 Regents of the Univ of Cal `torn `a Ceneral Revenue Bo ids $1,029.33 CA Co -Mgr 02/17/21 Wiscunsin GO Rcfunu mt, Banus S295.24 WI Co Mgt 02/11/21 Connecuart Hnusinp. & fin Ant[) (CHFA) Hou,inp Mortpae.e fin Prop. Bontls 370.37 CT Co-MP.r 02/11/21 NYC Industrial Dev Agency Pi or Refunding Bonds $50.00 NY Co -Mgr 02/05/21 Nai,aa Co Inlerinl Finance AuLli Sales Tan Secured Bunds S557.05 NY Co -Mgr 02/04/21 Ncw OdCnilc ❑ly Liu Lnnn ticwcragr Svc Hry Hof Iiondt. $1 /A 20 LA ( r, Nlgr 02/04/21 Ncw Orleans City Louisiana Watcl Rcvcnuc Refunu`rig Bonds S194.30 LA Co Mgr 02/03/21 Ma„acha,Ctt, Port Authurity Rcvcnuc RcfundinP 0ond, S229./4 MA CO Mgt 02/02/21 Monterey Park City -California Pension Obligation Bonds 5106.34 CA Lead 01/21/21 Hrnatnn Co (Crockett) ISD Retu di g Ronds $9.09 TX Snip 011?1/Jl Pur l Aud+uri',y of NY NJ CunsulidaLcd Rorids SA00.00 NY C,-M" 02/14/21 Rhode Island rl5g P. Mtg Fn Cnrp M.IIIti-family Development born& $414R HI Cn-Nlgr 01/12/21 Texas St Univ Sys Bd of Regents System Rev Flancing Sys Rat Bond S32.20 TX Co -Mgr 12/17/20 New York City -New York General Obligation bonds �1.SUOAu NY Co -Mgr 1?/11/20 V',a Metropn', itan Transit Authority Farebox Revenue Ref Ronds S)8.94 TX Co -Mgr 12/10/20 Miami -Dade Co-Floncla Sub Special Ohligaition Ref Bonds S2S3.26 FL Co -Mgr 12/10/20 Miami -Dade Co-rlL+rida Sub Special nbligaitiun Ref Bonds 5253.2G rL Co -Mgr 12/10/20 eras Rubl`c finance A.Itb (I I'fA) Lease Revenue & Ref tsonni $400 00 '. X Co-Nlgr 12/09/20 Harris Co Cull. Ed Fats Fin Corp Revenue Bonds S79.41 TX Co -Mgr 1210412U MassaclluscLLS I lous'. nH Fin Ahoy I Ioi,inB Jonds y50.J6 MA Co NIHr 12/02/20 Santa Monica Comm College Dt CO Refuncing Bancs S2D1.50 CA Co -Mgr 11/24/20 New York Transportation Dev Corp Specia'. Facility Rev Bonds S4959 NY Co Mgr 11/20/20 NYC Housine. Dev Corp 1-10,1SIne. Impart Bond, 531.53 NY Co-MPr 11/19/7n Cnarhella City -California Pension ObligilT On Ronds $17. S9 CA Snip 11,18,20 Massadn:seLls GO Refunuing Bonus S444.12 MA Cu-Mgr 11/1J/>0 (:.ilifortim I )rthq,)ko A.rth Hnvonuo KM& 'inO no CA Cn Mgr 11/12/20 P`ttsburgh Water & Sewer Auth Wtr & Swr Sys 1st Lin Rev Bands $0.80 PA Co -Mgr 11/10/20 Mitsoirl Gm Imp & Cncrgy Rot Au Wit Poll Cirl & DrIn I(InE Rof Bond S100.76 MO Co Mgt 10/29/20 Lnc Angeles Comm College Dt CO Refunoinp Bones 51,793.81 CA Lead 10/22/20 San Imp-Fvergreen Comm Co'.I DI GO Refuncing ROncs $'Ig0.n5 CA Co -Mgr 10/1S/20 Denver City and Co -Colorado Airport System Rev Bonds S41154 Cn Co -Mgr 10/14/20 K:1nc:n5 City l od.jvTrol Dev Au Airport Special On Hof uon& $10.AA MO CO ivigr 10/11/20 San Bernardino Co (Calton) JUSD General Obligation Bands $1.00 CA Co -Mgr 10/1412D Son Bernardino Co (Cultun) JUSD GO RCfutleitl,g Bonus $44Pb CA Co Mgr 10/09/20 MirnLpan rinancp Authnrity Revpnup Rnnrlc S56.91 MI CO-Mpr 10/09/20 Micn`gan Finance At thorny Revenue Boils S23000 MI Co -Mgr 10/07/20 Univ of Mass.Iclmwt4; Bldg Aa Refunding Rcvcnuc Bored, $32993 MA Co Mgr 111/oh/Al Rhode ISand it lth & Fri Hldg Cnrp Prnpram RevpnrP Refunding Hands `,JH.6h RI Cn-Nlgr 10/01/2D NYS Energy Research & Dev AoLII Green Revenue Bonds Sib.G9 NY Sole 1010112U Micfugar Finance AL,Lhurily Slo Lc Revolving Fund Rev Hof bund y66 D/ MI Co vier 09/29/20 Soquel Creek Water Dt Water Revenue Refunei ng bonds 525.22 GA Sole 09/24/20 Chicago City-'.Ilinois Gen Airport Sr Ln Rev Ref Bonds $165.70 IL Co -Mgr 09/24/20 NYC InLlu;'-r i.d Dcv ARsr1Ly Pilul RcvnMX Rcfandwe. Bond, 5116.02 NY Cu-Me., 09/0>/20 FI Paso Co (Clint) ISD Refunding Ronds $).)4 TX Co -Mgr 09/02/20 El Paso Co (Clint) ISD Refunding Bo ids S7G.13 TX Co -Mgr 09/02/2U NYi I lousing. Fin MOrtpaP.c Aiicy I Iomouwncr N'.ortgapo Rev bun(is $SS.OU NY CO NIRr 09/26/20 California State Univ Trustees Systemwide Revenue Bands S994.S9 CA Co -Mgr 08/2G/20 Rhode Island Hsg & Mite F`n Can Mc In Family Development Bonds S44.03 RI Co Mgr 08/J5/Jll San Antonin City-Iexo` Comb Iax& Rev Cert of Ohligation 5/.// x Iead OR/25/20 San Antonin City -Texas Lomb Tax & Rev Cert of Obligation $7.72 TX Lead 08125,20 Ctl Texas Reg Mobility Aa (CTRMAj Sr Lien Bevenoe Ref Bonus S238. 14 TX Cu-Mgr OxH i 1/Al ':an Frond'aeO Cily & Cn IItiD G nr r,I Ohlipalnn Fords SA, .H1 CA Cn MR, City Council 23 - 273 511 S/2021 OL RAMIRCL Sale bate 08/1£/20 08/13/20 CA/1 120 08/05/20 OA/0"/Al OS/OS/20 0810412D OB/O4/20 07/29/20 07/23/20 07/)3/)U 07/20/2O 0711712D 07/15/20 07/15/20 0711112LI 07/09/)U 07/00/20 0//09/2U 07/09/2O 07/09/20 07/08/20 (l//f18/%IJ 07/08/20 07101,20 06/30/20 OG/25/20 06/25/20 06/24/)n 06/21/20 UG/)4/)U ott/24/20 OG/18/20 uti/18/2U 06/17/20 06/17/20 UG/1)/)U 06/10/20 0G/1D/2D oo/09/21n 06/04/20 06/02/20 (lS/Jg/)Il OS/2R/20 05/28/20 OS/21/2U OS/11/20 05/13/20 05/07/20 05/07/20 04/3012U 04/29/20 01/23/20 04/09/20 04/07/20 03/05/20 Ili/f15/)Il SCIIPr Jacksonvi'. Its City Florida Pomona City -Ca hernia I ns Angeles Co ((:entlne a Val'. ey) (IHSD Long Is and Power Authority I nnp, Island Prnurr Aid [lilt ily P`ttsburgh City -Pennsylvania Oh`u Phoenix City Civic Imp Cnrp New Jersey Hsg & Mtg Fin Agency Allegheny Co -Pennsylvania H,v.i; CU Coll Fd FUbo Fin Cur, V rginia Co'.lege Building Auth NYS Urban DevcloprncnL Corp Connecticut Grccn Bank Pen nsyy.van `a Hghr Fri Facs Auth V rginia Resuarces Aath (VRA) DI>n rt.I of Colo...'u ., Regents M the Gniv nt Cal tornia Rcgcu , of Lhc Univ of cal furnla Regents of the Univ of Cal'.fornla Regents of the U niv of California El Paso Co (Canutillu) ISD r1 Paso (n l(:anutillo) 1S10 San Diego Co Water Auth Purl AULhuri-y of NY & NJ Corpus C ricti City -Texas El Paso ISO El Paso ISD FI Paso Cn (Ysleta)'. SD El Paso Co (Ysleta)'.SO FI Pasu Co fyylc,,a)'. tin Wisconsin NYS Urban Development Corp New Jersey Educational Pass AL. Texas Transportation Commission Massachusetts Hoos'. ng Fin Agcy Tt'xo-: nL'.01 Of Hx $ CUrfvu Affpic; Dal'. As city P%a5 CA ds CiLy-Texas El Monte City -California Great I akes Water Auth (Cl WA) San Jose Evergreen Comm Co'.I Dt CGnnprTir"T Connecticut CUnnecLicuL unit/ Of I cxas Sys Lid of Repents Norristown -Pennsylvania Lonc SL a Cull eL Sy.Luu Metrnpnl tan Tran.. part A,rth (MTA) Metropol tAn Transport Auth (MTA) GicaL Lakcs WaLcr Aulli fGLWA) NYS Vnwrr Authority Las Angeles USD V,., rginia Public 131.11'...d,... ng Antll Texas P,Io1`C Finance Auth ITPFAI Hob stun City -Texas Crd'dnrcio Farlhq.ra kc A,rlh I45IIe Flesrrlptlon Par Amount (millinnsl State Rnle Special Revenue & Ret Bonds S105 49 FL Co Mgr Pen,lon Obllganon Bonds 5219.89 CA Co -Mgr GO RP$mnmR Rands S)7 A9 CA sole Electric System Gen Rev Bonds $22.36 NY Cri 1 1, , 1,;, tiyU Om (:On H,w Rmlrl< ti91 fi) NY Ca Nlpr CO Refuncing Dancs 5111.S2 PA Co -Mgr Capital Facs Lcasc Approp Buri& SS8.9G OH Cu-Mgr Sub Excise Tax Rev & Ref Bnnds 5266.69 AZ Co -Mgr Single Family Hnl.r ng Rev Rnnds j5537 NI Cn-Mgr GO Refunding Bands S229.00 PA Co -Mgr HO,uR,d RUWIIUI Ruf Rands j91 43 TN CU Mgr Revenue & Rev Ref Bands S34116 VA Co -Mgr SLa Lc Personal Inc Tax Rcv Bonds S72.08 NY Cu Mgr Grccn L!berty bonds 516,80 CT Load Revenue Roils 517.76 PA Co -Mgr Water & Sewer Sys Rev Ref Bunds SG1.35 VA Cu-Mgr Inr,urUit T,,x Serr,m Md Rev Ref R,indo $)34.W DC Cu-Mgr General Revenue Bonds $32R.34 CA Co -Mgr General Revenue Bonds S40000 CA Cu Mgr Cencrol Revenue Bonds 5500.00 CA Co -Mgr Ceneral Revenue Boils S600.00 CA Co -Mgr Refunding Bunds 50.17 TX Lead Refim(ling Rnnrk }A)J') '.X Iead Water Revenue Retunc`ng Bands $283.47 CA CD -Mgr CunsulidaLed Notes $1.100.00 NY Cu-Mgr Ut.I Sys Jr Ln Rev inp Ref Banc 5183.64 TX Co -Mgr UnInin tcd Tax Refanding Bonds $2.£3 TX Co Mgr Unllnlltcd Tax Rcfunding Bonds S112.23 TX Co Mgt Refunding P,nri& $11.4R TX Co -Mgr Refunding get S74.83 TX Ccl RUfUndirir Roods 5)0413 TX Cu-Mgr CO ltefunnmg unnris $16A 06 W 1 Cn-IVigr State Pcrsunal l nc Tax Rev Bonds G49201 NY Co Mgr Revenue ROftmding bonds $182.19 NJ Co -Mgr Highwav Imp CO Re$mding, Rnnds $794.94 TX I ead Housing Bonds $21.3G MA Cu-Mgr Single Fa .... ly MIA Rcv R. f Hunda S11 40 TN CU Mgr Wtrwrki & Swr Sys Kev XPf tlnnes $181 NA '. X Co-Nlgr WLrwrks & Swr Sys Rev Ref Bands S131.£3 TX Cu-Mgr Pension Obheat on Bonds 5118.73 CA Lead Sewage D`sposal Sys Sr &9nd Rnnds 5687 46 MI Cn-Mgr General Obligation Bonds $20000 CA Co Mgr General Uhligaiinn Hno(N $45)47 CI Cn-Nlgr General Obligation Bonds $198.04 CT Co -Mgr General Obligation Bunds S25250 CT Cu-Mgr RCVenue FInJIICInp SyStrrn LIUMIS 530081 X Co Mpr General Obligation Notes 52.0S PA Co -Mgr LW Ten GO Refunding Bonus $18,93 TX Co Mgr Trancportat on Rev Green Roods %0 00 NY Co Mpr Transpartat on RevGreei Bands $ 40.00 NY Co Mgr WeLbr Supp.y Sys Rcv Sr Ln Bonds 5377.52 MI Cu Mgt HCvrnuc unnris 5114. LI) NY Ca Nlgr General Obligation Bonds S113.94 CA Co -Mgr PLINK 1-30111CS Itev bonds S100.30 VA Co -Mgr General Obligation Relock $477 47 TX Cn-Mpr Conti Uti1 Sys 1st L'.en Rev Bonds S46. 19 TX Sole Revonm Hnnrls 5400 no CA Cn NIA, City Council 23 - 274 5/18/2021 Ot RAMIRCL Sale rate 02/26/20 02/20/20 0>/l0/70 02/19/20 (17/11/7Il 02/11/20 02/OG/2o 02/)5/20 02/OS/20 02/05/20 02,05,20 02/05/20 O1%30/2U Oil30/20 01122120 0111612LI QlAr 0 Ol/OR/20 12/18/19 12/12/19 12/06/19 12/05/19 lJ/Ob/l9 12/04/19 12/01/19 12/04/19 11/20/19 11/20/19 11/20/19 11/19/19 11/13/19 11/06/1-1 11/OG/19 1U/3i/19 10/24/19 10/19/19 loll 7/1 Y 10/ln/10 10/1G/19 10/U9/19 1 n/09/19 10/09/19 (l9/JR/lLi 013/24/10 09/21/19 09/11/19 09/10/19 08/27,19 08/?S/l9 08/22/19 08/14/19 ok/o//19 02/07/19 0//25/19 07/18/19 07/17/10 Of,/13/14 SCIIPr Narragansett Bay Commiss on Texas Transportation Comm ass'. on Texas Tra nsportatinn Comm iss'. on San Patricio Co (Si ton) ISD G,:.,A Parkway Ir.inspnr,., Cnrp Gm nd Parkway Tra nsport Corp Oxnard GLy-CaliIurnie NYC Housing bev Corp California State Univ Trustees California State Univ Trustees Har i:: Cu McLru Trarr:: A olh Harris Co Metro Tra is Auth Travli Cu (PI'..,.igerv,.. IIc) ISD (AIl I1QHICut I JUSIre & Fu1 Auth (Cl IPA) Wisconsin Pennsy'.van`a Turnpike Cummission P''.. "I' I),. " CRY-Ppn.>y 6"'.' Jim, of Massachusetts Bldg Au NYS Durnl AuLhuoLy Los Angeles Comm Colleges fit NYC Housing Dev Corp Rhudr I, and Infrastructure Bank KhodP Is and InfrastruHurP Hank NYS Housing Fin -Mortgage Agcy New Jersey Hsg & MLg Fin Agency New Jersey Trans Trust rune Au Massachusetts Ha us'. ng Fin Agcy San Anwnio City Texas San AnTO 110 City -Texas California Health Fees Fin Auth n: 'Mesa of Culu..rind Nlsesar hrsetts School Bldg lurch Ncw Jersey Cconuroic Dcv Aulf1 Massachusetts St College tilde Au Miami -bade Cn-ric ida NYS Thruway Authority PL•n n .y.v,na,1 51 Put) tick HkJµ A W'n Dal'. as Cn (Cedar Hill) ISD Dal'.as Co (Cedar Hill) ISD Connecticut Housime & fan Auth (CHfA) Massachr seta Water Resources An Massachusetts Water Resources Au Snuth fI Nanning Imp ut surressnr ARV Hawtloi me.. City -California Texas Water DevelupnlenL Buard NYS I IuusinH Fin MortpapC AHCV Austin City -Texas MaItzrJLIrl..:zaLLI I lOL r C Fin Agcy Miami -bade Cc florlda Houston Clty Texas San FrarILISLU City & Cu A rpur Comm D ll'. az & Fort WurT'n 211710r. I Ox.r. Port Authority of NY & NJ V'. reirla Resources Auth (VITA) Battery Park CTV Authority Connecticut Housing & Fin Auth (CHFA) NYC HnnslnR ❑Lv Crap IxuP flesrrlptlon Par Amount (millinnsl State Role Wastewater System Ret Rev Bo ids S196.36 RI Co Mgr LIT Tier Revenue Refund. OF Bonds 5139.65 TX Co -Mgr 1 st Tier Revenpe Rztund'. rag Ronrls S1;9.65 TX Co -Mgr UnIhm`Ted Tax Refunding Bonds $1S.17 TX Cr-Mgr I J I io r Intl 4vrnur Hof Hnnrk yJ)(14) IX Cn Nlpr Sub Tier To'.'. Revenue Ref Ooncs $1,293.26 TX Co -Mgr Gas Tax Revenue Rounding Bands 51691 CA Solc Horlsing Impact Bond, 578.62 NY Lead Systemwide Revenue Rands 124341 CA Co -Mgr Systemwide Reverie Bands 5526.02 CA Co -Mgr S,dc:; & U-.e T,.. RcfonLi inµ Bund, jl G7,07 TN Co Mgr Sales & Use Tax Refunding Bonds S152.07 TX Co -Mgr Unilm Led Tax Refunding Bonds 532.39 TX Lcad I Iouslne. MtF Finances Program Bonds $12.50 CT Co Mgr CO Retunding Rands S?Is35 WI Co -Mgr Turnpike Revenue Ref Bands $179. 10 PA Co -Mgr 6i0 R,fu...ilnµ Roma $11g.03 PA ( o-M1' Project Revenue & Retunding Bands $441) IA MA Co -Mgr SLo Lc Personal lire lax Rev Bonds $1.391.59 NY Lcad Cencrol Obligation Bonds 1.100.00 CA Lead Multi -family Housing Rev Bonds S71.33 NY Co -Mgr Safe Drinking Water Ref Rev Oonds S39.81 RI Co -Mgr Water Pollution ( nntrol ref Hord; 5117.H/ RI [b-Nlgr Affordable Housing Revenue Bonds $6.00 NY Lead MolLl-Family Revenue Bends $50. 11 NJ Cu-Mgr Transporation System Boncs S946.34 NJ Cci Noosing Bonds 513.SG MA Co Mgr Sub Ln Airport Sys Rev Ref Bond $31,54 TX Co Mgr Airport Sys Rev Ret Pri $3fi.2R TX Co -Mgr Senior Revenue Bonds 5500.00 CA Cci Ineurnc Ta. Sccir L•J Rcv Ronde $GO UO DC Cu-MYJ. Sihor DerIIC1TPrl SaIPS IA. Bonds $/1C 42 MA Cn-Nlgr SCrruuI Fats Con Re[ Bands G246.73 NJ Co Mgr ReftmdlnF Revenue bonds $233,b2 MA Lci Water & Sewer Sv5 Rev Ref Rrrid5 $548.09 fI Co-MHr General Revenue Bonds $257.G3 NY Co -Mgr SLfnuul lease R,v onuL• Ref 8und. j188J9 PA ('u Mµr HPfnnding bnrI& $3.26 '.X Co-Nlgr Refunding Bonds 533.91 TX C-Mgr Hse Mortgage finance Prop bonds 15.00 CT I ci General Revenue Bonds SSn.on M4 Co -Mgr General Revenue Bonds SS47.7S MA Co Mgr suh I ax Alloratlnn RPf Hnnrk Is h4 CA SGIP Pension Obllgat'.on Bonds $121.87 CA Sole. SL WLr Inlplemen La Lion Fond Bunds 522.99 TX Cu-Mgr I IameuWOer N'. tp Hevcbuc Jorlds j20.00 NY Co Mpr Pub Imp Bolds & CertS of Oblig SSS. 17 TX Lead Single F ulily Mortgage R v Bands $14,00 MA Cu Mgr Aviation Revenue Refunding Ronds S460 50 fl Co -Mgr Public Improvement Ref Bonds 5214G3 TX Lead Revenue Bends S41.77 CA Cu Mgr Jntt Rcvcnuc Hefunriwg Bit)& $Ijn/o6 '.X Ca Nlgr Co sohdated Bonds S40000 NY Cci StMoraluol'. g&mffa Str(IHurt Bonds til/Ab VA Co -Mgr Senior Revenue Ronrls $;.57 NY Co-Mpr Houai rag Mortgage Fin Prog Bonds S15.00 CT Co -Mgr N.rIII Family H'r rang Hnv Honk $175. r1(1 NY Cn MR, City Council 23 - 275 5/18/2021 0 RAMIRCL Sale flats OS/1D/10 05/01/19 04/94/19 03/29/19 Ili/l9/lY 02/29/19 03/29/19 03/29/19 03/15/l0 02/29/19 02,:0/19 02/13/19 02/13/19 02/06/19 Ill/JS/14 01/16/19 12/12/1B 1>/06/'IR 10/29/19 10/18/18 10/04/1R 09/1£/1£ 09/14/18 08/29/1R OR/16/18 08/16/18 OA/16/1A O8/1(,/18 08/02/18 06/13/18 OS/31/13 05/23/18 05/22/18 05/08/18 US/04/18 04/17/18 04/04/13 OE/1S/l8 03/15/18 02122,18 t11/Ys/1A 01/19/12 01/18/18 12/20/17 12/11/17 11/30/17 11/,11/1/ 11/15/17 10/19/11 10/04/17 10/04/17 09/76/17 09/2l/1/ 09/07/17 08/1-/11 07/ V /l7 SCIIPr Miami Dade Co Florida Massachneetts HOnS'. ng fin Agcy Cnnnertirut Housing & Fin Auth ICHFA) Connecticut Cnnrinrli(el Connecticut CUMICCLICLIL COddeCtlCllt NYS Fnergy Research & Dev Auth NYS Housing Fin -Mortgage Agcy Ra ltiwin Park CIL, CoGfurn.. NYS Dome, Authority NYS Doan AuLhuriLy COI1nQCtlCllt I OLI,Ine & fin Auth (Cl IPA) Inrli:lnn Itnnd Itank Sales Tax Seciritizat oi Corp NYS Dorm Authority Maesachusetts Housing rin Agcy Massarhusetts Hots'. ng Fin Agcy S:,oLa Ana Culnnr Rcdev Soccas, A,, NYC I IGu'ing Lev Corp GreAL Lakes Wa Let Au Lh (GLWA) Mdva[haSCLls I Ocsl. ng Fit) Agcy Curia iy Sllr_CesSnr Ag y Comm Dev, Connecticut Connecticut Miaini-Dade Co -Florida Purl AuLhuri-y ul NY & NJ Now I lover City Connecticut NYC Housing Dev Corp Massachusetts Hots'. ng Fin Agcy Ree.enl; of file 'J tiv of Cell'. furn'. I Regents Of the .,niv of Ca tort) a Rcgiunel Transpur Lahun A,iLh NYS Doren Authority California Santa Monica Comm College Dt NYS Fnergy, Sesenrrh & Dev Atrth Miami -Dade Co Edurationx Fars A, th Washington Convention & Sport, Au Port Authority Of NY P. NJ Austin Comm Call Dt Po3 Fee Corp Lo_ Angcle, MLIJCIPdI IInP Corp Horston City -Texas Massarhnsells St College Bldg Au New Jersey Turnpike Authority Rhode IP.end ( novenllno (:Ir null, New Jei,ey Ed-icaLional Facs Ac. NYS LoVIrOn In C1 tal FOCS Corp NYC Housing Dev Corp NYC Housing Dev Corp Texas W,ILer Dcvclupin"t Roard Atlanta IlevMttpment Authority New Jersey Economic Dev Aoth Miami DadaCa Florida Frawley City -California I YSrIP faesrrlptlon Aviation Revenue Pet Bonds Slnple fdmlly HOI:SI np Rev Bonds Housing MOrtgage Fin Prng Roods General Obligation Bands (;r nrral <lhlira,., bin Her, I. Cenernl Obligation Bonds General Obligation Bund, Ceneral Obligation Bonds ResinPntial Solar P. Fnergy Bonds Homrowner Mortgage Rev Bonds PCr1`:wn Ohliml,,lUri Rnnds Revenue Bonds Rcvcnuc Bonds I lowing Mortgage fin Pro6 bond, Con non Sch Fd Advance Prlrrn lioe'& Sales Tax Securitization Bonds State Per,ondl Inc Tax Rev Bonds Single family Ho,.,, ng Rev Ponds HOusmg Bonds Ter. Allocalun RCforiding Funds N'.[.In Family I'.Ousing Rev unnrk Sewage D`s 2o,A Sys Rev&Ref Bonds Single Family I to,, rig Rev uarld, Tax Allocation Ret ending Ronde General Obligation Bands General Obhe.,mun Bontl, Aviation Revenue Refunding Bonds Con,ulid'a Led Bund, GO Refunoing Bond, Multi -family Housing Rev Bonds Single Family Hoos'. ng Rev Bonds Revenue BVrlda CPneral RBVen,,I Bands GO Working Cash NoLc, Rcvcnuc Bonds Various CO & Refunding Bonds General Obligation Bands Re9oential Solar I In Green Rorel., RPVPnrIP Bands Sr Ln Ded`cated Tax Rev Ref Bonds Cn lsolirlwod Bonn Lease Revenue Bonds Lcdsc RCYCrIUI RLILI nding Bona, Pension Obligat.on Bonds Project Revenue Bond; Turnpike Revenue Ponds lefundrlk ItevPllue HOO(k Revenue Refunoing Bunds Statu Revolving Funds Rcv darldS Multifamily Serured Mtg Rev Bond Multi -Family Secured Mtg Rev Bona Rcvcnuc Runts Revenue ROnrk Motor VehICIe Surcharge Rev Bonds AviBtiun RC'VerILIC Ref borld, Pension Oblig.IT On Ponds Par Amount (millinnsl State Role S212.7S FL Co Mgr 518.00 MA Co -Mgr $15.00 CT Co -Mgr $1.50 CT Lead tiri Y1 CI InSd 514.50 CT Lead 567.G4 CT Lcad 5159.46 CT Lead 115.51 NY We S30.03 NY Lead $5409 CA SO, S£3.17 NY Co -Mgr S176.13 NY Cu Mgr 515.00 CT Co Mgr "Al 11 IN fn Nlpr 560S 13 IL Co -Mgr 510357 NY Co Mgt $12.40 MA Co -Mgr $79.29 MA Co -Mgr 55871 CA SoIC S12s.L10 NY CO Mgr S14.1£ MI Co -Mgr 53.30 MA Co Mgr $14.03 CA We 545.00 CT Co -Mgr 5205.00 CT Co Mgr $766.£,2 FL Co -Mgr S300.00 NY Cu-Mgr $16(7.00 CI Co Mgr a75.00 NY Co -Mgr S17.SO MA Co -Mgr `.+95.08 CA Co-Me.1 1281.9O CA Lead 5150.00 IL Cu-Mgr $243./1 NY CO Mpr S2,14701) CA Co -Mgr SG9.3G CA Co Mgr M b.:u NY SCde $17.29 FL Co -Mgr S57.52 DC Co -Mgr S1e44A NY Co NIRr SILS.00 TX Co -Mgr S25.G3 CA Lead >1,0u5.15 TX Co-Mpr $7.57 MA Co -Mgr S167.87, NJ Co -Meer $riff./7 In Cn-Mgr S134.23 NJ Cu-Mgr S6h 4b NY Co Mgr e25.50 NY Lead S39.83 NY Lead j18.94 TN Co met S2ti 10 Cie rn-vlgr S2813 NJ Co -Mgr $314.a/ FL CO Mgt e,1611 CA Snle City Council 23 - 276 5/18/2021 RAMIRLZ Sale bate 1491er 145IIP Dpirrlption Par Amount (irr inns State Role 06/21/17 New Jersey Educational Pass AL'. Revenue Bonds 531.92 NJ Co Mgr 06/08/17 Texas Dept of Hsg & Comm Affdlrs Slne.le rdmlly Mtp Rev & Ref Bonds 572.4n Tx Lead 05/ 17/17 NYS Dnnn Authority RPVPOUP Ron(ls $))7.84 NY Co -Mgr 05/02/17 Wisconsin Gen Fund Ann Appropriation Bands $402. 14 W I Co -Mgr 0477f,/1 / Pori Aijil-f IIy id NY R NI Cnn<n id.11 Ml Hnnd, y9llfl (In NY Cn MAr 04/20/17 Cclifornin High -Speed Passenger Train Bonds 5300.00 CA Co -Mgr 04/2D/17 Cahlor ma High -Speed Passngcr Train Bands 530000 CA Cu-Mgr 04/20/17 California Hi,.h-speed Passenger Train Bonds 5648.07 CA Co-MP.r 04/06/17 NYs Fnvironmental Fars Corp t7ean P Drink'. nq Wtr Revoly Fr.nd j316 14 NY Co -Mgr 03/30/17 Santa Monica Comm College Dt General Obligation Bonds 515.40 CA Co -Mgr 03/79/17 NYC Hoosing Div Curp M01- FovI111 Huu;ing R'. RUI.d.. $74.g0 NY Cu Mgr 03/20/17 NYC Housing Dev Corp Multi -Family Housing Rev Bonds 561.50 NY Co -Mgr 03/07/17 MassachcscLLs HQLS ng Fin Agcy Huming Bonds 55.32 MA Cu Mgr 03/07/17 Massachusett: I lor,'. nF fin Agcy I lousing Bonds $1u.44 MA Co Mgr 01/20/17 LJniv of Massachusetts Bldg Au Prnject Revenue Bonds 510. I MA Co -Mgr 01/12/17 Wiscunsm Gen Fand An nualA ro Ref Bu ids -4MZ7 WI Lead Total Par Amount $50,566.O7 I otal ueais 241 City Council 23 — 277 5/18/2021 RAMIRL4 Remaining Proposed Total Year Current UAL UAL POBs Pension Liability Savings 2022 $56,216,012 $6,668,236 $41,205,712 $47,873,948 $8,342,064 2023 $61,071,833 $10,161,493 $37,712,939 $47,874,432 $13,197,401 2024 $64,221,34S $11,910,971 $3S,960,SS2 $47,871,SS3 $16,34%792 2025 $67,S31,8GG $13,782,9S4 $34,088,6G8 $47,871,622 $19,GGO,244 2026 569,529,199 514,302,196 533,570,984 547,873,180 521,GSG,019 2027 $71,395,319 $14,649,569 $33,225,344 $47,874,913 $23,520,406 2028 $72,927,789 $14,621,538 $33,254,599 $47,876,137 $25,051,652 2029 $69,282,415 $9,3/2,/35 $,18,500,59/ $4/,8/3,332 $21,409,083 2030 $71,117,722 $9,S60,S26 $28,212,229 $47,872,7SS $22,244,967 2031 $73,027,S2S $9,777,SO4 $38,094,436 $47,871,940 $2S,1SS,SSS 2032 $67,895,666 $10,000,448 $37,870,883 $47,871,331 $20,024,33S 2033 $67,036,957 $10,229,523 $37,642,715 $47,872,238 $19,164,719 2034 561,813,902 $8,561,720 $39,312,778 $47,874,498 $13,939,404 2035 $59,692,427 $7,805,129 $40,066,643 $47,871,772 $11,820,655 2036 $56,436,917 $6,029,852 $41,843,259 $47,M,112 $8,563,805 2037 $50,733,462 $1,927,276 $45,948,233 $47,875,509 $2,857,953 2038 $48,123,SS7 - $47,874,480 $47,874,480 $249,077 2039 545,140,359 - $44,907,358 $44,907,3S8 5233,001 2040 $42,838,840 - $42,618,533 $42,618,533 $220,307 2041 $41,490,921 - $41,273,235 $41,273,235 $217,686 2042 $2/,326,926 - $2/,182,682 $2/,182,682 $144,244 2043 $2S,812,2S9 - $2S,680,416 $25,680,416 $131,843 2044 $21,SG8,341 - $21,4SS,827 $214SS,827 $112,S14 204S $4,558,7S2 - $4,533,486 $4,533,486 $2S,266 2046 51,158,319 - $1,151,382 $1,151,382 $6,937 2047 $104,981 $104,981 n inn .Ini li i n ni i i • II � i i nl !n ni i li i City Council 23 — 278 5/18/2021 rK p 6..f/ RAMIRCL > N y � Rank Investor 1 Wclls Cop NI011. 12 2 De'. p••ni Cap MgrnL - - - - - - - - - 9 3 Ed,nuAParLncrs IIIIIIIIIIIIIIIIIIII Imill, 9 4 Invesco - - - - - - - - - - 9 G 1P Mon art - - - - - - - - - - 9 6 Ncw Eng A- ct Mgmt 9 7 WcllingLcrr MV.1r, - - _ - - _ - _ _ - _ 9 8 40185AwWrS 8 9 ACORL Capital 8 10 Acres Capital 8 11 Ba'.. ii C,pital B 1) RrrkEl�lrrHolh:�w:'y R li RI,ick ROL•k 8 14 rL.hcriv R(io nu-e.r - - - - - - - - - - - U 16 Cugg?nh?',m - - - - - 8 17 HPS Invest Partners - - - - - - - 8 18 TCW Asset Mgmt - - - - - - 8 19 All.tarn - - - - - - - - 7 20 GC Arlva ,r. LLC. / 21 KaynBAnrj BrSnn lJ Nlerlleytapltal - - - - -- - 7 23 PruHenta - - - _ _ - _ _ 7 24 Tennenhaum Cap - - - - - 7 7S RPIIP Haven 11111111111114 IIIIIIIIIIIIIL IIIIIIIIIIIIIL IIIII IIIIIIIII 6 26 Caiyni Pariners - - - - - - - - - - - - - - 6 27 CCtS LLC _ _ _ _ _ _ _ - - _ _ _ _ - 6 28 Doubleline Capita'. - - - - - - - - - - - - - - 6 29 Eagle PO Mgmt - - - - - - - - - - - - - -- - G 30 HIG Capital - - - - - - - - - - - - - - G 31 Knighrs M COI'JIMbIA - - - - - - - - - - - - - - - 6 32 NPnbergerBerman IIIIIIIIIIIIIL 11111111111114 11111111111114 6 ?3 PPrformanre Trust - - - - - - 6 34 PGIM - - _ - 6 3S Prophcta Ca 3 tal 6 3G RCG '_ungvicw MtrnL G 37 Su Fixed Income Adv - - - - - - - - - - - - - G 38 WAMCO 6 39 Bel Air Invest Adv - - - - - - - - - - - - - - S 40 Nomura Corp - - - - - - - - - - - - 5 41 Spring Lake Mgmt - - - - - - - - - - - - - S 42 Raring, LLC 4 43 Ncw Yore Life Ins - - - - - - - - - - - - - - - - 4 44 DCcaHVICW MgmL 4 4, RComi Assct Mgmt 4 46 SCCU rioo AsscL Mgm L 4 4/ VCrdc ASSCL MR111L 4 48 Artna _ _ _ _ _ - _ _ _ _ - _ _ _ 3 44 Apr, nGlnh.d Nlhml { so Ar Cal InvcsL - - - - - - - - - - - - - - - - - 3 51 I oew5 cnrp - - - - - - - - - - - - - - 3 52 MacKay Shields - - - - - - - - - - - - - - - - - 3 a3 MCtLife 3 54 Old Orchard - - - - - - - - - - - - - - - - - - 3 City Council 23 — 279 5/18/2021 RAMIR6Y e p 1 L d p �T p C N N % L i lank Investor 5S Pa rcrsun Cap - - - - - - - - - - - - - - - - - - 3 SG P'. MCO 3 57 Scflroder lnves. - - - - - - - - - 3 58 Scarlc S9 LnionbarlL Invest 60 1GLh ArnendnivnI. - - - - - - - - - - 2 61 AIc 2 62 Allianc SE - - - - - - - - - - - - - - - - - - - 2 b3 An)cncan Family Iris 2 b4 Asilnlofe Invest Mamt - - - - - - - - - - - - - - - - - - - 2 b5 Barclays Prop Desk 2 bG Blucfin Trading 2 fi/ frrhrruc MP11, J 68 Cl K.n, Arll 2 69 Cuuntriq or. /U runberland Adv - - - - - - - - - - - - - - 2 71 Definitive Mgmt 72 Ue,Itsche Bank - - - - - - - - - - - - - - - - - - - 2 73 Feinberg Stephen - - - - - - - - - - - - - - - - - - - 2 74 First NY 75 Creystone Co iru'.,ting - - - - - - - - - - - - - - - - - - - 2 /b ill', Rh earl C.11) TAI 2 77 Hartford Invest Mlgnrt 7R HighhridgP Mgmr 79 Hopwpod lane - - - - - - - - - - - - - - - - - - - 2 90 Inrlissry Funrlc Mgmr - - - - - - - - - - - - - - - 2 91 leftrries R Ca 82 Merrill Prop Desk - - - - - - - - - - - - - - - - - - - 2 83 Millennium Ptnrs - - - - - - - - - - - - - - - - - - - 2 84 Northern Trust - - - - - - - - - - - - - - - - - - - 2 RS NLNBP.I - - - - - - - - - - - - - - 2 96 Pine Br.dge - - - - - - - - - - - - - - - - - 2 87 PNC Capital Adv - - - - - - - - - - - - - - - 2 RR Shenkman Mgmr - - - - - - - - - - - - - - - 2 89 Teachers Ad, - - - - - - - - - - - - - - - - - - - 2 90 Teachers Insirance 2 91 TUrtplSc Capi.a'. 2 92 LSAA - - - - - - - - - - - - - - 2 93 WhiLcnavcn MgrnL - - - - - - - - - - - - - - - - - - 2 94 20 Gates Mgmt - - - - - - - - - - - - - - - - - - - - 1 95 Arnemu Life Ins - - - - - - - - - - - - - - - - - - - - 1 9G Ameripme - - - - - - - - - - - - - - - - - - - - 1 97 Amcnsafc Ins 1 98 AMUNDI USA NC 1 99 Ayo'.'. inc I luldings 1 100 Ares Capital Me,rlt 1 101 ASB Cap'. Lal MgrnL 1 102 Aasbil InveiL Mg1111 1 103 Aolu Club Sc,. - - - - - - - - - - - - - - - - - - - - 1 104 RIO(Ir l,"L m 1 105 Ro;Lon Pmhicl: - - - - - - - - - - - - - - - - - - - - 1 10b K, dRe tl5r1hnr Cap - - - - - - - - - - - - - - - - - - - - 1 107 Brotherhood Muraal - - - - - - - - - - - - - - - - - - - - 1 1U8 bu'.Ilii Capital Part 1 109 C:2P (apital Aov - - - - - - - - - - - - - - - - - - - - 1 111) C:intf.r FloPrrr.j rl 1 111 C.xlylo InvnSt M'.gint 1 City Council 23 — 280 5/18/2021 RAMIRLZ p 1 e L d p rT p C N N % L i as Rank Investor 112 CCnLIV8 Cap. Lai - - - - - - - - - - - - - - - - - - - - 1 113 ❑IOr L111II MgrnL 1 114 CiLigroup Rel Value - - - - - - - - - - - - - - - - - - - - 1 115 Clcarlakc Capital - - - - - - - - - - - - - - - 1 1115 Cohen & Steers Inc - - - - - - - - - - - - - - - - - - - 1 117 Cornrnerw Rank - - - - - - - - - - - - - - - - - - - - 1 118 Conning, Inc 1 119 Counhy TwA 0.mh - - - - - - - - - - - - - - - - - - - - 1 121/ Crcd t Agnrolc SA 1 121 Cfesce IT Gronp - - - - - - - - - - - - - - - - - - - - 1 122 Do'.aw.nc Invest 1 123 DV Twding 1 1l4 DWti Inurcl Mp,m', 1 1J5 Falon Vantz' MyJn'. 1 121 I ederdted Inv Mp..mt - - - - - - - - - - - - - - - - - - - - 1 198 Fiduciary Tr,,Ict NY - - - - - - - - - - - - - - - - - - - - 1 129 First Bankers I'ank - - - - - - - - - - - - - - - - - - - - 1 130 FirstMark Capital - - - - - - - - - - - - - - - - - - - - 1 ILL Flippin, Rrurr R Portor - - - - - - - - - - - - - - - 132 Fort W.nl mngto 1 1 143 Franklin - - - - - - - - - - - - - - - - - - - - 1 114 Yundamental Afiv 135 CF MssPT MgMt - - - - - - - - - - - - - - - - - - - 136 penTn.q Mgmt - - - - - - - - - - - - - - - - - - - - 1 137 Glnbal lnvesma Svcs 14R Clnhe I dP Inc. - - - - - - - - - - - - - - - - - - - - 1 139 Co'.denTree Mgmt - - - - - - - - - - - - - - - - - - - - 1 14D Go'.d Poi it Partners - - - - - - - - - - - - - - - - - - - - 1 141 Gramercy Funds Mgmt - - - - - - - - - - - - - - - - - - - - 1 142 Great Lakes Aclvisor - - - - - - - - - - - - - - - - - - - - 1 143 CrBBnsprl ng Assoc - - - - - - - - - - - - - - - - - - - - 1 144 Hai yard Asset Mgmt L,, - - - - - - - - - - - - - - - - - - - 1 145 Harmon Street Sec - - - - - - - - - - - - - - - - - - - - I 116 Hexagon Asset Mgmt - - - - - - - - - - - - - - - - - - - - 1 147 Inverness Counscl 1 148 Janney Invest MgrnL 1 119 John Hancock - - - - - - - - - - - - - - - - - - - - 1 151) Kline Hill Partners - - - - - - - - - - - - - - - - - - - - 1 151 Knighthead Mgmt - - - - - - - - - - - - - - - - - - - - 1 152 KKR - - - - - - - - - - - - - - - 1 153 Lincoln Invest Adv - - - - - - - - - - - - - - - - - - - - 1 154 Logan Cap'.tal Mgmt 1 155 Los Angcic DWP 1 1SG LS InvcSlnanL Adv 1 1S1 Mad Son Lap F000 1 158 WrAuoCIV7Lal 1 1S9 Mon, fc Finvncial 1 1GO Merw'.L Inv MgrnL - - - - - - - - - - - - - - - - - - - - 1 l fil M;�F.Iinip Col!il;il 1 162 M,,rm SLrreL ALIv - - - - - - - - - - - - - - - - - - - - 1 1h3 Min ATIantlC Csp - - - - - - - - - - - - - - - - - - - - 1 164 Milliman Financial - - - - - - - - - - - - - - - - - - - - 1 lb5 Milliman Inc 1 1b6 Morgan StanlcYArU - - - - - - - - - - - - - - - - - - - - 1 ill/ NI I R Vi", rlp:tl tihat 1 Ink Nllilti gank 1 City Council 23-281 5/ 18/2021 RAMIRLZ p 1 e L d p rT p C N N % L i Rank Investor 1G9 Mu Wal of Omaha - - - - - - - - - - - - - - - - - - - - 1 170 NB A'.LAdv 1 171 Nebrocii Partners - - - - - - - - - - - - - - - - - - - - 1 172 NF11rivcsLGroup Illllllllllllh 1 173 Northwestern Mutual - - - - - - - - - - - - - - - - - - - - 1 171 NYL kw,Lurs - - - - - - - - - - - - - - - - - - - - 1 175 One Oak Capital 1 17C PA Capital - - - - - - - - - - - - - - - - - - - - 1 1/1 Parker l luntcr Mernt 1 178 PPM America Inc - - - - - - - - - - - - - - - - - - - 1 1/9 Principa'.-In Group 1 180 Principa'. Li(c Iris 1 1M1 VrinrSpal Rool ltl.LO 1 182 RFALIV15ur:: 1 161 Rck.'n In p>I Advi>u . - - - - - - - - - - - - - - - - - - - - 1 164 Samuel I ap,tdl Mgt - - - - - - - - - - - - - - - - - - - - 1 185 Tanta Rarbara Mgmt - - - - - - - - - - - - - - - 1 186 Schafer Cullen Mpn1t - - - - - - - - - - - - - - - - - - 1 187 Ser-urltle, America - - - - - - - - - - - - - - - - - - - - 1 ?ik sNnrirrl Funeral - - - - - - - - - - - - - - - - - - - - I 1£9 Select ve Ins of Amer - - - - - - - - - - - - - - - - - - - - 1 190 sot_. thern -arm 191 ltatlriarri InSnranrP 192 State Streer - - - - - - - - - - - - - - - 194 $tone Point Cap 194 SunTnat DI 195 SWRC Invest C:o 196 TOO Adv!stirs - - - - - - - - - - - - - - - - - - - - 1 107 Trustmark Ins - - - - - - - - - - - - - - - - - - - - 1 19£ LBS Asset Mgmt (PR) - - - - - - - - - - - - - - - - - - - - 1 109 Lmon Bank - - - - - - - - - - - - - - - - - - - - 1 200 Lenten American Ins - - - - - - - - - - - - - - 1 201 Lniter, Heritage Srvc - - - - __ _ _ _ _ _ _ _ _ _ _ _ _ _ 1 202 Value Creme Part iprS - - - - - - - - - - - - - - - - - - - - 1 203 Ventura COL. ntp CA - - - - - - - - - - - - - - - - - - - - 1 204 Voya Invest Mgmt 1 20S WnII SLrCCL Across 1 20G Warburg PIpCLIs - - - - - - - - - - - - - - - - - - - - 1 207 Wasrncr & SLr1roctier 208 Whitebux Adv!sors 209 Whittier Trust - - - - - - - - - - - - - - - - - - - - 1 210 Winthrop Cap Mgmt - - - - - - - - - - - - - - - - - - - - 1 211 XFUND 1 City Council 23 — 282 5/18/2021 0 RAM]REZ Ramirez & Co., Inc. ("Ramirez") has prepared this material and any accompanying information exclusively for the client to whom it is directly addressed and delivered in anticipation of serving as an underwriter to you. As part of our services as unde[wriLer, Ramirez [Tidy provide advice concerning the strucLwe, Liming, terms, and other similar matters concerning potential financings Ramirez proposed to underwrite. This presentation is not complete and should only be viewed in conjunction with any oral briefing provided and any related subsequent material and/or presentation. This presentatlon Is for discussion purposes only. The Information provided Is based an Information, market conditions, laws, opinions, and forecasts, all of which are subject to change. Ramirez is not obligated to update mdLerial Lo reflecL subsequenL dmnges. In preparing Lhis presenlatiun, information contained herein has been obtained from sources considered reliable, but Ramirez has not verified this information and does not represent that this material is accurate, current, or complete and it should not be relied upon as such. This presentation does not constitute a commitment by Ramirez to underwrite, subscribe for or place any securities or to extend or arrange credit or to provide any other services. This material is not research and does not constitute tax or legal advice. Unless otherwise stated, any views or opinions expressed herein are solely the opinions of the author but not necessarily those of Ramirez and such opinions are subject to change without notice. The material contained herein is not a product of a research department and is not a research report. In accordance with IRS Circular Disclosure 230- Ramirez does not provide tax advice. Accordingly, any discussion of U.S. tax matters included herein is not intended or written to be used, and cannot be used, in connection with the promotion, marketing, or recommendation by anyone not affiliated with Ramirez of any of the matters addressed herein or for the purpose of avoiding US tax related penalties. Additionally, Ramirez does not provide legal advice. questions concerning tax or legal implications of materials should be discussed with your tax advisors and/or legal counsel. Ramirez is not acting as a financial advisor or Municipal Advisor. Ramirez is not acting as your financial advisor or Municipal Advisor (as defined in Section 15B of the Securities Exchange Act of 1934, as amended), and will not have a fiduciary duty to you, in connection with the matters contemplated by these materials. You should consult your own financial advisors to the extent you deem it appropriate. Any information and/or analysis contemplated by these materials are provided by Ramirez in our capacity as either an underwriter or potential underwriter of securities. Responsibilities of Ramirez as an underwriter. As an underwriter, Ramirez is required to deal fairly at all times with both municipal issuers and investors. Ramirez must purchase securities with a view to distributing spnrritips in an arms -length commercial transartion with the issuer and has financial and other intprpsts that differ from Lhose of Lhe issuer. Ramirez has a duty Lo purchase securities from issuers aL a fair and reasonable price, but must balance that duty with its duty to sell them to investors at prices that are fair and reasonable. City Council 23 — 283 5/18/2021 Finance and Management Services https://www.santa-ana.org/finance Item # 24 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report May 18, 2021 TOPIC: Fiscal Year 2021-22 Budget Workshop Session AGENDA TITLE: Fiscal Year 2021-22 Budget Workshop Session RECOMMENDED ACTION Provide any additional direction to staff for the: 1. Draft Revive Santa Ana spending plan; and 2. Draft Fiscal Year 2021-2022 City budget. EXECUTIVE SUMMARY This agenda item includes the draft FY21-22 City budget for all funds of the City. The PowerPoint presented on May 18 will include highlights and summary information. The City Council may direct staff to make changes to the draft budget. The June 1 version will include any changes from City Council, and will be the proposed budget for consideration during the public hearing. The General Fund is the primary operating fund of the City and accounts for all unrestricted revenue. Overall, staff expects unrestricted revenue to grow by 5.4%, and draft spending to increase by 5.6%. FY19-20 FY20-21 FY21-22 Actual Adjusted Budget Draft Budget Beginning Balance $ 67,022,638 $ 81,868,704 $ 70,945,564 Revenue 319,102,500 323,593,V3 3A0,9�4,200 Expenditures (288,378,118) (313,226,023) (323,481,060) Net Transfers (15,378,316) (21,290,260) (24,703,590) Net Activity $ 14,846,066 $ (10,923,140) $ (12,240,450) Ending Balance $ 81,868,704 $ 70,945,564 $ 58,705,114 The Reserve Requirement for June 30, 2021 is $58,155,866. Due to the expected growth in recurring revenue from FY20-21 to FY21-22, the Reserve Requirement for June 30, City Council 24 — 1 5/18/2021 Fiscal Year 2021-22 Budget Workshop Session May 18, 2021 Page 2 2022 would grow to $61.369,956 (18% of $340,944,200). The American Rescue Plan Act allows cities to replenish lost revenues, and staff plans to recommend using a portion of the City's federal allocation for this purpose. DISCUSSION Detailed draft/proposed FY21-22 documents attached to this staff report include the City budget for all funds (Exhibit 1), Workforce Changes (Exhibit 2), Capital Improvement Plan (Exhibit 3), and proposed changes to Miscellaneous Fees (Exhibit 4). The Public Opinion Survey closes on May 16 and the May 18 presentation will include results. Revive Santa Ana Spending Plan On May 10, the U.S. Department of Treasury ("Treasury") issued the Interim Final Rule for the American Rescue Plan Act (ARPA) stimulus package. The City's final allocation was $128,360,813 (previously reported estimate of $142,974,013). The first 50% allocation is $64.2 million. The City also experts to receive the following housing allocations totaling $21,497,795 from ARPA. • Emergency Rental Assistance (ERAP) program $14,026,593 • HOME program for homeless $6,183,914 • Housing vouchers $1,287,288 Therefore, we expect total federal funding for Revive Santa Ana to be $149,858,608. Treasury is currently answering clarifying questions regarding the Interim Final Rule. Therefore, it is too soon to include an appropriation for the first ARPA allocation with the FY21-22 Budget Ordinance. Staff expects to propose a budget adjustment to appropriate the initial spending plan after further clarification from Treasury and additional direction from City Council. The spending plan will continue to evolve as priorities evolve, and the City receives updated guidance from Treasury. FY21-22 Changes to General Fund Budget The Draft Budget at Exhibit 1 includes a full reconciliation of the changes to the General Fund budget, from the current fiscal year to the next. Notable changes follow. Revenue: • Staff expects the following revenue increases: U Bradley -Burns Sales Tax increase of $4.45 million or 9%. c, Measure X Sales Tax increase of $3.57 million or 5.8%. o Cannabis Tax increase of $1.6 million or 8.4%. c Property Tax increase of $2.5 million or 3.2%. Although the statewide property assessment increase is 1.036%, the City's property tax revenue City Council 24 — 2 5/18/2021 Fiscal Year 2021-22 Budget Workshop Session May 18, 2021 Page 3 continues to grow as properties sell, and assessments are re -set to market value. o During the May 4 Budget Presentation, staff reported that actual Business License Tax is performing better than expected. Therefore, the budget estimate for FY21-22 has grown by $2.9 million. • The draft FY21-22 budget includes a recovery of Parks & Recreation fee revenue and a fully restored pre -pandemic budget. If the pandemic continues to minimize Parks & Recreation activity, the FY21-22 Midyear report will include recommended reductions for both the revenue estimate and budgeted expenditures. Expenditures & Transfers to Other Funds' • New part-time Parks & Recreation Facility attendants are included at a cost of $0.3 million. • A new communications platform to improve the City's ability to reach its residents is included at a cost of $100,000. • The draft budget includes the expected $365,000 cost of redistricting. • The two-thirds set -aside of Cannabis Tax increased by $950,000, to transfer out of the General Fund. • Staff removed all FY20-21 one-time items from the draft baseline budget. • A reduced hiring freeze is included in the draft budget (discussed in more detail below). • Previously negotiated employee compensation increases totaling $7 million are included. • The required payment on the pension debt increases by $5.4 million (General Fund portion), and has been included in the draft budget (see further discussion below). • The Orange County Fire Authority expects service charges to increase by 4.5% or $1.95 million, and the draft budget includes restoration of the public safety budget to pre -pandemic levels. • The draft budget includes a recurring annual train station subsidy of $1.1 million, equivalent to 64% of the train station annual budget. Expected Changes to June 1 Version & FY21-22 Adopted Budget To prepare for this Budget Workshop Session, it was necessary to cut-off any further changes to the numbers to allow for development of summaries and presentation materials. Staff expects the following further revisions to the June 1 version of the draft budget. • The estimated beginning General Fund balance may increase by $251,876 for Unclaimed Deposit Revenue presented for City Council consideration on May 18. • To improve Planning & Building counter service, the draft budget will include one additional Permit Technician with a ten-month cost of $82,900 (annualized cost of $99,480). City Council 24 — 3 5/18/2021 Fiscal Year 2021-22 Budget Workshop Session May 18, 2021 Page 4 • To improve customer service at the City Hall Annex first floor information desk, the draft budget will include an additional reduction of the hiring freeze for a Receptionist with no fiscal impact, as reductions to other line items in the draft budget will offset the proposed cost. After City Council adopts the budget, staff expects to propose the following updates or changes during FY21-22- • Potential savings from the pension debt refinancing. There are many moving pieces including the municipal bond market, proposed bond structure, CAPERS investment return for FY20-21, and CalPERS Board consideration of the discount rate in October. Estimates may be available in August, but that is subject to change. • If the Police Department is able to hire correctional officers, there may be a forthcoming recommendation to add a revenue estimate for the last jail module. • Subject to iden[ifica[ion of a funding source, [he budge[ may need to increase if the City Council grants any employee compensation increases through future labor negotiations. • Staff expects to propose the use of ARPA money to recover revenue losses to cure the negative balance for the Downtown Parking fund, and to free llp other resources to ensure the General Fund balance at June 30, 2022 is compliant with the 18% Reserve Policy. • The City continues to have issues with several internal service funds with increasing costs (e.g. Building Maintenance and Fleet Maintenance) without corresponding increases to the General Fund budget. Staff needs to further analyze the situation and develop solutions, which may include adjustments at Midyear. Hiring Freeze The FY20-21 budget included a hiring freeze to help balance the budget. To preserve service, the proposed hiring freeze for FY21-22 is less in scope. HIRING FREEZE SUMMARY DRAFT FY 20-21 FY 21-22 Number of Positions* 47 1 32 1 liring Freeze Value $ 5,443,330 1 $ 2,987,550 "Rcflcct, Initial rrarrrbcrof po,itirms us of 711120 General Fund Ten -Year Outlook the Ten -Year Outlook includes the following assumptions. • The first year is the Outlook is draft FY21-22 budget. City Council 24 — 4 5/18/2021 Fiscal Year 2021-22 Budget Workshop Session May 18, 2021 Page 5 • Quantifiable future changes have been included. o Revenue from the final jail module in FY22-23. n Full revenue recovery from the pandemic in FY22-23. o Payoff of Police Building Debt in 2024. e Payoff of other minor debt obligations in 2025, 2026, and 2028. C, Reduction of Measure X rate in 2029. • Inflation applied to both recurring revenue and recurring expenditures, using the California Department of Finance forecast for the Consumer Price Index. Ten -Year General Fund Outlook $600 .s` $460 5444.8 642o.1 64323 8418.5 6420 $4090 ' ��i 8397.9 t,... ...03 $376 5 $409 8 $380 $364.1 1 6398.0 6386.8 _-..- ^.^. ,, ..... $3512 �"� 5375.8 8365 3 $340 ... $355.0 $340.9 $300 FY21-22 FY22-23 FY23-24 FY24-25 FY25-26 FY26-27 FY27-28 FY 28-29 FY 29-30 FY 29-30 -.4.. Revenue -�-Expenditures & Transtere Out In the short term, the City can continue to expect a small budget deficit of roughly 2-4% annually. Actual revenues in excess of conservative estimates, an increased tax base from new development, and spending less than the full amount of each adopted budget could each contribute to offset the budget deficit. Net Cost of City Jail Based on questions from the City Council and the public, staff offers the following information with regard to the net cost of the City's Jail. /n milhaas FY' 1-22 Draft With RCVC11LW from Final Aticr Debt is Paid Off 1311dgc[ Jail Mudttle City Council 24 — 5 5/18/2021 Fiscal Year 2021-22 Budget Workshop Session May 18, 2021 Page 6 Hcvctlt7L $1G.1 SP.3 $1 / 3 Operations Cult b(19.8) S09.8) S(19.8) Proportion of Debt Service S(3A) S(3.0) Na COSt $(6.7) $(5.5) $('2.5) If the City did not have a Jail, it would be necessary to operate a booking facility to process and safeguard local arrests. The Police Department estimates the net cost of a booking facility is approximately $8.8 million. By operating a jail with offsetting revenue from the U.S. Marshals, the City has a net savings in any of the net cost scenarios presented above. Next Steps The budget schedule includes a public hearing on June 1 for the City Council to consider the proposed FY21-22 Budget, including a first reading of the Budget Ordinance. If the City Council conducts the first reading of the Budget Ordinance on June 1, then the City Council can consider adopting the Budget Ordinance on June 15. The new fiscal year begins on July 1. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no immediate fiscal impact associated with the recommendations. The City Council schedule includes a public hearing and first reading of the FY21-22 Budget Ordinance on June 1, 2021. EXHIBITS) 1. Draft City Budget 2. Proposed Workforce Changes 3. Proposed Capital Improvement Plan 4. Proposed Changes to Miscellaneous Fees Submitted By: Kathryn Downs, FMSA Executive Director Approved By. Kristine Ridge, City Manager City Council 24 — 6 5/18/2021 Cwr.ty of .Sa-nta na FISCAL YEAR 2021-2022 THIS PAGE INTENTIONALLY LEFT BLANK City Council 24 — 8 5/18/2021 'Table of Unitent,.3 GeneralFund Summary................................................................................................................................................... 5 GeneralFund Reconciliation...........................................................................................................................................6 GeneralFund Revenues.................................................................................................................................................7 GeneralFund ExpendiWres...........................................................................................................................................12 DEPARTMENT BUDGET DETAILS General Fund Miscellaneous Revenues..........................................................................................................................16 CityManager's Office................................................................................................................................................ 19 CilyCouncil.....................................................................................................................................................................25 Clerkof the Council.......................................................................................................................................................... 28 CityAttc rney's Office...................................................................................................................................................... 31 HumanResources...........................................................................................................................................................36 Finance and Management Services................................................................................................................................45 Library............................................................................................................................................................................. 55 Parks, Rerreatinn and Community Services...................................................................................................................64 PoliceDepartment.......................................................................................................................................................... 82 FireDepartment...........................................................................................................................................................100 Planningand Building Agency....................................................................................................................................... 105 PublicWorks Agency..................................................................................................................................................... 116 CommunityDevelopment Agency................................................................................................................................176 InformationTechnology.................................................................................................................................................. 215 BowersMuseum............................................................................................................................................................218 Debt Service and Non Departmental............................................................................................................................ 221 Interfund Transfers... .... - ... - .... - .... ........................................ .......... .... - .... - ..... 233 City Council 24 — 9 5/18/2021 3 THIS PAGE INTENTIONALLY LEFT BLANK City Council G! 24 — 10 5/18/2021 General Fund Summary Reconciliation of General Fund General Fund Revenues General Fund Expenditures General Fund Reconciliation - DRAFT FY20-21 Original AdnPTen FY20 21 Adicstlncnts H2VEilnE 307,392 970 ib,200,1/3 FY20-21 Origina. Adopted FY20 21 Auiustmcnts taxpenditnres 307.026.470 6,199,553 Iran4p,6 Ow 19,921,560 2,3b8,/00 FY20-21 Revised 323.S93J43 FY20-21 Revised 313.226.023 21,29D,26D Remo, Nun-Rct.unlnp. Ilan:.: tale of YMCA Hpdding K-9 DonaT'On Former RDA Debt Refinancing Savings ISDn,nn(y (5,000) (1.720.200) Rcanovc Nun-Rcuurrinx Ilcrni, I(lenbfiecl in onirinal Hp(IQet (GI -1 of hpdRet Ilnrl Carryovers Vaccine Distr. bution (3,974, /8U) (9,094,040) (250.000) 1,6}11900 Measure X Growth 3,567,300 K-9 Training (5.000) Bradley -Burn; GIUWLll 4,451,700 DU xHLUWn C'.can & Sarc (4OD,DDD) Property Tax Grcwtn Property Tax In -I i.eo nt VI F rinwth ALIT Gmwth 1,))0,848 1,969,040 I,0OO,0O0 Mitlyear lntnsend Midyear Chip R, PIN Midyear lernme Pan( (50,000) pn,nnn) ( 119,6n0) Cannabis Tax Growth 1,625,000 Restore Recreation Reductions far CO, ID-19 1,350,000 Busi,i SS L.ccmo Tax Pm Lial Rccovory 2,900,000 Rcstorc Public Sarcty re, COVID-19 RcSponx' 5,323,349 Hotel Visitors Tax Partial Recovery 750,000 Pension Debt Payment Increase 5,407.15(1 Park & Rerreatinn Fee Rerovery Pa(amencr SeMCe Charges Partial Rprmpry 1,5on,C)OO 875,000 Rargainerl Frio nyee Comp Increases Orange County Fire Increase 7,n74,636 1,eW,OR4 Permit Fecs for PWA Work 550,000 Phase Out COPS Hiring Grant 826,251 Other net addus-rnen¢ (122,G31) No Hiring Frecac 5,443,330 AVailable General FL:Od B31DOCC at O11C 30, 2021 12,/89,698 Cannabis lax IWvcnUC Incrca;c 2/3 SCt As de Xfor 9SU,000 1 otal RCSUUrCQS Net Activity RCd UCetl Ilit ne FrOCec 1 rain SLaLlnn Subsioy Partial Restore Civic Center Authority Co tribution 1,081,8/0 143,SDD 353,/33 898 549,248 Step Increases & Other CunLraCLual Change, 1,504,387 (13,94D) WUr krurcc Rcal!Ucahoru 202,640 CMO PI Personnel A(IdiLion Additional Payroll Tochnicr.an Tcxt Messaging Communications 6/.920 71,26D 100,000 MandaLcd Red`SLricting PrOCCSS 3G5,000 Sales Tax Sharing 210,000 RCCreoL,.n Fau ily ALlcndaoLs PWA Wnrk nn PemnlLt 300,000 S,0,000 Total Uses 228,481060 24,703,590 City Council 24 — 12 5/18/2021 City of Santa Ana General Fund Revenues Summary Account ACTUAL ACTUAL REVISED PROPOSED Cod. Account Dcxrlption FY 18.19 FY 19.20 FY 20.21 FY 21.22 CHARGES FOR SERVICES 51612 Building Siandams Revolving F 18.353 (7.091) 9200 9.200 5236d CASp Ccrhkahon Training Fonu 16.517 15.544 11 0 53201 Passport Fees 0 1 0 0 b3202 '_ibrary Microfiene Rentals 1.3s3 1. /81 s00 0 53203 Library Video Rentals 2953 1.632 2.4 UU U .,201 Cemer rrograms 94./,12 32.8,12 0 60.106 53303 Yor:Th $p(rftg 53,n49 iJ,93n 0 i0,500 5:i3114 r'uul [;hnuJes 23,72[i 2[1,79r1 11 11 53gr17 YOuln 7cli [Jsdi)p I CO 58,167 56425 11 5_5,600 53300 Par, Reservation 185.927 130.304 0 133.000 53509 Conossion-Vending M,101111Ca 3.900 3.9r10 2.900 2.900 53310 Zoo EdLIC11hOn 190.647 73.815 0 77,5D0 53312 Zoo Aomissio is L132496 712.631 300.000 1 046.900 53313 Food Sale Concesenn 23.021 15.857 0 25.200 53315 STarllum Spacial Faes S7ti U 0 U ]i31h 226,5l] 112,24/ 11 1f2,1110 S3318 Tannl.� Resevation i1.233 28,414 0 0 91lt',4 KCErcalinn 5'.:lll KniiTbr.raGllP:nl 645714 3l 0J9 v741111 J74110 D3400 WHO, Kcic,uc Cloljfl 88439 61.002 8J.000 90.000 53401 Rapu Release 12.990 11.085 14.000 11,000 53402 Paramedic Subscription Fcn 29 0 1) 0 53101 Fingerprint Card Process Fee 0 t) 100 U 53405 Pho',c Services 0 0 100 0 $i407 VehN; Fqu¢ime it(ITM011 Slg 5.)41 4.76O 6.000 :1.000 511118 hire Hnnge user Fefi M0 811D 1,111111 1,I1a11 e 410 In)peundiOwn1 r Release A0111131 2.i68 1.161 1 non 1300 534'. 1 J, i1 P,, 1u S'.ny Prurlr,,nr 70,770 58,500 80,000 15,000 33413 Pul cc Fals(=Alarm ChapJc 523 77 95jinn 95,000 534,5 FrnCrgCnry Ruuu rsu RcanOursumc 3,660 V7 55,000 25,000 53416 AnrnA 01.101anllncs 2.333 95, 2.000 1.000 53417 Police Rcpori Fcc 129.783 182.328 1G0900 75.000 53119 Firearm Lice is& Fee 2.017 1.946 2.800 2.600 53120 Jail Booking Fee 20389 10.776 16.000 10.000 59423 Vsh des Sn:rege Fee F,1.150 3h,H2S 2Pi,000 21i,01111 es709 F'afan)ed.c 5ubscnptio i Fee 1 (S. t 162.92/ 1 r0.000 195.000 5351n Paramedic Services ChalrJe 5,1 O4445 7,1 HH,ti51 S,SOgnno h..j75,nnn 5i5.....H 1,1120 %.?95 1,Snn 1.51111 53500 3u1ld1ng F`larl Cncok 2,58G.345 2,957.026 1.880,000 1.925,800 33601 Electr.cal Plan Check 375.168 382.672 280900 312.GD0 53602 Plumbing Plan Check 136.841 191.675 136.500 141.300 53603 Mechanical Plan Check 264.082 317.716 186.G00 210100 �, 60, '_andscape Plan Review 22442 2�.9/0 24.000 2s.200 5.1606 Di=.crationary Appl!ralion Fea 403WO 'On.G:i1 370,000 404,501) 5:iF117 EIH Uevelnper Fees 94,-154 -114,5F5 95,111111 H11,750 Ji61 i Land Vs_ [:,:rtlfir ate Proressm pnp, �6� p12.146 aS2 S00 1t12_500 535,4 Slwpl,in9 C,rt Cunt,irr Pq+ggvrn 50,874 43,979 44,100 44,100 5361 ' 0 City Council 24 - 13 5/18/2021 I1 City of Santa Ana General Fund Revenue Summary Account ACTUAL ACTUAL REVISED PROPOSED Code Account Description FY 18.19 FY 10.20 FY20.21 FY 21.22 b3G2/ F'rttY FEe6 liG1.21/ /63.3(/ GO 1.UW Gul.uuu Sti6)8 Forerdosure Registration Progr )31980 149.093 185.000 18S.000 ,.17(J7 STreEt S Alley Repair 1,75 1 ❑ 11 II 53901 S!no Pn1vKPiss,w I (=0 149 90 29n 200 53902 Ml9r, 5,MC, CMnle 150,102 1,342 0 0 58=1Q5 E ,ptwt-, ntl S:Iviu: Cllam(- 0 1.872 j onn 0 55200 -iomly Fincs 38450 28.695 31 G00 0 57070 Sale of Printed Material 20 202 1.000 G00 S7470 Copy of Lost Citation 47 104 1 G0 100 57380 Friend Of Zoo Vet Cc itr.b,uon 60.000 60.000 30.000 G0.000 57383 Friend of Zoo Contri6utic i 73.390 10.769 10.000 S8.800 5738 5 FOenrl of Z;io Education Conn 40,000 40,000 20,000 40.000 5:174f) .,in:d Cm11 App Fuo Iul City P31..I.Lu _: 0 if 111(I,Illlfl if ]-3141 $Illo11 Coll C,lllpllunup IIl%rcr.tiol I CO b 1.4445 2].000 1.0.000 Total CHARGES FOR SERVICES 14,191,305 16,939,593 11,390,507 14,179,600 FINES 550,30 Parking Fincs 4441.164 5.111477 4.900/000 4.000.000 55201 -osvDamaged Library Material 4510 3.317 3.700 5.000 bb100 REdllght Camera PrGgrem 4bb14 b.13/ 0 0 55401 Coon Fines Traffic, $3$.503 :568.5N' 4)).150 3>0.000 Sb1112 Cri111 hlnEs NLn I rArt r. 1112,8611 b3,b15 91,11011 1t).uUO a5403 Tohaa-0 FInr 1414 0 1,000 0 SSfilln AOu....... l- (Ak,lu , 1111419 %57,NN1 1N0,11011 155,1)1111 556r15 MCt11LJ Mnr,..ivana A11111111s1111l:.vr: Cibll:.on 60i,800 59.081 5.nnfl 0 55000 FirCWOrkS Aam'.n Citations 15.147 28.584 23.500 48.000 57900 Bad Check Recoveries 23.399 15.102 23.000 1.000 Total FINES S,408,811 5,902.956 5,634,350 5.460,000 FRANCHISE FEES 50050 Cas Utility 403,835 432.21it1 404,700 41S.700 bt1051 I I: rt, -A Utility 1 21'i .9111 1 19h.%16 1.98/.500 1 J16.100 b0073 CAIV rrnnpllg� het 1445,3/6 1,09H,136 1,491,100 1,13/,(00 5f11KR R,-1 ea, Frnn.:hlsn Fri.- Ro.idcnlia f1 f1 J151,5n0 t 1151 50n 50057 RCF-iI Lrrilflr.11i`C FCC -COITIInCIL1,11 D G 6.(11352t11J 6.7t111.)G(I Total FRANCHISE FEES 3.084.447 2.726.202 11.926.000 11.521.000 INTERGOVERNMENTAL SIM ruq, Tnx r>s-. ❑.... -1,1s0,207 1,370,5M 1,53H,bltl -1.75:1,341) pn}IJ1 Mnlnr V"[Wl"LlCcrr;rS 1G2.3e1 26/.29/ 1/1J400 203.100 50503 SR90 Stote M; r,f],led Costs-Rc'.m 104,51g 905,960 00,000 38,000 50505 POST Raimborselrenl 42290 57.643 15.380 40.000 50506 AB100 Rcimburscmonl 423.GG5 472.150 480.000 460,000 52361 SE 118(t 0 0 5,200 5.100 5236G A8678 Ground Emerg Medical Tr (113.255) (160.312) 0 0 57304 Rancho Santiago Reimbursement/ 4S.711 4 1.03 1 24,e0C1 24.1i00 b//91 Ovcrncaa-water 4.b3/.920 4.b3/.900 4.t3/.900 4.s3/900 Total INTERGOVERNMENTAL 6.383.404 6,791,05G 6.908.080 7.132.040 City Council 24 - 14 5/18/2021 W City of Santa Ana General Fund Revenue Summary Account ACTUAL ACTUAL RCVISCD PROPOSCD Coda Account Description FY 18-16 FY 19-20 FY20-21 FY 21-22 LICENSES S PERMITS 51001 Bingo '_icenses 171 120 0 0 51002 Dog Licenses 623.696 625.055 015.000 550.000 51003 Dog Licenses-Cvlc Collections 63.001 2's 423 60.000 60.000 51004 Bus Shelter Fees i110.000 a7,500 75,000 150p00 91 101 I ilining permits 4 1114 9754 Ii Art 1:1M) 61401 Alarm Ncrrit Ftcs 9J.66b 99,344 100.000 100.000 51402 BVCPt Closure= Permit, 6.630 31% 6.f100 2,000 51403 Tohacco PcItHts 160.099 97.607 160200 97.000 51501 Fireworks Stand P94T1'.15 4.077 2.021 0 0 51600 Gcncral Plan Update Surcharge 172.101 125.814 155,000 158.1 J0 SILAI Budding Permits 2.254.214 1.634.989 1,517,500 15Ad,50U S1 b(12 I'lumnling Yenlll[a !,Or)./00 313.850 313.(Oil :3b!,h011 5-1603 Elertrical Permits 1.)39.875 76-1.52E 760400 844,700 .96114 Ile al roil renni In 714,1199 48l,851 4574011 47h,51111 a1607 0cCllpalliy fi,fn11t5 44/,149 162.J92 J9F.0U(I 3/1Jr1U 5,606 G,twi.... Purr„'.: 175,699 •33,913 104,000 129,500 11307 Slfcct Vcnduf Pcfmit 13.200 10425 25.800 2!7.81V 51608 News box Permit Fees 23.131 19.297 20,000 20.000 51609 Ouidoor Dlmig Permits 1.651 0 0 0 51613 Adult -Use Cannabis Retell Phase 1/Registration (1.690) 0 0 0 Applit31[lon 51511 H(Jdt-USe Can1)3111S R T311 YnaSe 21ltegl118t01y r 223,b91 ill11,285 31:3,3011 rerrml b161() Commc(Clal Gnnnnm1 1 t3Twrj Prm,ic 1/Kegistrit.uo 2.11J 0 i. i60 0 51617 Cummeri-wl Cannabis Testing Phase 21Ragda'.ory 12.086 12.086 24.170 37.000 Safety Permits 5161A Comnnerc:7a1 Csnnahis Operating Agreement 35.000 27.500 30,000 S0.0o0 ILr`lillnlll ir:lll".)T I nrls S,. F,.4 Crimmcm.nl CAL ph.V.0 1/Kr:GSL 1:i,.ih2 7,:123 'I F,41111 17,5110 App6artlan 51670 Cun,n,rrrlal CaIln101^ ManplaOW n(I Phl^t 1/R�3L 15,931 11,546 16,900 17,500 Application '1621 Curanui,wl Cannabis Dlsbiboliun Phase 11Rcgst. 28.871 21.688 16,000 26.300 Applicaton 51622 Commercial Cannabis Cultivation Phase 2/Rgliry I35.645 34405 120,860 87,770 sfty Prn.1 S i b23 Commercial C3r)113b13 M31103ciurling Phase 124.607 52.335 120.860 53.600 2/Rgltry Sfty Prmt .9624 Cune......nl [:none Lir: D'. r:L iLuliuu rher:e 2/R 111, 254 44E 11W,679 2,. 5,274 '2'2h,111111 City Prmt 51703 MMD Regulatory Salcly Permit 168.204 0 0 0 Total LICENSES & PERMITS MISCELLANEOUS 50052 Refuse Contract Program Scre.harge 53331 City Events 534114 Unrsge. 01 Weallnn I ea 55%V oat/Damageri Uncataloged M.ver 570110 Ex lnvm:c Kclinlne::ci nenl ]/01U M13t111ar110u1 1 ILY 'Cr', 03 57200 Other l ibrory Recoveries 57301 Re(rea',ion Expense Reinlbcrseme 7.249.164 5.222.413 5,494,685 5.782.270 4.972.000 6.258.502 0 0 1-1.7.14 3 S73 7, 500 0 3,201) 408 1,111111 1,11111) 10 10 0 0 84,514 1in, 118 58,81111 74,9110 1Ji22,600 1.1".Wo 21�,100 1,153 6A7 900 1,600 3.063 3.437 3.000 3.0J0 City Council 24 - 15 5/18/2021 4. City of Santa Ana General Fund Revenue Summary Account ACTUAL ACTUAL REVISED PROPOSED Code Account Description FY 18.19 FY 10.20 FY 20.21 FY 21.22 b/1UU YDI.ce 01 HE mDLIMEme It 236.UU2 19/.f�2 2UE.000 112.8bu S740 Pol'. ca Misrellaneors Rainihurae i88 4i7 .,11.i47 .111.900 305.900 57101 F'Inparty & tvinence Recovery (.118) ❑ 0 Il 57700 KOLIsc Proryram B:tviog Ko ov"y 1,352,000 1)351.9011 fl 0 57901 Indlrcgt Gott Reruvery 7,735,500 3,746,658 6,597,150 6,7?n,910 57461 Jail KL_hcn WrAol 47,b95 58,122 28JI(In 30,000 57071 Sulc or'_and 2 074,84A 4.000 500.000 0 57770 Sale of Maps & DUCLm9111S 33.754 75.673 1.000 60.000 S7001 MISrD11anCOns Reccipis 4.001 5.188 1500 1500 17796 Treasury & Accouming Reimbursement 0 2.300.121) 0 0 Total MISCELLANEOUS 14,717,254 15,203,130 7,743,450 L366,370 TAXES ,0011 F'mparty lax :i 1.3110, (01 38.81hAtl1 40.Sb1.3h2 11.f11200 now Bama Ana RcSiJU81 10,J$1,641 11,054,>95 11490,%00 4. fo,nol) 511I116 rrup T:u In I i— VI 31,f49],H45 :14,Nfi:i7£14 3a,f173,?N11 3T,3,:>,31II1 500)0 111110 Vl111111' 1 lax 6414.661 7739780 4250.00r1 5.000,000 50031 UTA. y Usur Tpx-PIUC.r1r 11,517,537 11,001745 11,776,000 12,000,000 '0032 U',il'.',y Uscr Tax -Gas 2070,050 2434283 2.525,000 2400,000 50033 Uiil iy User Tax -Telephone 3 328411 5.309 271 5.000,13D0 5.000,000 10031 Uiil liy User Tax -Water 2.731.739 2.S71.937 3.550.000 1 260.000 5004, Susineas Tax 13.115,51`; 13.031757 9.300.000 12.200.000 F43046 Madiral Man1uAnA Taxa4 1 0,14,1$7 701,3ii7 1, 15timllll 1.361)I1D11 S0200 Documemary Stamp Tax 1.027.741 1.010.501 1.17S.600 1.03S.S00 !,0201 ItnmE.,yunar l'rop Lqy F,,mva.nnon 141,h3h 18li-ion 211,61111 141,1110 5110%0 S:i cc l ex 51 it I Arir1 45 7117 1r,2 44 1411'MI S311 I0 l ➢n D0021 11a1t-Cuir Salus Iax(SaR'ty) 2264.06J 2.110,538 2.232.600 245_.. 100 51615 Adult -Use Retail Cannab. Op9r 2,670.374 0 0 0 50100 Commercial Cannabis- Coltiva',ion Tax 2.000 87.727 200.000 250.000 50101 Commerral Cannabis- Distribution Tax 41.238 A41.825 800.000 1.000.000 S0102 Commercial Cannat, E - Manufacturing Tax 7.000 102.320 100.000 160.000 50-103 CImmarmal Cannabis- Telling Facility Tax 168.107 11,,,837 100,000 125,000 ,1111V1 H(JIA-UEali Mil tuninanE C3nnani5 lax 13417,3ILl 10,]17,103 1QM00,IIi111 18,000.1100 af1022 Sa1r-e Tax Meattue X 13,13b,370 61,/y6,37f 01.412.NO li.00L000 Total TAXES 202,445,T00 250.263.398 257.815.812 272.032.400 City Council `N 24-16 5/18/2021 City of Santa Ana General Fund Revenue Summary Account ACTUAL ACTUAL REVISED PROPOSED Code Account Description FY 18.19 FY 10.20 FY 20.21 FY 21.22 USE OF MONEY S8000 Farning On Investn-ienta 8>3439 1,055.897 490.000 i50.000 57361 KEIrEanon Far,11Iry Rental 3.S.6111 21,971 927 25,H1)0 57162 Rcn Cal 01511)(11u11) 97,512 128,728 12456 T3,700 57460 J3A RevuWe Facility- Pn 4,672 9490 13,300 13,320 57482 JJ Facililq - US Mar 10.027.605 11.189220 12.154.219 11,716200 57463 Jail Rcvcnuc R¢ilily- DOic&LI 1.009.539 G22.623 12G7451 1.200,600 57161 Jail Revenue Facility - US Mar 1.181 400 3520.96E 2.1378.1226 2.380.800 S7000 Rcmal Of Property 04.804 125.243 103.000 181,000 E7390 PRCSA Godinez High Schcol (1.712) 6.162 0 0 Total USE OF MONEY 16,569,854 16,679,300 16,680,259 16,561,520 Subtotal Revenue 270.390.029 318.728.048 323.593.143 340.944.200 TRANSFERS -IN 59000 Transfer From Fund 050 2.751.900 b9000 I r:ansfar Iron) I no 025 2..0.000 0 0 0 Total TRANSFERS -IN 250.000 0 2.751.900 0 TOTAL GENERAL FUND RESOURCES 270,640,029 318,728,048 326,345,043 340,944.200 City Council 11 24 — 17 5/18/2021 City of Santa Ana General Fund Expenditure Summary ACTUAL ACTUAL BUDGET PROPOSED AccL Unit DEPARTMENT & DIVISION FY 18-19 FY 19-20 FY 20-21 FY 21-22 City Manager 01103010 CITY MANAGER 2536.336 1.821.320 1,727,881) 2,435.810 01103017 CMO SERVICE ENHANCEMENT 0 0 0 200.000 Subtotal 2.536.336 1,A24,320 1,727,8A0 2,635,810 City Council 01101012 CITY COUNCIL LEGISLATIVE 118,911 1S6,568 189,730 531.230 Subtotal 448.941 486,568 489.780 534,280 Clerk of the Council 01107017 COTC- SERVICE ENHANCEMENT 0 0 0 50,00n 011070.11 CLERK OF THE COUNCIL -ADMIN 1.30624A 1.72026U 1.3.55.600 1420.790 Subtotal 1.306.248 1.720.280 1.355.600 1.470,790 City Attorney 01108016 GAO- MMD AND ADULT USE 535.216 0 0 0 O1108032 CITY ATTORNEY 2.777.227 2.709,266 2,950260 2,955.110 Subtotal 3,312,444 2,789,266 2,950,260 2,955,140 Human Resources 0110901r HR- SERVICE ENHANCEMENT U 0 U 11S.b4U 01109C50 HUMAN RESOURCES 1.699180 1.020.922 2.897,790 3339.650 Subtotal 1,699,430 1,920,922 2,897,790 3,455,190 Finance Department 01110016 FINIMGMT SVS-MMD AND ADULT USE 35.218 0 0 D O 1110100 FIN/MGMT SVS-MANAGEMENT&SUPT 1.075,190 1,218,234 1,327,140 1,515.790 (31110111) FINIMGMT SVS-ACCOUNTING 2,125454 2,310506 2,S 4, 10 2.798,810 01110115 FIN/MGMT SVS-PAYROI1 734,970 929,111 963.660 1,O29,8A0 01110190 FINIMGMT NVs-P.IRCHASIN(i 657 ]24 641 972 789 09n 894 79) U111U1it) -IN/MGMI SVS-I SVS 1.3b4bti4 A.413.1_Jf 2.5/6,6U0 2.962421) U'. 1'10131 FIN/MGMT SVS-MUNICIPAL UTILITY SERVICES U U 928.940 1.214.880 Subtotal 5,991,155 8,562,960 9,273,340 10,4111,400 Library 0111101 r LIBRARY- SERVICE ENI IANCEMENT U D U 2U9.w30 01111110 ADMINISTRATION 0 0 776.250 1043.100 01111150 ADULT SERVICES 1.352,701 1.128,612 1,629,530 1066.390 (31111161) LIBRARY - YOUTH SERVICES 852,270 0 91I410 925420 0111116U LIBNAKY- YOUNGADULI St KV1GtS 6/9.b9U U 684,/4U 628.39U 0111119(1 1 �Ci & SUPPOK I SvCS 1 540 291 0 1 446.960 1791 960 Subtotal 4,425,553 4,438,612 5,458,890 5,864,340 Parks, Rae. & Community Services O 111301r PRGSA- StHVICt tNHANGtMtN I 0 U U b2U6,/50 U'. 1'13200 PRCSA-ADMINIS I KA ION '1.547.384 '1.186.583 '144853U 1482.700 01113210 REC COMM SV3-STADIUM 105.275 0 0 0 01113210 PRCSA - ZOO 2.189.7CB 2.454.281 2.757270 2.311.780 0111.230 PRCSA- REC R EATION.4 COM% SVC 5,247,627 5,207473 7,042420 5,752,nA0 01111250 PRi'SA- PARK FAC ILITIES 5.441418 10.3U3.b22 11.259.a00 6,5bI.84U 0'.'113260 REG COMM SVS-FACILITIE:3 MAINT 1.577.617 U U U Subtotal 16,201,090 19,151,965 22,518,120 23,215,150 City Council 24 — 18 5/18/2021 IV City of Santa Ana General Fund Expenditure Summary ACTUAL ACTUAL BUDGET PROPOSED Acct. Unit DEPARTMENT & DIVISION FY 18.19 FY 19.20 FY 20.21 FY 21.22 Police Department 01114(j16 Pf)- MMf) ANf) Af)LII T USf 1, 114,61J 0 (1 0 01114017 PD- SERVICE ENHANCEMENT D 0 0 6U7.S1L) U 11114 UU OFFICE OF THE CHIEF OF POLICE 1.9G8.107 1.1°J.682 1.6G5,950 1A87.810 01114401 FISCAL&BUDGE T 1.181.270 1.221.149 1.658.030 1692.290 0'.1144U2 HUMAN RESOURCES 1.Ubl.992 ti@5.Ut12 Cb U,7UU 785,231.) 011144/33 BUILDING & FACI'_I I Y 4.045.742 4.4£5.066 3.381.800 3fi27.750 01114404 BACKGROUNDS 1.3G5.32G 1.375.734 1.724250 1 GD2.240 01111405 TRAFFIC 7.181,912 7.71.5,471 8,038,410 7,741.890 0111141/) TRAINING SERVICES 1,970,404 1,872,229 1,566,820 2,01E,970 U 1114415 INTFRNAI AFFAIRS 1,436,931 1,316,87i 1,6fi6, In0 1,911,730 01114420 FIELD OPERATIONS ns,A/0,A43 ,4,6/0,A.11 e4,nA6,:?k0 60,6k/,A90 01114421 PD ATHLETIC & ACTIVITY LEAGUE 0 0 U 230,SRU 01111425 INFORMATION SERVICES 1.758.937 1.617303 1.696,301) 1.747.140 01114430 ANIMAL SERVICES 1.073.631 3.132.153 0 0 01114435 CRIMINAL INVESTIGATIONS 0.873.259 7.10G311 7.289.790 7440690 01111410 CRIMES AGAINST PERSONS 7.939,859 9,38A,333 4,84n,98n 1 256.GAn 01/1444/ MFTROPOI ITAN fIVISION 0 0 SSe4150 6697510 0111444U $14CIAI INVF$IIGA'. ION$ 3, I 349/ J,U 15, 193 1, 11 U,/60 1,'191.b?U ()111444A (VIf)(NC( 1019:iill A49393 AAt Snn (fA AU) 01114450 CDC 1.295.022 1.174.243 '1.502. 50 1424.510 0111445, FORENSIC SERVICES 2.315269 2.278483 2.714200 2457410 011144GO RECORDS SERVICES 1.0492G7 1.783.3G4 1.900490 1072.000 01114465 COMMIINICATIONS 8.0n5.259 5.971.344 7.303..870 72G6.37n 01111470 VICE A,712 262,Al2 131,910 141,270 0/114471 INVESTIGATIONS SUPPORT SERVICE 0 1.502.1 b3 1.717..510 1844.501) O 1'14475 JAI D14RAHONS 19,431,bb9 16,753444 19,534.' U 19,8>1.U1U 011144nU REGIONAL NARCOTIC SUPPRESSION 1.406 4b3 961.712 61 / 410 2b332U 01114465 1 IOMCLAND SECURITY & CRIME PRCV 456.947 189.227 255.960 261.680 01114490 TOBACCO RETAIL LICENSE PRG 157.E,46 51.290 226,150 216.80D Subtotal 132,069,709 1.12,321,013 133,908, 060 141,082,500 Fire Department 01115331) FIRE SUPPRESSIONIEMS 51.b70.917 41).641.773 49470.1 b0 51b1b.b90 Subtotal 51.870.917 46.641.773 19.170.160 51.618.690 Ping & Big Agy 01116R11i POA-MMDAN13ADULTHSC 12/,ti32 n n n 0111G017 PBA- SERVICE ENHANCEMENT U U U 2b2.600 0'.'1'I6500 PILING &BLGAGY-ADMINISTRATION 1.832984 2.29282'1 2.344.'.40 235LUSU 0111G510 PLNG& ELG AGY PLANNING 3,G2G,514 2,902,014 2,481,870 =240,1G0 01116521) PLNG&BLG AGY-PERMIT & INS SV 1.931.532 1.612.022 2.012.320 2,107.160 0'. 116530 PLNG & BLG AGY-PERMI I & PLN CK 2.095.943 '1.9550.216 '1.997.3b0 2 253560 0111GS40 PLNG& ELG AGY COMM PRESERVA 1,220,274 1,161,545 1,911,520 1G42.000 011 lb55U I'ROAC. IV RFNII-K1-CRi;1-M1-NI I'NG 475,$75 G4U, 177 UU.7.74U 7U5, 11U 0111G560 NEIGHBORHOOD INITIATIVES PROGR 595,236 532, 103 .583,4f10 631460 0/11657/) ANIMAL SERVICES U U 1.1b9.240 3,181.710 Subtotal 11.915.890 11.432.580 15.023.670 15.399,320 City Council 13 24 — 19 5/18/2021 City of Sartta Ana General Fund Expenditure Summary ACTUAL ACTUAL BUDGET PROPOSED AccL Unit DEPARTMENT & DIVISION FY 18.19 FY 19.20 FY 20.21 FY 21.22 Public Works W 11/01/ PWA-SERVICE ENHANCEMENT 0 0 0 1,s96,620 0111705 PUB WKS-CITY FCLTIES UC AGRMT 0 50,o00 125,000 125.00 01117620 PUB WKS-TRl1( FIOITRnNB CNG 3.891.907 6.432 411 2841.741.) 3.764.321) 01117E21 PUB WKS-BUS SI IEL I EH PROGRAM 0 0 55U.000 550.000 01117G25 PUB WKS-ROADWAY MARKINGISIGNS 1.127.884 604.607 533.000 600.200 011175x'b PUB WIGS-,IDFWAI K, U 0 5UU.000 0 0111 it30 PUB WKS-STREET LIGHT MAINTCNAN 2.1b2271 3."5/9.908 1.1:J6.4/0 3260.Wl) 01117842 G,ufr.li Aualctntad Pwy,mn 1.101.594 781.923 1.468.130 15D8.020 01117643 PUB WKS-SANITATION SERVICES 1.661.378 3.753219 4,064,630 3556.760 011171344 PUB WKS CROSSING GUARD 0 0 820.980 820.080 01117F.50 SARTC MaIn16I1anCe. 30,289 694,034 0 0 01117660 PUB WKS-ROAD MAINTENANCE 0 164 0 0 Subtotal 9.971.922 15.696.326 14.819,550 15,784.500 Community Development 01116017 CDA- SERVICE ENHANCEMENT 0 0 0 1,800.000 or 118810 I-CONOMIC nFVFI G�MFN 1 9113920 1402 /82 930.//0 918150 0111d611 HOMLLLSS SLRVICLS 2bb.2114 1G6.92f o24.890 401D10 or 118812 CDA ADMIN 0 91.276 105,990 193470 01118225 SALES TAX REBATE AGREEMENT 1E1,3111 758,005 2,non,o00 435,non Subtotal 1.353.596 2,611,990 3.551,650 3.798.130 Bowers Museum 01112030 BOWERS MUSEUM MAINTENANCE 1.472.764 1.472.977 1.473.430 1.474.030 General Non-Dep 01105015 GENERAL NON -DEPARTMENTAL 0110b020 UNFJNUEU LIABILI I Y (UAL) Subtotal 1,472,784 1,472,977 1,471,410 1,474,030 4.782.655 1.248222 1.010460 2.182.300 0 3(491.249 41.bl/.330 4/U24480 Subtotal 4,782,655 38,739,471 42,G3G,790 49,2013,780 TOTAL GENERAL FUND EXPENDITURES 249,358,719 290,011,023 307,565,470 329,011,140 Interfutld Transfers tI-I-106019 Transfer to F,nn 400 4.622.660 4C21.750 4.E23.300 4,622.100 prih, P I)eht .SP,.i P Wloco 19 Transfer to Fun 401 4.112,751 4,420,830 4,421,160 4,117.3,10 Police Bldg/Ross Annex Debt DI10601-Q Transfer to Funo 051 292.000 292.000 292.000 202.000 (Capital Pmj9vt'Dabt Payment) 0110b019 Transfer to --no n74 1.17,l404 1.179 400 1.179 400 74 i.S00 Civic Center Mainrcnmrcc 01106019 Transfer to Funo 012 0 8.805.315 6.7E6.708 13.016.700 Cannabis PubGr. Benefit 011o6019 Transfer to F,no OS2 1,401,672 1,428BS7 0 0 Sri sregic Plan 0110601D Transfer to Fenn n67 0 0 1,100.000 1,021.870 Santa Ana Regionaf Transpn,tahrio CPntar 11.908.487 20.758.152 18.382,560 24.173.510 TOTAL GENERAL FUND USES 261,267.206 310,769,175 325,948,030 353,184,650 City Council 14 24-20 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 15 24 — 21 5/18/2021 General Fund Miscellaneous Revenues city uounciI L4 - LL bll blLU21 W� GENERALFOND MISCELLANEOUS REVENUE ACCOUNTING UNIT MISCELLANEOUS REVENUE 011020E Account ACTUAL ACTUAL REVISED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 50011 Property Tax 37,300,701 38.846.491 40,551,352 41,/I2,200 50012 Santa Ana Residual 10.231.641 11,05,1,295 11.490.201 9,77000n 50015 Prop Tax Pass -through 1.180.207 1.370,58E 1,530,000 1.(b3,340 50016 Prop Tax -In Ltcu VLF 32.897.695 34,663,784 36.073,260 17.332.300 50020 Sales Tax 51,321,860 45.707.162 49.1%.300 53,650,00E 50021 Half -Cent Sales Tax (Safety) 2,264,065 2.110.55 2,232,H00 2.455.700 50022 Sales Tax Measure X 13,636,35 61,196,9,) 61.432.700 5b,000,00 b0030 Hurl Visitor's Tax 9.414,661 f, f39, i80 4,250,0E b,000,000 50031 Utility User Tax -Electric 11,517,537 11.001.745 11.775.000 12,000.00E 50032 Utility User Ta -(3as 2.078.050 2 434,28 2.325,000 2 400.00E 50033 Utility User Tax -Telephone ❑,:328,411 5.399.271 5.000.000 5.000.000 500:34 Utility User TmrWBLer 2,731,739 2.874.937 3.550.000 4,250,000 5n1145 6uslnesa Tax 13.115.518 13,031,757 n,3110pOt 12,200,1101 50046 Medical Marijuana Taxes 1,084,157 701,3fi7 1,191,uou 1,350,000 500.50 68s Utility 403.835 432,26E 404.701 415.700 50051 Elucbival Utility 1.235.236 1,195,806 1,287,501 1,216,1E 50053 CATV Franchise Fee 1,445,376 1.098.136 1.497.100 1.337.7E 50055 Refuse Franchise Fee —Residential 0 0 1,851,500 1,851,500 50057 Refisa Franchise Fes —Commercial 0 0 6.885.200 fi,701),uo0 50100 Commercial Cannabis - Cultivation Tax 2,000 37.727 200,0E 2b0,000 50101 Commercial Cannabis - Distribution Tax 41,23H 444,825 800.000 1,000,OOI 50102 Commercial Cannabis- Manufacturing Tax 7.000 102.329 100,000 150,000 50103 Commercial Cannabis- Testing Facility Tax 168,107 119.83 100,000 125.000 50104 Adult -Use Retail Rusiness Cannabis Tax 4,s97,319 10.947 403 16.900.00E 18,Oo0.00t 5020E DoeumHntary Stam p Tax -1.027.741 1,010,591 1.175.600 1.035.500 50201 Ilomeowner Prop Tax Subvention L')1,535 188,30E 211,600 1g1,70o 50501 Mutur Vehicle Licenses 162.361 267,287 178400 203.1E 51615 Adult -Use Retail Cannabis Oper 2.679.374 0 0 0 52340 Gas Tax From OCTA 0 301,81E 0 0 53902 Mmt.,ServicH Chan1H 2.121 1,342 0 0 57000 Expense Reimbursement 53405 80.719 52,H00 68.9E 57010 Miscellaneous Recoveries 1,58H,922 21.079 0 0 5711711 Sala of PrintHd Matarini 20 202 1,000 500 57n71 Sale of I and 2.074.846 4.000 500,00E 571182 Contributions and Donations 0 50,00E Il 57901 Indirect Cost Recovery 2,735.800 3.246.65 6,597,15 6.720,910 57960 Rental Of Property 94.804 125.243 103.000 181,000 5HIRM Eatnitig 0ii InvHslitiHnIS 823.439 1.055.897 450.000 :350,11no 58002 Net Increase(DGcfaase) In Fat 1,245,010 770,92E 0 0 59000 Tr<m5fer From Fund 025 250.000 0 0 0 SUBTOTAL REVENUES 215,741,172 260,285,358 279,162,762 293,731,15 TOTAL 215,741,172 260,285,358 279.162.762 293,731,150 City Council 17 24 — 23 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council `I 24 — 24 5/18/2021 City Manager's Office ` -01 GENERALFUND DEPARTMENT RESOURCE SUMMARY CITY MANAGER ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01103010 CITY MANAGER 2,536,336 1,824,320 1,727,880 2,435.810 01103017 CMO- SERVICE ENHANCEMENT 0 U 0 200,000 TOTAL EXPENDITURES 2.536.336 1,324,320 1,727,880 2,635.810 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61DUO SALARItS 8 6tNtI I IS 4139,33ti 1,2U3,635 1,268,3UU 1,741J,370 62000 CONTRACTUALS 202.306 354.935 198,300 486,30D WAMM COMMODITIFS 30 915 25 813 3R 350 'iH 350 65000 FIXED CI IARGES 163,879 239,937 222,930 170,790 2.536.336 1,824.320 1.727.880 2.635.810 TOTAL City Council 1001 24 — 26 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY CITY MANAGER ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01203010 CITY MANAGER ENFORCEMENT SERVICES 0 2.935 0 0 TOTAL EXPENDITURES 0 2.935 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 0 848 0 0 62000 CON I KAC I UALS U 2,066 U U 0 2.935 0 0 TOTAL City Council 21 24 — 27 5/18/2021 CATV FUND DEPARTMENT RESOURCE SUMMARY CITY MANAGER ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50054 CAN Peg AGGe55 Support 0 0 240,000 240,000 58000 Elming On Investments 0 U 13,000 10.000 0 0 253.000 250,000 TOTAL REVENUES EXPENDITURES 02103010 CAN CAPITAL SUPPORT (PEG) 0 0 253.000 250,000 TOTAL EXPENDITURES 0 0 2 3.000 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CGNTRACTUALS 0 0 153,000 20D,00D WAMM commonITIFS 0 (1 100000 50000 0 0 253,000 250,000 TOTAL City Council PIPa 24 — 28 5/18/2021 CITY SERVICES DEPARTMENT RESOURCE SUMMARY CITY MANAGER ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 55100 Cannabis Fines 137,500 0 0 0 TOTAL REVENUES 137.500 0 0 0 City Council PAI 24 — 29 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council pZ11 24 — 30 5/18/2021 City Council P4� GENERALFUND DEPARTMENT RESOURCE SUMMARY CITY COUNCIL ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01104012 CITY COUNCIL LEGISLATIVE 448,941 486,568 489,780 534,280 TOTAL EXPENDITURES 448.941 486.568 489.780 S34.280 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 108,018 13(1,708 122,200 136,100 62DUD CON I HAC I UALS 1 U04d7 241,455 25H,500 31 1,3UU 63000 COMMODITIES 31.173 33.626 34,000 34,OOD f74f10f1 FIXFD CHARGFS 59 J04 74,780 75 (Of) 117,11180 448,941 486,568 489,780 534,280 TOTAL City Council PT-1 24 — 32 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council PAIR 24 — 33 5/18/2021 Clerk of the Council City Council 24 — 34 5/18/2021 PVI. GENERAL FUND DEPARTMENT RESOURCE SUMMARY Gi11;I:7 (r7aioIairilfIIIJQII ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01107017 COTC-SERVICE ENHANCEMENT 0 0 0 50.000 U1107031 CIFRKOFTHFCOUNCII-ADMIN 1.306.248 1.720.280 1,355,60 1420.700 TOTAI FXPFNDITURFS 1,00Pi,249 1,720,2Ho 1,(155,0110 1,471),7!)0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 791.821 538.752 603.230 789.650 b211011 CON I KACI UALS J9l,bJ8 1,W1 ,9b/ b/6,4110 bb1,200 63p00 COMMODITIES 40.228 18,452 35.000 24,700 65000 FIXEDCHARGES 76.661 127.118 140.970 105.240 1.306.248 1.720.280 1.355.600 1.470.790 TOTAL City Council Me 24 - 35 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 1011 24 — 36 5/18/2021 City Attorneys Office City Council 24 — 37 5/18/2021 31 GENERAL FUND DEPARTMENT RESOURCE SUMMARY CITY ATTORNEY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 011061110 CAO-MMD AND ADULT USE 535,210 0 11 0 01108032 CITY ATTORNEY 2,777,227 2,789,266 2.%0,260 2,9bb,14 TOTAL EXPENDITURES 3.312.444 2.789.266 2.950.260 2.955.140 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY20-21 FY 21-22 (00011 SALARIES88ENEFITS 2,317,132 1,751,289 1,872,130 1,925,200 62000 CONTRACTUALS 714.722 669,738 695,000 695,000 a3000 COMMODITIES 30,591 13,56tf 40,000 40,000 65000 FIXED CHARGES 246.601 341.158 342.830 294.940 66000 CAPITAL 3,308 13,513 0 0 3,312,444 2,789,266 2,950,260 2,955,140 TOTAL City Council [IPA 24 — 38 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY CITY ATTORNEY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01208010 CITY ATTORNEY ENFORCEMENT SERVICES 0 302,707 9H7,350 71H,H40 TOTAL EXPENDITURES 0 302,707 907,350 718,M0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS& RFNFFITS 0 963,109 179,O60 189,080 62000 CONTRACTUALS 0 0 565.820 300.000 65000 FIXED CHARGES 0 39.599 241.570 229.860 0 302,707 987,350 716,940 TOTAL City Council 1931 24 — 39 5/18/2021 CITY SERVICES DEPARTMENT RESOURCE SUMMARY CITY ATTORNEY ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTED FY 20-21 PROPOSED FY 21-22 REVENUES 57995 CAC)- Medical Marijuana Dispensaries o 0 s4,a0u ❑ TOTALREVENUES 0 0 34,800 0 City Council RL! 24 — 40 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council Kby 24 - 41 5/18/2021 Human Resources City Council 101 24 — 42 5/18/2021 GENERALFUND DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01109017 HR- SERVICE ENHANCEMENT 0 0 0 115,540 01109050 HUMAN RESOURCES 1,699480 1,920,022 2,8e7,790 3,339,650 TOTAL EXPENDITURES 1.699.430 1,920,922 2,897,790 3,455.190 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARItS 86tNtI I IS 1,287,9U2 1,369435 2,239,140 2,746,380 62000 CONTRACTUALS 249.271 327.637 398,200 407,910 WAMM COMMODITIFS 97797 05407 G7800 11R000 65000 FIXED CI IARGES 64,550 158449 192,650 244,900 1.699.480 1,920.922 2.897.790 3.455.190 TOTAL City Council R31 24 — 43 5/18/2021 AIR QUALITY IMPR. (AB 2766) DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 031090FO HUMAN RESOURCES -AIR QUALITY IMPROVM 63,325 14,032 145,130 144,470 TOTAL EXPENDITURES 63.325 14.052 145.130 144.470 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 22,R82 3,201 57,710 57,370 62DUD CON I KAC I UALS 1,352 1,171 3,000 3,000 63000 COMMODITIES 1.436 3.200 7,000 7,DOD f7500f1 FIXFD CHARGFS 75fifi Ei54fi 22420 27100 69000 MISCELLANEOUS 30,OB9 (65) 55,000 55.000 63.325 14,052 145,130 144.470 TOTAL City Council 10.1 24 — 44 5/18/2021 STRATEGIC PLAN PROJECTS DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 00209018 HUMAN RESOURCES STRATEGIC PLAN PROJ 159,038 149,291 0 0 TOTAL EXPENDITURES 159.038 149.291 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 148,849 130,177 0 0 62DUD CON I HAC I UALS 1,544 13, 1 14 U U 63000 COMMODITIES 274 0 0 D f75000 FIXFD CHARGFS 8371 0 0 0 159,038 149,291 0 0 TOTAL City Council 24 — 45 5/18/2021 LIABILITY AND PROPERTY INS FND DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56000 Charges To Departments 8,G44479 8,787,749 10,787,750 10,787,750 57000 Expense Relmnmrsement 47,966 O 0 D 57010 MISWIaI1COLIS Recoveries 11343 19,952 400.000 400,000 57019 Insuranre Reimbursement 0 1.256.364 0 300.000 56I)Ot) Earning On II1V8Stn16n[S 198,5H5 110,032 150,000 IFID,000 58002 Net Increase (Docreaso) In Fat 438.129 111.072 0 0 TOTAL REVENUES 9.240.h03 10.285.159 11,J:17.i50 11,(j3 �. /!i0 EXPENDITURES 08009051 LIABILITY & PROPERTY INS FUN❑ 10,990,28G 9,5G9,095 11,202,100 16,801,340 OHIN9052 SAFETY PROGRAM 0 20,204 1H7,500 447,3110 08DO9053 RISK MANAGEMENT PROJECTS 0 278.469 0 0 TOTAI FXPFNDITIIRFS 10,,990,286 9,867,769 11,389,G00 17,24R.640 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 558.781 808.893 771.340 743.721) C2000 CONTRACTUALS 798.383 1.092.648 1.108.820 1.188.620 h3000 COMMODITIFS 33,839 31,659 106,/W 3,30fi,/90 64000 INSURANCE&CLAIMS 9.382.586 7.509.040 9.093490 11.861.670 65000 FIXED CHARGES 139.043 145.021 271.160 124.840 56000 CAPITAI 77,953 73(1.508 98.(1p0 18.01A) 10.990.286 9.867.769 11.389.600 17.248.640 TOTAL City Council 041 24 — 46 5/18/2021 EMPLOYEE GROUP INSURANCE DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 55000 Charges To Departments 19,141,060 20,682,379 23,852,900 21,317.000 5ti040 Benefit Overhead Charge 0 U 400,000 400,000 56800 Employee Contribution 1.817.734 2,208,330 2,395,000 2.450.000 56301 Medical Contribution 213,341 229,436 170,000 240.000 5t,h02 Child Cara Contrihution 81,915 102,h02 88,000 97.000 56804 POA Retiree Health Insurance 1.019.287 1.087.445 1.273.00 2.601.000 58000 Earning On Investments 9,807 1,822 1 3,000 31000 TOTAL REVENUES 22.293.044 24.312.213 28.181.900 27.108.000 EXPENDITURES 08109052 SECTION 125 BENEFITS. 303,851 i2i),710 267,h00 346,500 08109053 EMPLOYEE GROUP INSURANCE 22.906.301 24450.992 28,881,970 28,991.990 TOTAI FXPFNDITt1RFS 23,210,151 24,7R0,702 29,142,770 29,33R,400 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 975.069 780.656 874.690 936.730 62000 CONTRACTUALS 113.802 116.025 1.59.200 1.471.700 163000 COMMODITIFS 12,4(i9 9,i48 90,000 70,000 64000 INSURANCE & CLAIMS 21.875.377 23.672.335 2T803.700 26.548.900 65000 FIXED CHARGES 233435 208.939 292.180 361.160 23,210,151 24,780,702 29,149,770 29,338,490 TOTAL City Council 41 24 — 47 5/18/2021 WORKERS COMPENSATION FUND DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56000 Charges To Departments 7409,294 8,771,739 91600.000 9.600.000 5c900 Principal Repayment 0 U 2e2,000 292,000 57006 Expensc Reim6urscment-Condemn 2.084 570 126.000 126,000 57010 M,sGellaneous Reoovenes 0 12G.393 0 0 56I)Ot) Eanling On Investments 20(i3OH3 212,460 115,000 115,001) 58002 Net Increase (Decrease) In Fal 382.631 157.815 0 0 TOTAL REVENUES 8.000.092 9.28.632 10.133.000 10.133.000 EXPENDITURES 08209052 SAFETY PROGRAM 0 2G.818 187,500 417,300 OH2O9054 WORKERS COMPENSATION FUND 10,558,129 9,145,07,1 11,135,650 9,SH9,320 TOTAL EXPENDITURES 10.558.129 9,171,891 11.323,150 10,006.620 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES 8 BENEFITS 668,C40 792,94E 618,240 618,810 62000 CONTRACTUALS 1498.172 1.731.296 1.398480 2.346.350 Ci3000 COMMODITIES 4.759 29.703 87.020 291.000 h41)01) INSURANCF R CI AIMS 8,221,/e0 fi,394,30 8,410,900 6,1100,000 65000 FIXED CI IARGEU 164.808 222.950 258.510 250.460 66000 CAPITAL 0 634 20.000 0 10,558,129 9,171,891 11,323,150 10,006,620 TOTAL City Council EPA 24 — 48 5/18/2021 QUALITY SERVICE TRAINING DEPARTMENT RESOURCE SUMMARY HUMAN RESOURCES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58000 Eaming On Inveslmenls 3,113 0 5,000 0 TOTAL REVENUES 3.113 0 5.000 0 EXPENDITURES 08HM050 DUALITY SERVICE TRAINING 0 23,688 155,000 0 TOTAL EXPENDITURES 0 23,688 155.000 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CON I RAC I UALS U 23,666 155,000 U 0 23,688 155,000 0 TOTAL City Council ER] 24 — 49 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 24 — 50 5/18/2021 Finance and Management Services City Council W 24 — 51 5/18/2021 GENERALFUND FINANCE DEPARTMENT ACCOUNTING UNIT FINIMGMT SVS-MANAGEMENT & SUPT 01110002 Account ACTUAL ACTUAL ADOPTED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 51001 Binqu Liccnscs 174 120 0 0 51002 Dug Licenses 623.696 625.035 615.000 550.000 511103 Dog LloansRr Chic COIl9Ctlons 8jmi 2.1,423 60,000 RI1,0011 b2364 SB 1186 0 0 b,200 b, 100 52365 AB678 GrOLIUd Emerg. Medical Tr (113.255) (1G0.812) 0 0 523f;li CASp Certification Training Find 16517 15,544 11 0 53901 Slop PmuReissuc FCC 149 90 200 200 53902 Misc Service Charge 177.931 0 0 0 57(19(1 Expense- RellnoUrsernont 29,985 35.399 f".0 0 6,0011 57010 Miscellaneous Recovenes 1,485 20,481 1,000 1,000 57796 Treasury & Acrounting Reimbursement 0 2.300 420 0 0 57900 Bed Check Recoveries 23,399 15.102 25.000 1,000 58001 Stole Deved Check, 0 (3,905) 0 0 828,131 2,879,898 712,400 623,300 SUBTOTAL REVENUES TOTAL 828,131 2,879,898 712,400 623,300 City Council EW 24 — 52 5/18/2021 GENERALFUND DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01110100 FIN/MGMT S(/S-MANAGEMENT&SUPT 1,075490 1,218,234 1,327440 1,515.730 0111011/) FIN/MGMT SVS-ACCOUNTING 2,1.15454 2,310,50f, 2,594,9n) 2,748.810 01110115 FIN/MGMT SVS-PAYROLL 734.970 929,111 963.660 1.029.880 01110120 FIN/MGMT SVS-PURCHASING 657,329 691,972 782,090 391,720 0111/)130 FIN/MGMT SVS-TREAS/CUST SVS 1,352,(164 3413,137 2,67t,800 2,9f,2.420 01110131 FIN/MGMT SVS-MUNICIPAL UTILITY SERVICES 0 0 1 928.940 1.214.880 TOTAL EXPENDITURES 0.99b.90! 3,002,900 0,213,810 10,116.190 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 6.370.377 6.104401 6,959,660 7,999.91D 62000 CONTRACTUALS 754404 900.102 1.078.180 1.248.430 63000 COMMODITIES 178,398 150,550 198,790 198,790 65000 FIXED CHARGES (1.408.117) 1.269.523 945.120 873.150 MOW CAPITAL 0 75.754 30.000 30.000 66000 TRANSFFRS 5i,535 11)',")t0 5?,:iGO 51,/10 69000 MISCELLANEOUS 8.3D9 10.360 9.500 9.SOD TOTAL 5,955,907 8.562.960 9,273,840 70,416,490 City Council EVA 24 — 53 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01210010 FINANCE ENFORCEMENT SERVICES 0 100,567 354,030 359.960 TOTAL EXPENDITURES 0 100.567 354.030 359.960 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 0 100,507 08480 F15,230 62DUD CON I KAC I UALS U 0 255,550 255,550 65DOO FIXED CHARGES 0 0 0 9.18D TOTAL 0 100,567 354,030 359,960 City Council 24 — 54 5/18/2021 COUNCIL SPECIAL PROJECTS FUND DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES O010024 FINANCE INFORMATION TECHNOLOGY 69,770 73,661 0 0 TOTAL EXPENDITURES 69.770 73.661 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 50,952 73,001 0 0 63000 COMMOUI IItS 5,348 0 U U 66DOO CAPITAL 13.470 0 0 D TOTAL 69,770 73,661 0 0 City Council 061 24 — 55 5/18/2021 STRATEGIC PLAN PROJECTS DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES O 210018 FINANCE STRATEGIC PLAN PR0.1 65,340 89,046 0 0 TOTAL EXPENDITURES 65.340 89.046 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 58,994 64,030 0 0 63000 COMMOUI IItS 6,346 25,0 16 U U 65.340 89,046 0 0 TOTAL City Council 691 24 — 56 5/18/2021 CENTRAL SERVICES DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 55000 Charges To Departments 687,675 0 0 0 5h010 Delivery Charges 0 84,145 84,140 84,140 56011 Postagc Charge 0 166,095 174.460 166,100 56012 ReprographiC5 Charge 0 183.379 503,130 188,330 56000 Earning On InV8Stnlen[S 4,563 21ri53 4,o00 2.850 TOTAL REVENUES 692,23E 441,472 765.730 441,470 EXPENDITURES 07110100 FINWGMT-CENTRAL SVCS 740.717 59840E 765.730 746.170 TOTAL EXPENDITURES /40/1/ 098.406 l55. (:10 Mp.1/0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 270.84E 220,947 251,360 266,190 62000 CONTRACTUALS 131.158 32667 57200 57.200 63000 COMMODITIES 203,696 197,649 259,310 249,210 65000 FIXED CHARGES 134464 147.144 144.860 173.471) 66000 CAPITAL 0 0 .53.000 0 6I000 DFRT SFRVICF 5s1 1 0 0 0 740.717 598.408 765.730 746.170 TOTAL City Council 51 24 — 57 5/18/2021 457 ADMIN PLAN DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 57991 M,SGellaneous ReGeiplS 0 0 0 100 57944 Deferred comp Plan Fees 0 U 0 54,500 0 0 0 54,000 TOTAL REVENUES EXPENDITURES 10010172 SECTION 457 FIDUCIARY ADMIN 0 0 0 54,500 TOTAL EXPENDITURES 0 0 0 i4 500 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62D00 CONTRACTUALS 0 0 0 28,00D f79f10f1 MISCFI I ANFOI1S (1 (1 0 21t 500 0 0 0 54,500 TOTAL City Council 24 — 58 5/18/2021 CARES ACT DEPARTMENT RESOURCE SUMMARY FINANCE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52009 Fetleral Granl-hnsrecl COVID 0 466,778 0 0 58000 Earning On Investments 0 1,730 0 0 0 468,517 0 0 TOTAL REVENUES EXPENDITURES 17410100 CARES ACT -COUNTY FMSA 0 361,406 1 0 0 TOTAL EXPENDITURES 0 361,406 Il 0 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 271.946 0 0 WAMM COMMODITIFS 0 84460 0 0 0 361,406 0 0 TOTAL City Council 6-w 24 — 59 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 24 — 60 5/18/2021 Library GENERALFUND LIBRARY ACCOUNTING UNIT SERVICES REVENUE 01111002 Account ACTUAL ACTUAL ADOPTED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 53201 Passport Fccs 0 1 0 0 53202 Library Microfiche Rentals 1.353 1.784 500 0 53203 Library Vldan Kantals 2,453 1,632 2,4011 II bb200 LiLiary Finns 384b0 28,69b 31,600 0 55201 Lost/Darnaged Library Material 4.540 3.317 3.700 5.000 55701 1 osMOHmaged Uncataloged MHter 10 10 11 0 57000 Expensc Keimburscmem 1,124 0 0 0 57200 Other Library Recoveries 1.156 647 900 1.600 49,586 36,086 39,100 6,600 SUBTOTAL REVENUES TOTAL 49,586 36,086 39,100 6,600 City Council 6r.1 24 — 62 5/18/2021 GENERALFUND DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01111017 LIBRARY- SERVICE ENHANCEMENT 0 0 0 209,080 01111110 ADMINISTRATION 0 U 775,250 1,043,100 01111150 ADULT SERVICES 1352.701 4,438,612 1,629,530 1,066390 01111160 YOUTH SERVICES 852,370 0 911,110 925,120 01111 Hit) YOUNG ADULT SERVICES ti79,ti90 0 694,740 828,3u0 01111190 TECH & SUPPORT SVCS 1.540.291 0 1 1.446.960 1.791.960 TOTAL EXPENDITURES 4,42bb93 4.438.ti12 04 b8.U90 b.b64.3�0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 3.360.724 3.030,898 3,821,000 4,218.240 62000 CONTRACTUALS 476.060 436.755 596,060 656.700 63000 COMMODITIES 285,013 67,792 99,250 97.000 65000 FIXED CHARGES 213476 706.258 708.080 693.900 66000 CAPITAL 140.281 178.564 211.000 175.000 6/000 DFRT SFRVICF 0 18,'l1i9 93,:i00 73,b00 69000 MISCELLANEOUS 0 76 0 0 TOTAL 4,425,553 4.438.612 5,458,890 5,884,340 City Council 14-W 24 — 63 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01211020 Library Youth Services 0 0 0 2.000.000 TOTAL EXPENDITURES 0 0 0 2.000.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 0 0 0 22R,010 62DUO CON I KAC I UALS U 0 U 344AUU 63DOO COMMODITIES 0 0 0 139,60D f7Gf10f1 CAPITAI (1 (1 0 1 2H7 WD 0 0 0 2,000,000 TOTAL City Council 6m. 24 — 64 5/18/2021 LIBRARY FEE AND DONATION DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 02211150 LIBRARY FEE AND DONATION 0 751 25.200 27.700 TOTAL EXPENDITURES 0 751 25.200 27.700 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 0 0 12,400 63000 COMMOUI IItS U 751 25,2U0 15.300 0 751 25.200 27.700 TOTAL City Council Wfl 24 — 65 5/18/2021 PUBLIC LIBRARY GRANT FUND DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52040 Grant-GUrer 0 2,000 0 0 TOTAL REVENUES 0 2.000 0 0 EXf ENDITURES 15211151 LIBRARIES READY TO CODE 18,113 U 0 0 15211152 CENSUS EQUITY GRANT 0 2,000 1 0 0 TOTAL EXPENDITURES 10 11.3 2 000 0 0 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 15462 0 0 0 Wi000 COMMODITIFS 18 7000 0 0 65000 FIXED CI IARGES 2,633 0 0 0 18,113 2,000 0 0 TOTAL City Council E:ii1 24 — 66 5/18/2021 LIBRARY GRANTS DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52000 Federal Granl-DireGl 67,133 0 0 0 67.133 0 0 0 TOTAL REVENUES EXPENDITURES 15111160 IMLS Uhrary Federal Grant 20,33ti U 0 0 TOTAL EXPENDITURES 20.336 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61DUO SALARItS 8 6tNt1 I IS 6,621 0 U 0 62D00 CONTRACTUALS 13.003 0 0 D WAMM COMM[)nn-IFS 3723 0 0 0 65000 FIXED CI IARGES (12) G 0 0 20,336 0 0 0 TOTAL City Council 24 — 67 5/18/2021 LIBRARY SVCS & TECHNOLOGY ACT DEPARTMENT RESOURCE SUMMARY LIBRARY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Fe(feral Grant -Indirect 6,530 0 0 0 6.580 0 0 0 TOTAL REVENUES EXPENDITURES 15411143 LSTA-GRANT AWARDS 2Q281 0 0 0 TOTAL EXPENDITURES 26.281 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARItS & 6tNt1 I IS 22,854 0 U 0 63000 COMMODITIES (321) 0 0 0 fi5f)(M FIXFn CHARGFS 374H 0 0 0 F 26,281 0 0 0 TOTAL City Council R-PA 24 — 68 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council rv. 24 — 69 5/18/2021 Parks,, Recreation mrk Community Services rm GENERALFUND PARKS, REC. & COMMUNITY SERVICES ACCOUNTING UNIT REC COMM SVS-MGRL/SUPPORT SVS 01113002 Account ACTUAL ACTUAL REVISED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 51301 Filming Permits 4.134 5.764 3.200 3.200 5.,imi Center Programs 94,742 68,842 11 rin,1nn 5:1303 Youth Sports 33,809 32,93c 0 20,500 53304 Pool Charges 23,723 20,790 0 0 53307 Youth Field Usage Fee 53.167 56.425 0 53.600 53308 Park Reservalion 185.927 160.384 0 133.800 53309 Cunwe6ion-Vending Machines 3,9u(j 3,900 2,900 2,900 c3310 Zoo Education 190.847 73A 15 0 77.500 53312 Zoo Admissions 1.132496 718,691 300.000 1.046.900 53313 Food Sale Concession 23.021 15.657 0 25.200 0331!) Stadiuwn Special Fees Or0 0 0 0 63316 Leisure Classes 226,515 152,247 0 172.100 53318 Tennis Reservation 52.233 28.414 0 0 53319 Recreation Staff Reimbursement 34.573 32.025 27.400 27400 53331 City Fvents 11734 35,573 7.50(1 D 5701n M1srallanaous Raeovenas 7455 S,471 12,701) 12,701) 67301 Recreation Expense Roimburseme 3.953 3.437 3.000 3.000 57304 Rancho Santiago Reimbursement/ 45.711 41.031 24.600 24.600 57361 Recreation Facility Rental 35,604 20.971 927 25.900 bt362 Rental Of Stadium 9/,b02 128,128 12,436 93,/u0 57380 Friend Of Zoo Vet contribution 60,000 60,000 30,000 60,000 57383 Friend of Zoo Contribution 73.390 19.768 10.000 S8.800 6738S Friend of Zoo Education Contri 40.000 40.000 20.000 40.000 F7390 PRCSA G0(11he7 High SO11001 (4,712) 6,1 F)2 0 0 67090 Miscellaneous Income 0 22,312 0 0 SUBTOTAL REVENUES 2,434,390 1,753,342 454,663 1,941,900 TOTAL 2.434.390 1.753.342 454.663 1.941.900 City Council 65 24 — 71 5/18/2021 GENERALFUND DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01113017 PRCSA- SERVICE ENHANCEMENT 0 0 0 5.205.750 0111320/) PRCSA- ADMINISTRATION 1,547,384 1,186,583 1,448,530 1,482.700 01113220 PRCSA-ZOO 2.189.768 2,454,281 2,757,270 2.311.780 01113230 PRCSA- RECREATION S COMM. SVC 5,247,627 5,207,478 7,042,420 E;JF2,080 0111.1250 PRCSA-PARK FACILITIES 5443416 10.303,622 11,269,900 h,551.h40 TOTAL EXPENDITURES 14.428.198 19,151,965 22.518,120 23,315.150 ACTUAI ACTUAI ADOPTFD PROPOSFD OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES B BENEFITS 7,019,289 7,443,299 10,641,310 10,214.460 62000 CONTRACTUALS 5.635.159 7.882,519 8,458,740 9,846.520 63000 COMMODITIES 992.923 1.042.447 1.418.420 1.166.200 65000 FIXED CHARGES 752,941 1,836,801 1,974,250 2,082.070 66000 CAPITAL 0 916.982 0 U Ci7000 DEBTSEHVICE 27.885 29.916 25400 55.900 14,428,198 19,151,965 22,518,120 28,315,150 TOTAL City Council RW 24 — 72 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01213020 PRCSA YOUTH SERVICES 0 4,341 3.203.350 7,537,690 01213021 PRCSA YOUTH SERVICES -DEFENSE 0 U 100,000 100,000 TOTAL EXPENDITURES 0 4,341 3,383,35D 7,637,690 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61DUO SALARItS 86tNtI I IS U 1U7 569, 180 1,074,660 62000 CONTRACTUALS 0 4.145 1.124,270 677,700 WAMM COMMODITIFS 0 0 114900 45200 65000 FIXED CI IARGES 0 0 0 64,610 66000 CAPITAL 0 0 1,075,000 5,343,520 69000 MISCELLANEOUS 0 0 I 500.000 362.000 0 4,341 3,383,350 7,637,690 TOTAL City Council 24 — 73 5/18/2021 CATV FUND DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50054 CATV Peg Access Support' 221.701 186.701 0 0 58000 Farning On Investments 17,561 20,655 0 0 TOTAL REVENUES 239,262 207,356 0 0 EXPENDITURES 02113200 CATV CAPITAL SUPPORT (PEG) 106.703 215944 0 0 TOTAL EXPENDITURES 106.703 215.944 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 499 1.286 0 0 01000 COMMOI7ITIFS H9511 51772 0 0 Gti000 CAPITAL 1(;,(,7,1 1w,u86 0 0 TOTAL 106,703 215,944 0 0 A Transterred tunction to City Manager's Ottice in FY 20-21 City Council DR 24 — 74 5/18/2021 PRCSA FEE & DONATION DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 57010 Miscellaneous Recuvenes 47,338 14,330 0 0 57081 Gifts & Donations 8,418 3,190 0 0 58000 Earning On Investments 8.777 10,470 0 0 (K$32 28,010 1) 0 TOTAL REVENUES EXPENDITURES 02213200 PRCSA FEE & DONATION 15,166 83,856 20.000 110,300 TOTAL EXPENDITURES 15.166 83.856 20.000 410.800 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 f72000 CONTRACTUAL S 10 624 3 000 0 2G1 H00 63000 COMMODITIES 4,542 1,312 20,000 149,000 66000 CAPITAL 0 79,544 0 0 15.166 83.856 20.000 410,800 TOTAL City Council 24 — 75 5/18/2021 CAPITAL OUTLAY FUND DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53332 Baseball Surcharge 5,732 6,273 0 0 57383 Cell Tower Lease Agreement 625,911ti 615,6ti0 200,000 600,000 631.688 621,932 200.000 600,000 TOTAL REVENUES EXPENDITURES 05113263 PARKIMPROVEMENTS 277.698 681,545 1 200.000 2.588.400 TOTAL EXPENDITURES 277,698 681,545 200,000 2,58i1.4011 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 0 246 0 0 f12000 CONTRACTUAL S 57 973 601160 10O 000 170 WM 63000 COMMODITIES 24,019 0 100,000 900,000 65000 FIXED CHARGES 4.204 34,328 0 0 66000 CAPITAL 191.601 586.811 0 1.518.200 277,608 681,545 200,000 2,588,400 TOTAL City Council Kd 24 — 76 5/18/2021 STRATEGIC PLAN PROJECTS DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 00213018 PRCA STRATEGIC PLAN PRO J 1,276,600 734,648 0 0 TOTAL EXPENDITURES 1.276.600 734.648 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 1,074,650 014,3fl0 0 0 62DUD CON I HAC I UALS 68,642 103,570 U U 63000 COMMODITIES 50.134 16.682 0 D f14f10f1 FIXFD CHARGFS H1795 (1 0 f1 660D0 CAPITAL 379 D 0 0 1.276.600 734,648 0 0 TOTAL City Council 71 24 — 77 5/18/2021 CIVIC CENTER MAINTENANCE DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53322 Civio Center Projert Charges 345,649 1,321 421 3,520.930 0 53323 CIVIC Center Maintenance Ching 1,162,959 1,877,312 2,137,270 2,137,270 53324 Civic Center P01ICC Security 1.717.448 2,576,607 2,000,000 2.000.000 59000-011 Tran5fer From Fund 011 1,179,404 1,179,400 1,179.400 743.500 TOTAL REVENUES 4405459 6.954.740 8.837.600 4.880.770 EXPENDITURES 07413015 NON -DEPARTMENT CIVIC CENTER 1, 179404 1,179402 1,179400 743,500 07413250 CIVIC CTR-REGULAR MAINTENANCE 1.529.032 1.385.636 2.107.820 2.130.270 074132GO CIVIC CTR-CAPITAL PROJECT 732,590 1,576,752 3,325.000 0 TOTAL EXPENDITURES 3441.02f3 4.141.790 6.612.220 2.873.770 ACIUAL ACIUAL AUOPI ED PROPOSED OPERATING EXPENSES FY 1$-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 460.742 289205 471.020 424.180 62000 CONTRACTUALS 933,C49 960,78E 1,489,800 1,489.800 63000 COMMODITIES 46401 40.627 60.690 85.090 C5000 FIXED CHARGES 140.730 213.127 86.310 131.200 66000 CAPITAI 680,101 1,494,06E 3,3J9,0011 0 67000 DEBT SERVICE 0 4.576 0 0 69000 MISCELLANEOUS 1.179404 1 1.179402 1 1.179400 1 743.500 3,441,02E 4,141,790 6,612,220 2,873,770 TOTAL City Council rya 24 — 78 5/18/2021 REC/COM SVS ST URBAN OPEN SPAC DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 Slate GranjyD,reGl 2,963,563 0 0 0 TOTAL REVENUES 2.963.563 0 0 0 EXf ENDITURES 1 F113282 STATE RESOURCES AGENCY GRANT 17439 4E,2,734 0 0 16113266 PRP 84 PARK PROJ 456.600 0 0 0 16113267 HOUSING -RELATED PRKS GRNT HRPP 518, 109 0 1 0 0 TOTAL EXPENDITURES 992.148 462.734 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 fi0000 CAPITAI 537 660 467 734 0 0 69000 MISCELLANEOUS 454488 0 0 0 992.148 462,734 0 0 TOTAL City Council VAR] 24 — 79 5/18/2021 RECREATION GRANTS FUND DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52040 Grant-OOrer 143,036 275,690 215,000 301,450 58000 Earning On Investments 3.17 682 0 0 143.423 276,372 215.000 301,450 TOTAL REVENUES EXPENDITURES 16913202 OCTA SR MOBILITY PROGRAM 167.059 143,063 217.020 301,580 16913265 PRCSA Health Grant (NRPA) 0 9,594 1 0 0 TOTAL EXPENDITURES 167.059 152.658 21T020 301.580 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 f71000 SAI ARIFS R RFNFFITS 1111,928 84 ❑17 154 150 19fi 9,0 62000 CONTRACTUALS 4,678 2,523 8,400 10,000 63000 COMMODITIES 132 13,530 0 0 65000 FIXED CHARGES 46.420 52.563 54.270 94 (320 167,050 152,658 217,020 301,580 TOTAL City Council vGI 24 — 80 5/18/2021 NATL RECREATION TRAILS FND ACT DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 282 314 0 0 TOTALREVENUES 282 314 0 0 City Council ml 24 — 81 5/18/2021 REC/COMM SVS DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 57304 RanrhO Sariliequ Reimt)ursenieritl 92,671 30,781 0 0 58000 Earning On Investments 18 36 0 D 92.689 30,818 0 0 TOTAL REVENUES EXPENDITURES 30113260 RECICOMM SVS ACQ & DEV 87.123 40,445 1 0 D TOTAL EXPENDITURES 87,123 4(1,44$ Il D ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62DOO CONTRACTUALS 87.123 40445 0 D 87,123 40,445 0 0 TOTAL City Council VIM 24 — 82 5/18/2021 RESIDENTIAL DEVELOP DISTRICT 1 DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53300 Dlslrirl Park A & D Fees 433,633 57,793 0 0 58000 Earning On Investments 4a1,377 57,351 0 0 433.060 115,145 0 0 TOTAL REVENUES EXPENDITURES 31113260 RESIDENTIAL DEVELOP DISTRICT 1 164.466 368,034 1 0 0 TOTAL EXPENDITURES 164,466 368,034 0 0 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 164466 368.034 0 0 184,466 368,034 6 0 TOTAL City Council WA 24 — 83 5/18/2021 RESIDENTIAL DEVELOP DISTRICT 2 DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53300 Di5jr1Gt Park A & D Fees 270,234 876,298 0 0 58000 Earrllny On Investments 64,153 68,742 G5,000 0 334.437 945,040 65,000 0 TOTAL REVENUES EXPENDITURES 31213260 A & D 755.859 661,630 550.000 964,000 31213261 A & D IN LIEU 123,260 96,522 0 F1.000 TOTAL EXPENDITURES 879.118 758.152 550.000 1.018.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 f70000 CAPITAI 489 786 799 157 550 000 1 019 000 69000 MISCELLANEOUS 389,332 0 0 0 879.118 758,152 550,000 1.018.000 TOTAL City Council rn 24 — 84 5/18/2021 RESIDENTIAL DEVELOP DISTRICT 3 DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53300 Di5lf1pt Park A & D Fees 4,796,802 84,565 0 0 58000 Earning Cm Investments 10b),742 141,706 110,000 70.000 4.906.544 226,273 110.000 70,000 TOTAL REVENUES EXPENDITURES 31313260 A & D 539.207 0 2,800,000 70.000 31313261 A & D IN LIEU 108,950 76.501 0 0 TOTAL EXPENDITURES 698.157 76.501 2.800.000 70.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 f15000 FIXFn CHARGFS 31 930 0 0 0 66000 CAPITAL 500, 199 76,501 2,900,000 0 69000 MISCELLANEOUS 166.028 0 0 70.000 698.157 76.501 2,800,000 70.000 TOTAL City Council Wel 24 — 85 5/18/2021 RESIDENTIAL DEVELOP DISTRICT 4 DEPARTMENT RESOURCE SUMMARY PARKS, REC. & COMMUNITY SERVICES ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53300 Di5jr1Gt Park A & D Fees 486,576 131,246 0 0 58000 Earnlny Cm Investments 10,728 21,700 0 0 506.304 152,946 0 0 TOTAL REVENUES EXPENDITURES 31413260 A & D 149.403 593,465 1 0 0 TOTAL EXPENDITURES 14y 403 593,465 0 0 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 27.949 0 0 f)4000 FIXFI7 CHARGFS 309H 0 0 0 66000 CAPITAL 146,304 565,516 0 0 149.403 593,465 0 0 TOTAL City Council F-01 24 — 86 5/18/2021 LEFT BLANK City Council RE 24 — 87 5/18/2021 Police Department FIN GENERAL FUND POLICE DEPARTMENT ACCOUNTING UNIT POLICE - OFFICE OF CHIEF 01114002 Account ACTUAL ACTUAL REVISED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 50503 SB90 State Mandated Costs -Reim 104.516 205.260 88.000 83.000 0110E POST Heimhursement 4l')9O 57643 553Hfl at)JIM) 50506 AS 100 RoinibLIISCniellt 423.655 472,159 480,000 480,000 51401 Alarm Permit Fees 95.385 99.344 100.000 100.000 51402 Street Closure Permits 6.630 3.186 6.000 2.000 514115 IobaLCU Pc tulle 16Q009 97,607 160,200 97,01M 51706 MMD Regulatory Safety Permit 169.204 0 0 0 53400 Vehicle Release Charge 38 439 61.002 85.000 90.000 53101 Repo Release 12,990 11,085 111000 11,000 534(19 Paramedic $u SScriplion Fe@ i9 0 0 1) 53404 Fingerpilnt Card Process Fee 0 0 100 0 534f15 Phntn Servires (1 (1 100 0 o340/ Vehicle Equiprnenl Citation Sig b, 343 4,180 6,u0(j 3.000 53408 Fire Range User Fee 800 800 1,000 1.000 53409 Storage Of Weapon Fee 3.200 408 1.000 1.000 53410 Impound/Owner Release Animal 2.368 1.363 1,000 0 53411 Jail Pay to Stay Program 70,771) 58,500 80,000 15,000 53413 Polira FalSA Alarm Charge 523 77 95,000 95,001) 53415 Emergency Response Reimburseme 3.660 927 55.000 25.000 53416 Animal Ouaranlin" 2,3=33 955 2,000 0 b341 / Pulico Report Fuu 129.183 182,328 IG0,000 /5.000 53419 Firearm License Fee 2.017 1.946 2.800 2.600 53420 .Jail Booking Fee 20.389 10.776 16,000 10.000 53423 Vehirle Storage Fee 51,15(I 3(;,825 26,0110 20,01)0 55000 Parking Fines `1A41,164 5,111 477 4,9t111'ofo /IM00,000 55400 Redlight Camera Program 45.544 5.437 U 0 55101 Court Fines Traffic 535,503 363,562 122,150 320,000 55402 Court Fines Non Traffic 102,88n 53, 51G a4,000 405100 55403 Tobacco Fine 1.414 0 1.000 0 5560n Administrative Citations 4,834 7, 150 10.000 30.000 ob606 FveworkS Admin C+lalione 15,141 28,984 23,000 413,000 b/400 Pulicu OT Ruimburscmcrd 236,002 19/,/b2 206,000 142,860 57402 Fake Miscellaneous Reimburse 288.427 211.297 311,900 306.900 57404 Properly & Evidence Recovery (348) 0 0 0 57480 Jail Revenue Fecilily- PC) 4,672 9,490 13,300 13,320 57461 Jail Kitchen Rental 17,095 58,122 28,000 30,000 57462 Jail Revenue Facility- US Mar 10.027.605 11,139.220 12.154.219 11,716.200 57463 .tail Revenue Faciliy- Bureau 1.009.539 622,623 1,267.451 1,200,600 b/464 Jall Revenue FacIllty- US Mar 4,481,400 3,b20,96b 2,6/8,926 2,980,800 57470 Copy of Lost Citation 47 104 160 100 SUBTOTAL REVENUES 22.637.597 22.691.269 23,545,186 22.890.380 TOTAL 22.637,597 22,691,269 23,545,186 22,890,380 City Council F-191 24 — 89 5/18/2021 104-1911J[id4Y961di/I:iI POLICE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 0111401f1 PD -MMD AND ADULT USE 1,114,615 0 0 0 01114017 PD- SERVICE ENHANCEMENT 0 0 0 807.510 01114400 OFFICF OF THE CHIFF OF POI ICF 1.g69 107 1 454,E782 1 G(;', 450 1 4H7,810 01114401 FISCAL&BUDGET 1,181,270 1,281,140 1,868,030 1.E02,200 01114402 HUMAN RESOURCES 1.081.992 865.382 880.700 785.230 (11114403 BUILDINGS FACILITY 4.045.742 4.485.086 3.381,800 3,627,750 01114404 BACKGROUNDS 1,365,326 1,575,734 1,724,250 1.602,240 01114405 TRAFFIC 7.184.942 7,715A71 8.03&410 7.741.890 01114410 TRAINING SERVICES 1,97n,4n4 1,673,229 1,9t�6,820 2.0113,970 01114415 I NTE RNAL AFFAI RS 1,436.931 1,316.872 1,666.180 1.011.730 01114420 FIELD OPERATIONS 53,870.843 54,670,831 54,586,380 60,687,690 01114421 PDATHLETIC& ACTIVITY LEAGUE ❑ 0 0 236,5BI1 01114425 INFORMATION SERVICES 1.758.937 1,61T303 1,696,300 1.747.140 (11114435 CRIMINAI INVFSTIGATIONS 6 H73 259 7,106,411 7 2H4 790 7,440,59() 0111444/) CRIMES AGAINST PERSONS 7,939.850 9,385.333 4,840.080 4.256,680 01114441 METROPOLITAN DIVISION 0 0 5.594.150 6.697.510 01114445 SPECIAL INVESTIGATIONS 3,103,497 2,01S,198 1,710,2m) 1,5la1,n80 01114448 EVIDENCE 1.012.339 842.323 883.560 773.830 01114450 CDC 1,2116,029 1,174,243 11502,150 1.494.310 01114455 FORENSIC SERVICES 2,31S,269 2,278,463 2,714,200 2.457,410 01114460 RECORDS SERVICES 1.949.257 1.733.364 1,903A90 1.972.000 01114465 COMMUNICATIONS 6,065,859 5,971,344 7,303,570 7,286,370 01114470 VICE/NARCOTICS 5,742 262,542 434,1340 444.370 U11144/1 INVESTIGATIONS SUPPORT SERVICE 0 1.902.183 1.117,010 1.644.b00 01114475 JAIL OPERATIONS 10.432,889 18.753.444 19.G34.120 19.821.610 01114480 REGIONAL NARCOTIC SUPPRESSION 1.406A83 961.772 617.410 263.320 01114485 HOMELAND SECURITY 8. EMERGENCY MANAGEMENT 458.947 189,227 255,980 261.660 01114400 TOBACCO RETAIL LICENSE PRG 157.546 51,290 226,150 218.800 TOTAL EXPENDITURES 128.996.078 129.138.855 133.908.060 141.082.500 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-IS FY 19-20 FY 20-21 FY 21-22 61000 13ALARIE6 & BENEH I U 106,116(i,219 104,261,b13 111,')00, (30 116,241i, (90 62000 CONTRACTUALS 12.021.166 11.435,074 10,448,060 10,322.370 03000 COMMODITIES 2,384,078 2,233,310 2,587,080 2,529,220 65000 FIXED CHARGES 7.391,835 10,340,045 10,945,350 11.146.120 66000 CAPITAL 14.966 68494 0 0 67000 DFRT SFRVICF 712,526 789,184 758,140 633,830 68000 TRANSFERS 5.227 5.130 5.260 S.170 69000 MISCELLANEOUS 0 0 (2.337.160) 0 128,996.078 129,138,855 133,908,060 141,082,500 TOTAL City Council M., 24 — 90 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES rY18-19 rY 19-20 rY 20-21 rY 21-22 EXPENDITURES 01214010 POLICE ENFORCEMENT SERVICES 0 1.255.031 1,425,980 1,608.510 IC I AL EXPLNDI I URLS 0 1,255,031 1,425,980 1,608,510 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 0 1.133.444 1.303.310 1,399,930 t,2000 CONTRAC.TUALS 0 59,774 P3,600 d33,500 63000 COMMODITIES 0 22.181 31,700 31.700 65000 FIXFn CHARGFS 0 39 633 2,370 93.280 0 1.2SS,031 1,42S,980 1,608,S10 TOTAL City Council 24 — 91 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES a491.) ImffiL OffunOur-Prugran, Incuni 21,821 11.620 48.730 60,210 58000 Earning On Investments 720 811 tl 0 22.541 12.431 48.780 60,210 TOTALREVENUES EXPENDITURES C19014405 SAPn TRAFFIC OFFFNDFR PGM 8.291 15.029 48.770 60.210 TOTAL EXPENDITURES 6.291 15,029 4a,770 e0.210 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 8.291 15.029 25.130 28.560 63000 COMMODI IIES 0 0 23.640 31.650 8,201 15,029 48,770 60.210 TOTAL City Council F.T.1 24 — 92 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES :/4113 InmTtL KULovcry 557.720 775.718 1,693.360 1,869,540 58000 Earning On Investments 10,737 17,175 tl 0 568.457 792.392 1,693,360 1,869.540 TOTALREVENUES EXPENDITURES 0/314475 INMATF WFI FARF FUND 204.104 552.577 1.693.360 1.869.540 TOTAL EXPENDITURES 204104 552,577 1,69:3,:31it3 1,Se9.540 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 93.5G3 110.799 549.250 625.140 6:3000 COMMODI IILS 110.542 441.778 1.144.111) 1,244400 204,104 552,577 1,603,360 1,860,540 TOTAL City Council MFA 24 — 93 5/18/2021 POLICE ACTIVITIES & PROGRAMS DEPARTMENT RESOURCE SUMMARY POLICE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 57000 Expense Reinipursernenl 0 100,000 18,570 20.600 57081 Gifts & Donations 1000 1,500 0 10.000 57400 Police OT Reimbursement 744.209 514,175 691.310 239,570 57132 Donations -Animal Outreach 2 4 1 0 0 TOTAL REVENUES 753.211 615.679 709.880 270.170 EXPENDITURES 0241440D POLICE SPECIAL REV- GENERAL 7.17,721 53.1,138 70!l'ti80 235, 170 02414410 POLICE SPECIAL REVENUE 62.945 56.497 34.170 39.110 TOTAL EXPENDITURES 600.66/ 969.6J0 /44,Ob0 2/1,2130 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 716.351 481,451 634,570 208,610 62000 CONTRACTUALS 23.649 11.017 28.820 32.330 63000 COMMODITIES 6,500 4,254 23,920 27.380 65000 FIXED CHARGES 3.967 42.913 56.740 5.960 MOW CAPITAL 50.000 50.000 0 0 TOTAL 800,667 588,635 744,050 274,280 City Council F.T.1 24 — 94 5/18/2021 CRIMINAL ACTIVITIES FUND DEPARTMENT RESOURCE SUMMARY POLICE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 57010 M,SGellaneoub ReGuvenes (152) (3,143) 0 0 58000 Eaminy On Investments 587 1,297 0 0 435 (1,851) 0 0 TOTALREVENUES EXPENDITURES 02614445 CRIMINAL ACTIVITIES FUND 0 0 69,040 70,000 TOTAL EXPENDITURES 0 0 69,0411 711 o0i) ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62DOO CONTRACTUALS 0 0 34,520 35,OOD Wif10f1 commonn-IFS (1 (1 34 9W) 'i5 00f1 0 0 69,040 70,000 TOTAL City Council 10- 4 24 — 95 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES rY18-19 rY 19-20 rY 20-21 rY 21-22 REVENUES 53424 PD - Treasury Agency Fund 0 0 235.100 0 53425 PD - Reward Pructranl n 0 177,601) 177,600 57010 MiscollaneouS Recoveries 125.000 0 161.950 93.670 57402 Police Miscellaneous Reimburse 5,000 0 G,000 0 574?0 PD - Bagnsst of Mary Muth-COSA 0 0 211,200 20,170 TOTAL REVENUES 130.000 0 607.850 299.440 EXPENDITURES 05314021 POLICE SERVICES 0 51.247 607.850 299.440 TOTAL EXPENDITURES 0 51.247 607.850 299.440 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES 8 BENEFITS 0 0 52,390 0 62000 CON I RAC I UALS 0 46.691 503.070 299 440 E3000 COMMODITIES 0 4,55E 52,300 0 0 51,247 607,850 299,440 TOTAL City Council Ni11 24 — 96 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 07414400 CIVIC CENTER - SECURITY 2.161.915 2,000.000 2.225.380 2,347,460 TOTAL EXPENDITURES 2.161.915 2.000.000 2.225.381) 2.347.460 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 81000 SALARIES & BENEFI I S 1,887,812 1,82OM3 1,957,880 2,041,370 63000 COMMODITIES 204 104 0 0 65000 FIXED CHARGES 224.877 164.453 267.720 306.090 65000 CAPITAI 48,99 0 0 0 2,161,915 2,000,000 2,225,380 2,347,460 TOTAL City Council 0 24 — 97 5/18/2021 OES UASI DEPARTMENT RESOURCE SUMMARY POLICE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Fetleral Granl-lndirecl 1,269,759 3,566,537 5,415,290 4,607,700 TOTAL REVENUES 1.269.759 3.566.587 5.415.290 4.607.780 EXr ENDITURES 12514407 UASI CAL OES SANTA ANA 802,273 3,789,975 4,840,000 2,682.200 12514491 UASI CAL OES ANAHEIM 895.739 530,319 1 575.290 176,090 TOTAL EXPENDITURES 1,698.013 4,320,294 6,41 ,290 2,ff3r1,290 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 308.794 397.890 522,140 588,140 fi20f10 CONTRACTUAL S 1 357 R82 754 090 1,970 150 1 049,410 63000 COMMODITIES 34 45,514 2,500 5.000 65000 FIXED CHARGES 0 0 20,320 20.180 66000 CAPITAL 31.302 0 346.400 0 69000 MISCELLANEOUS 0 3,122,200 2,953,780 1, 126,540 1,698,013 4,320,294 5,415,290 2.838.290 TOTAL City Council rya 24 — 98 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 12614400 W&S SITE II -S P I T I T PGM 6,930 0 0 0 TOTAL EXPENDITURES 6.u30 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 63000 COMMOUI 116S 6,030 0 0 0 61930 0 0 0 TOTAL City Council NR3 24 — 99 5/18/2021 D.O.J. GRANT FUND DEPARTMENT RESOURCE SUMMARY POLICE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52000 Federal Granl-DireGl 0 0 0 31.730 52001 Federal Grant -Indirect 377,766 U 31,730 7G0,220 58000 Earning On Investments 1.191 773 0 0 59011 Reserve Appropriation 0 0 0 6.790 TOTAL REVENUES 378.957 773 31.730 798.740 EXPENDITURES 1271440h OVW-Imps Criminal Jus[ica Rapp 109,285 10,864 0 hh.2G0 12714409 2015 COPS HIRING PROGRAM GRANT 382.090 0 0 0 12714409 COPS GRANT HIRING PROGRAM 0 0 0 678,750 12714411) BODY WORN CAMCHA GHANT 0 30,550 31,730 31,730 12714411 BULLETPROOF VEST GRANT 0 40.000 0 0 TOTAI FXPFNr)ITIIRFS 491,385 81,413 31,730 79R,740 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 491.377 10.864 0 760.220 Ci2000 CONTRACTUALS 8 30.550 31.730 31.730 63000 COMMODITIFS 0 40,000 0 0 69000 MISCELLANEOUS 0 () 0 6.790 TOTAL 491.385 81.413 31.730 798.740 City Council N111 24 — 100 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Federal Grant-IndlreGI 46.310 42,138 25.000 75,360 52025 State Grants -Direct 35,592 76,39S D 2Cs,ti30 52026 State Grans -Indirect SI FSF 777 318 799 7,4 824 990 671 690 5HOM) Earninq On Investments 24,178 9,982 11 D I OI AL REVENUES 884,398 928.249 849.990 775.680 EXPENDI I URES 12814407 SUPPLEMEN I AL LAW ENFORCEMENI SERVICES 146b,264 IIb,b14 824,990 6r 1. (DO ACCOUNT(SLESA) 12814409 BYRNE.JUSIICE A-S'SISIANCE(JAC:) 0 155,876 25A00 75,360 12914413 BSCC Pohce Grants 59.319 0 0 0 12814414 EMPG Grant 197.648 42.760 0 0 12814415 ABC Grant 31.666 /9,406 0 0 12814417 SEXUAL A$$AULI EVIDENCE CRAM 0 0 0 28.630 TOTAL EXPENDITURES 1.753.897 393.355 849.990 775,690 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES rY18-is rY 19-20 rY 20-21 rY 21-22 611100 SALARIES 9 HENEFI I S 1,544,13h 232,094 /33,/DO 193,499 62000 CONTRACTUALS 84.510 158.907 116,240 380.600 fi31100 COMMODITIES 124,651 2,464 0 282,100 TOTAL 1,753,897 393,555 849,990 775,690 City Council DR 24 — 101 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Federal (3rant-Indirect 405.994 464.750 168.010 141,360 TOTAL REVENUES 405.994 464.750 168.011) 141.360 EXPENDITURES 16514414 SELECTIVE TRAFFIC ENFORCEMENT 4,1,341 512,397 168,010 141,3E;0 TOTAL EXPENDITURES 461.341 512397 168,010 141,360 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 460,432 393,033 150,000 141.360 62000 CONTRACTUALS 909 1.500 0 0 63000 COMMOUI IIES 0 117.8C4 18.010 0 461,341 512,397 168,010 141,360 TOTAL City Council U4.1 24 — 102 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES rY18-19 rY 19-20 rY 20-21 rY 21-22 REVENUES 57405 Evidence Recovery/DOJ 371.812 24.001 0 0 57410 Evidence Recovery/RNSP 1,199,642 741,939 0 0 58000 Earning On Investment; 10.714 24.452 0 0 TOTAL REVENUES 1.591.168 790,392 0 0 EXPENDITURES 16614450 US DEPT OF JUSTICE AFF 795.436 517.261 1 860.930 760.240 TOTAL EXPENDITURES 795,436 517,261 860,930 760.240 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 61100 SALARIES & BENEFITS 476.784 188.694 49.490 35.510 62000 CONTRACTUALS 287,031 259,797 712,540 49n,080 63000 COMMODITIES 391 50,165 72,390 230500 65000 FIXED CHARGES 25.036 18.006 17.150 4.150 66000 CAPITAL 5,5W 0 9,3fv0 0 795,436 517,261 860,930 760,240 TOTAL City Council WrA 24 — 103 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES rY18-19 rY 19-20 rY 20-21 rY 21-22 REVENUES 57406 Evidence Recovery/US Treasury 2.575 119.4 A 0 0 57410 Evidence Recovery/RNSP 132,(312 0 11 0 58000 Earning On Invsslmenls 8.379 10.555 0 0 143,266 130,0013 0 0 TOTAL REVENUES EXPENDITURES 16714455 US DEPT OF TREASURY AFF 298.165 285.036 1 136.470 142.270 TOTAL EXPENDITURES 298,165 285,006 136,470 142.270 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 6200n CONTRACTUALS 298.165 205.082 81.880 85.360 63000 COMMODITIES 0 79.954 54.590 56,910 298,165 28S,036 1361470 142,270 TOTAL City Council 0.1 24 — 104 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council DIN 24 — 105 5/18/2021 Fire Department ME GENERALFUND FIRE DEPARTMENT ACCOUNTING UNIT FIRE - ADMIN AND SUPPORT 01115002 Account ACTUAL ACTUAL REVISE❑ PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 53509 Paramedic Subscription Fee 173.315 162.927 170.000 195.OD0 53510 Paramerllr Servlres Charge 5,109,445 7,188,691 5, 5011, 110(1 R,375,01)0 SUBTOTAL REVENUES 5.282.760 7.351.578 5.670.000 6.570.000 TOTAL 5,282,760 7,351,578 5,670,000 6,570,000 City Council 101 24 — 107 5/18/2021 GENERALFUND DEPARTMENT RESOURCE SUMMARY FIRE DEPARTMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01115330 FIRE SUPPRESSION/EMS 51,870,917 46,841,773 49,470,160 51.618,690 TOTAL EXPENDITURES 51.870.917 46.841.773 49A70.160 51.618.690 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 9,093,132 0 0 0 62DUO CON I KAC I UALS 42,774,U3U 46,636,043 49,465 4UU 51,615.000 68000 TRANSFERS 3.755 3.730 3,760 3.69D TOTAL 51,870,917 46,841,773 49,470,180 51,61A,690 City Council 102 24 — 108 5/18/2021 FIRE FACILITIES FUND DEPARTMENT RESOURCE SUMMARY FIRE DEPARTMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53700 Impruvenienl Fee 1447,190 30,046 800,000 723,500 TOTAL REVENUES 1.447.190 30.046 HOMO 723.500 EXPENDITURES 12015330 FIRE FACILITIES FUND 543,011) 642,524 964000 723,500 TOTAL EXPENDITURES 543.019 642,524 960.000 723,500 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62DUD CON I RAC I UALS 543,019 642,524 800,000 723,5U0 66DOO CAPITAL 0 0 160,000 D 543,019 642,524 960,000 723,500 TOTAL City Council 103 24 — 109 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council MID 24 — 110 5/18/2021 Planning TTW Building Agency City Council 24 — 111 5/18/2021 M11 GENERALFUND PLNG & BLG AGY ACCOUNTING UNIT PLNG & BLG AGY-ADMINISTRATION 01116002 Account ACTUAL ACTUAL REVISED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 51501 Fireworks Stand Permits 4.077 3.921 D 0 51M10 General Plan Ilprlate Surrhsrge 17J,1g1 175,814 155,(100 158,100 51601 Buildiny PCIm11G 2,254,214 1,634,080 1,547,500 1,508,500 51602 Plumbing Permits 500,700 313.850 343,700 365.600 51(10'i Flertnral Permits 1,039,875 761,5J0 71;n400 944J00 51604 Healing Pennilg 714,09g 461,651 457,400 t76,600 S160S Occupancy Pcrmils 447,140 362,3g2 306,000 371.700 51606 Grading Permits 175.622 63.213 104.001) 129.S00 51607 Streel Vendor Permil 13.200 10.425 25.300 25,800 51(;12 Building Standards Revolving F 18,353 (7,091) 9,201) 9,200 S1613 Adult -Use Cannabis Retail Phase 1lReglstra0on Application (1,ti00) 0 1) t) 51614 Adult-Usc Cannabis Retail Phase 2(Rcgulatory Safety Permit 0 223.591 100.236 313,300 51 CA t, COrnmemisl Cannebls Testlnq Phase 11Raglst1atinn 2,113 (1 3,38I) I) Application 51617 Commercial Cannabis Testing Phase 2/Regulat01y Safety 12.086 12.086 24.170 37.600 Permits 511318 Commercial Cannabis Operating Agreement Reimbursement 35,000 27,500 30,000 50,000 FPe.A 5I619 Commercial Cannabis Cultivation Phase lrRcgst. Application 13.362 7,323 16,901) 17.500 51620 Commercial Cannabis Manufacturing Phase 1/Rest. 15,931 11,548 16,900 17,500 Application :1 h21 COmmenaal Cannahis Uistnbut1011 Phase VK09St. Application 2h,h/1 21,688 18,!A)I) 26.300 51622 Commercial Cannabis Cultivation Phase 21Rgltry Sfty Prmt 135.645 34.405 120.860 87.770 51623 Cnmmercal Cannabis MsmAsr.hinng Phase 2/Rgltry Sity Prmt 124,007 5H,335 1211,H00 53,000 01624 Commercial Cannabis Distribution Phase 2/Rgltry Sfty Prnrt 259,446 106,6/9 215,2/9 226.()D0 53410 Impound/Owner Release Animal 0 0 0 1.300 .5341(i Animal Quarantines (I (1 I) 1,0110 S.IS13 0CFA Admin Processinq Fee 1,g20 2,21.45 1,501) 1,500 53600 Building Plan Check 2.S66.345 2.957.026 1.888.000 1.925.800 53601 Electrical Plan Check 375.168 382,672 280.900 312.600 636(12 Plumbing Plan Check 138,841 lgl,875 13H,500 141,300 536113 Merhanlral Plan Chalk 264,1182 347,718 '186, 601) 210,400 53605 Landscape Plan Review 22.442 25.970 24.001) 2S.200 53606 Discretionary Application Fee 403,820 320,631 370,00D 404,500 D360( EIR Developer Fees 94,164 114,565 9b,000 8Q(bo S3613 Land Use Certificate Processm 565,5b5 512,146 SS2,500 782,500 53614 Shopping Cart Contain Program 50.874 43.272 44.100 44.100 53616 Sile Plan Review Charge 031,543 313,095 245.047 697,250 5ff627 PREP Fee", 661,217 763,377 604,1ll)0 604,000 53628 Foreclosure Registration Progr 231,280 149.093 185.000 185.000 53631 Planning Consullanl Admin Fee 0 4.228 0 0 55600 A(lmini3lra1ive Cilaliorg 257,585 2f)0,731 150,001) 125,000 5560S Medical Marijuana Administrative Citation 66.800 59.081 5.000 0 57010 Miscellaneous Recoveries 24.738 4,349 13,001) 10,000 57770 Sale of Maps & Do(.uments 33,754 75,573 1,000 bo,000 SUBTOTAL REVENUES 12,372,977 11,272,243 9,248,632 10,421,4 00 TOTAL 12.372.977 11.272.243 9.248.632 10.421.470 I'ILy L L)UIIL:)l 106 L4 — 1 I L O! 1O/LUL I GENERALFUND DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01116017 PBA- SERVICE ENHANCEMENT 0 0 0 252.800 01116500 PLNG & BLG AGY-ADMINISTRATION 1,832,984 2,292,821 2,344,140 2,351,880 01116510 PLNG & BLG AGY-PLANNING 3.636.514 2,993,614 2,481,870 2.240.160 01116520 PLNG & BLG AGY-PERMIT & INS SV 1,931,532 1,312,022 2,012,320 2,107.160 011 1F530 PLNG & BLG AGY-PERMIT & PLN CK 2,095,943 1,950,218 1,997,:160 2,253,960 01116540 PLNG & BLG AGY-COMM PRESERVA 1.220.274 1.161.545 1,811.520 1.642.060 01110550 PROACTIV RENTL ENFORCEMENT PRG 475,875 640,177 603,740 705,110 01118561) NEIGHBORHOOD INITIATIVES PHOGH 505,2.1(1 5841 H3 5H3,480 634,460 01116570 ANIMAL SERVICES 3.073.631 3.182.158 3.189,240 3,181,730 TFTAI FXPFNDITIIRFS 14,961,990 14,614,739 15,023,G70 15,399,320 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 9.045.889 7.620.710 8.584.030 9.420.020 Ci2000 CONTRACTUALS 3.302.727 3.634,348 3.587.950 3.455.450 h3000 COMMODITIFS '-40,0(14 '133,348 ')44,1 Al 203,1150 65000 FIXED CI IARGES 1.005.201 2.109.093 2187.940 1.907.210 67000 DEBT SERVICE 21.843 22.979 23.000 23.000 68000 TRANSFFRS 1,246,235 994,760 396,6y(1 3N0.090 14.861.990 14.614.738 15.023.670 15,399,320 TOTAL City Council 107 24 — 113 5/18/2021 CANNABIS PUBLIC BENEFIT DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01216010 PBA ENFORCEMENT SERVICES 0 165,629 615,780 978,f370 TOTAL EXPENDITURES 0 165.629 615.780 976.970 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 0 144,432 495,800 SO8,120 62DUD CON I HAC I UALS U 2,J62 78,1 UU 76, 100 63000 COMMODITIES 0 12.924 34420 44,42D f75000 FIXFD CHARGFS 0 5891 7400 48330 0 165,629 615,780 978,970 TOTAL City Council 1: 24 — 114 5/18/2021 CASp CERTIFICATION AND TRAINING FUND DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 523Fi6 CASp Ceflificalion Training Fund 93,595 88,083 85,000 55.000 58000 Elminy On Investments 330 2,300 0 0 93.925 90,392 85,000 85,000 TOTAL REVENUES EXPENDITURES 01616500 CASp CERTIFICATION AND TRAINING 3.836 9,680 1 85,000 85.000 TOTAL EXPENDITURES 3,836 %00 8G,000 65.(100 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 3.836 9.680 59,500 59,50D Wif10f1 commonITIFS (1 (1 25 900 25 500 3,836 91680 85,000 85,000 TOTAL City Council NEI s1 24 — 115 5/18/2021 AIR QUALITY IMPR. (AB 2766) DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 03116510 PLANNING -AIR QUALITY IMPROV 156,965 72,230 322,130 334,310 TOTAL EXPENDITURES 156.965 72.250 322.130 334.310 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 01000 SALARIES $ BENEFITS 87, 187 49,800 182,450 194,520 62000 CON I HAC I UALS 55,210 0,630 -1 10,000 11 U,000 63000 COMMODITIES 59 0 0 0 f15000 FIXFD CHARGFS 14,100 17 760 29 080 29 740 156,965 72,250 322,130 334,310 TOTAL City Council 110 24 — 116 5/18/2021 CITY SERVICES DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53507 EIR Developer Fees 490,343 736,323 11000,000 1.000.000 53618 PBA-Expeditsd Inspections 0 U 500,000 500,000 53630 Plan nin0 Consultant Services F 50.000 42,281 0 0 53635 PBA - Trust & Agency 0 0 79,700 79.700 53636 PBA BulldinglPlanning-Cash 43400 41,fia0 589,200 569,200 53637 PBA- Accelerated Plan Check 715.090 769.843 764.900 764.900 57000 Expense Reimbursement 0 295,916 0 0 57I)10 RerelvBmn'.p 0 9_17ti 200,000 20I),000 TOTAL REVENUES 1.298.833 1,895,460 3.133,800 3.113.800 EXPENDITURES 05316021 PLNG & BLG AGY SERVICES 1.015.764 1.693.090 3,633,800 3,633,800 TOTAI FXPFNI)ITt1RFS 1,015,764 1,603,090 3,633,800 3,633,R00 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 0 1.824 0 U C2000 CONTRACTUALS 1.015.764 1 1.691.266 1 3,633.800 1 3_G33,800 TOTAL 1,015,764 1,693,090 3,633,800 .1,633,600 City Council 111 24 — 117 5/18/2021 STRONG -MOTION INSTRUMENTATION DEPARTMENT RESOURCE SUMMARY PLNG 8 BLG AGY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53536 Sliony-Muliun InStrurnenlallon Program 0 0 0 10,000 TOTAL REVENUES 0 0 0 10.000 EXPENDITURES 0891ES00 Strong -Motion Instrumentation 0 U 0 10.000 TOTAL EXPENDITURES 0 0 0 10,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62DUD CON I RAC I UALS U 0 U 5.000 63000 COMMODITIES 0 0 0 S.DOD 0 0 0 10,000 TOTAL City Council 112 24 — 118 5/18/2021 SPECIAL REPAIR/DEMOLITION DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53507 Erneryency Repair As5e5snienl 65,626 11,071 15.000 30.000 65.626 11.071 15.000 30.000 TOTAL REVENUES EXr ENDITURES 12116540 SPECIAL REPAIR/DEMULITION 10,240 16,954 15,000 30.000 TOTAL EXPENDITURES 10.240 16,954 15,000 30.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CON I RAC I UALS 10,240 16,054 15,000 30.000 10.240 16,954 15.000 30.000 TOTAL City Council 113 24 — 119 5/18/2021 S62 Planning DEPARTMENT RESOURCE SUMMARY PLNG & BLG AGY ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 15£316500 SB2 Planning Grants Progrro 0 45,165 0 342,000 TOTAL EXPENDITURES 0 45.168 0 342.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 28,003 0 82,000 63000 COMMOUI IItS U 0 U ICU,000 66000 CAPITAL 0 17.105 0 10D,OOD TOTAL 0 45,188 0 342,000 City Council 114 24 — 120 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 115 24 — 121 5/18/2021 Public Works Agency city uounciI 24 — ALL bllbl2U21 116 GENERALFOND PUBLIC WORKS ACCOUNTING UNIT PUB WKS REVENUES 01117002 Account ACTUAL ACTUAL REVISED PROPOSED Code LINE ITEM RESOURCES FY 18-19 FY 19-20 FY 20-21 FY 21-22 DOOD2 KeTUSe Contro(A 1.912,000 6,203,D02 0 0 51004 Bus Shalter Faas 150.000 87,500 75,000 150.000 51608 News box Permit Fees 23,194 19,297 20,000 20.000 51MN Outdonr Dining Permits 1,G111 (I (1 1) 53707 Stroct 8 Allcy Repair 1,751 0 0 0 53740 Small Cell App Fee for City Facilities 0 0 100.000 0 53741 Small Cell Cumplianca Inepectiun Fea 0 04 !14E 25,000 50,000 56305 Engineering Service Charge 0 1.873 1.000 0 5701(1 Miscellaneous Recoveries 0 6,520 t1 11 57700 Reruse Progrem Saving Recovery 1,352,000 1,851,500 0 0 57791 Overhead -Water 4.537.920 4.537.900 4.537.900 4.S37.900 b(991 Miscellaneous Receipla 4.901 5,138 1,b00 1,500 59000 Transfar From Fund 069 0 6.600,000 0 0 SUBTOTAL REVENUES 11,043,416 19,432,726 4,760,400 4,759,400 TOTAL 11,043,416 19,432,726 4,760,400 4,759,400 City Council 117 24 — 123 5/18/2021 GENERAL FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01117017 PWA- SERVICE ENHANCEMENT 0 0 0 1,596,620 01117605 PUB WKS-CITY FCLTIES LIC AGRMT 0 50.000 125.000 125.000 0111762/) PUB WKS-TRAFFIC/TRANSPORTATION ENGINEERING 3,891,907 6,432,411 2,641,241) 3,764,320 01117621 PUB WKS-BUS SI IELTER PROGRAM 0 0 550.000 S50.000 0111/152J F'UH WKS-ROAUWAY MARKING/SIGNS 1,121,684 604,661 593,000 600.700 01117626 PUB WKS-SIDEWALKS 0 U 500.000 0 01117630 PUB W KS -STREET LIGHT MAINTENAN 2.152.271 3.379.908 3.136.470 3.260.600 01 11761 2 PUB WKS-GRAFFITI ABATEMENT PROGRAM 1,101,59' 781,923 1,188,130 1,503,020 01117643 PUB WKS-STREET TREES 1,661,378 3,753,219 4,964,630 3,558,760 01117644 PUB WKS-CROSSING GUARD 0 0 820.980 820.980 01117MO PUB WKS-BARTC MAINTENANCE 38,889 094,034 11 11 0111 i660 PUB WKS-ROAD MAINTENANCE 0 1641 0 0 TOTAL EXPENDITURES 9.971.922 15.6%.326 14.819.550 15.784.500 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 1,478,52,1 2,352,330 3,239,090 3,711200 c20110 CONTRACTUALS 6,252,0tl0 5,305,122 7,H37,4011 7,386,0111 63000 COMMODITIES 110.242 180,997 385,330 173.060 05000 FIXED CHARGES 658,288 1 413,845 1.548,750 2,453,210 66000 CAPITAL 1,2b2,b61 4,8bb,893 181,b30 23b,000 67000 DEBT SERVICE 139.978 917.869 946.600 1.746.600 6H000 TRANSFERS 80.240 S0,270 80,760 79,420 TOTAL 9,971,922 15,696,326 14,819,550 15,784,500 City Council 118 24 — 124 5/18/2021 SPECIAL GAS TAX DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52300 HWY Uscr Tax Allocatlon(2105) 1,847,363 1,737,636 1,790,090 1,944,000 52301 HWY User Tax Allocation(2106) 1.216446 1.068461 1.154.010 1.176.900 52302 HWY User Tax Allocation(2107) 2,321,697 2,202,983 2,163490 2483,800 52320 1 NVY User Tax Allocation (2103) 1.138 430 2.414.067 2.853 440 2.983.300 52321 Road MainjerlariGe & Reha1) Appt 6,202,1340 y.649,196 :i, 604, 210 0500,600 52322 SB1 Loan Repaymont 381.443 379.667 37e.670 0 56300 Engineering Cost Allocation 10,000 10,000 8,000 D 57010 Miscellaneous Recoveries 14,484 0 0 0 58000 Earning On Investments 275,790 418,625 0 0 58002 Net Increase (Decrease) In Fai 388.830 230.379 0 0 5H0114 Interest EernRd on Bnnri Prncee 537 0 11 11 b800b hnv,stnwlnt Inwmt-TrLIStLu 81,(21 38,bf0 0 0 59300 Revenue Bond Proceeds 01 53.448.099 0 0 TOTAL REVENUES 13.879.580 67.847.88E 14.152.910 15.188.600 EXPENDITURES 02917019 GAS TAX INTERFUND TRANSFER 1,717.906 4,767.497 6.470.390 8,125.560 p2917020 2007 COP BOND PAYMENT 4,183,111 57,153,911 0 0 0z917021 zD19 GaSTax Rev Refund Bonds 0 4,517 496 3,246,200 3.24b 400 02917620 TRAFFIC SIGNAL MAINTENANCE 1.048.647 1.222.644 1.878.970 2.354.690 02917635 MEDIAN LANDSCAPING 498,448 1Z19,180 1,467,010 1,490,070 02917660 ROADWAY MAINTENANCE 25.618 98T885 1.43T700 1.465.950 TOTAL EXPENDITURES 7,473,731 69,888,618 14,500,270 16,684,670 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 [it ffi 0 SALAHIES & BENEFITS 281,602 213,r`02 fi99,RH0 792,120 62000 CONTRACTUALS 1,201427 3,775,066 4,072,550 4,326,500 63000 COMMODI IIES 798 687 1.600 4.600 65000 FIXFD CHARGFS 93,979 101,857 109,H50 192,490 66000 CAPITAL 3.588 2.208 0 0 67000 DEBT SERVICE 4.174.431 61.027.661 3,246,200 3,243,400 6h000 TRANSFERS 1,717,906 4,767497 6,470,390 8, 125,560 TOTAL 7,473,731 69,88R,fi1R 14,500,270 1fi,GR4,670 City Council 119 24 — 125 5/18/2021 PROP 1 B BOND ACT OF 2006 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerils 2,517 2,811 0 0 2.517 2.811 0 0 TOTAL REVENUES City Council 120 24 — 126 5/18/2021 AIR QUALITY IMPR. (AB 2766) DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52350 AQMD A82766 324,936 436,428 440,000 440,000 52351 MSRC Ralumbursement 0 U 200,000 200,000 57010 MISCOanCOLIS Recoveries 450 28,265 2,000 2.000 58000 Eirning On Investments 0 21,836 1 3.000 3.000 TOTAL REVENUES 325435 486.529 645.000 645.000 EXPENDITURES 03117101 FLEET SVCS-AIR QUALITY IMPROV 169,910 52,100 450,000 FID.000 03117102 FLEET SVCS-MSRC PROGRAM 84.033 34.000 550.000 100.000 TOTAL EXPENDITURES 2b:;,91:; 86.100 11000.000 150.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 253.943 86,100 1,000,000 150,000 253.943 88,100 1,000,000 150.000 TOTAL City Council 121 24 — 127 5/18/2021 MEASURE M-STREET CONSTRUCTION DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52040 Grant -Other 0 0 90,000 0 52322 SB1 Loan Repayment 0 0 10.774.730 0 52332 Measure M2 Competitive 4,962,641 40,845 0 1.020,000 52333 Measure M2 Local Faimhare 3424.629 6.546.298 4.295420 4.708.920 W004 Expense Reirnhuryemenl-OCIA 994,010 91,394 !,4g,900 0 57071 Sala of Land 0 299.978 0 0 57960 Rental Of Property 33,883 (3,877) 0 0 58000 Earning On Invesbnenls 46,709 32 0 0 58005 Investment Income-TILISMC 1,811 2:13 0 0 TOTAL REVENUES 8.763.533 6.980.955 15.706.100 5.738.920 EXPENDITURES 03217661 OCTA TRANSI TWAY PROJECT - MOSS 0 0 90.000 0 03217662 MEASURE M2 LOCAL FAIRSHARE ST 7,008.719 3,021.736 4.295.420 4.708,920 03217663 MEASURE M2 COMPETITIVE STREET 7,066,729 4,455,195 10,774,780 1,030,000 (U217h64 OCTA OC STREETCAR ACCOUNT 202,415 713,062 0 0 TOTAL EXPENDITURES 14.277.863 3.190,396 15. 160.200 5.738.920 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 o60110 CAPITAL 14,277,H63 H,1911,H9ti 15, 160,2110 5,738,92L) 14.277.863 8.190.896 15.160.200 5.738.920 TOTAL City Council 122 24 — 128 5/18/2021 NEW TRANSPO SYS IMPR AREA B DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50300 TranSporlallon Syslern Improvern 133,041 14,135 0 0 58000 Earrllny On Investments 7,434 9,048 0 0 140.475 24,087 0 0 TOTAL REVENUES City Council 123 24 — 129 5/18/2021 NEW TRANSPO SYS IMPR AREA E DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50300 Tmnsportatlon Systcm Improvcm 0 60,155 0 0 57900 Rental Of Property 11.294 (1.292) 10.0130 0 68000 Earnlnq On Investments 21,983 23,571 10,000 0 TOTAL REVENUES 33.228 32.434 20,000 0 EXPENDITURES 113417000 NEW TRANSPO SYS IMPR AREA E 506.602 83.771 119.750 1,000.000 TOTAL EXPENDITURES tx013,60 83,//1 114,/50 1,000,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 506.602 83.771 119.750 1.000.000 506,602 83,771 115,750 1,000,000 TOTAL City Council 124 24 — 130 5/18/2021 NEW TRANSPO SYS IMPR AREA F DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50300 Transportatlon Systcm Improvcm 424,978 97,228 0 0 58000 Earning On Investments 34.862 31.432 10.000 0 101 AL REVENUES 459,840 128,660 10,000 0 EXPENDITURES 03517660 NEW TRANSPO SYS IMPR AREA F 664,226 5b6,664 180,000 0 TOTAL EXPENDITURES 564.226 566.664 130,000 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i5fi0tln CAPITAL 964,226 lob6. 64 130,000 0 TOTAL 564.226 566.664 130.000 0 City Council 125 24 — 131 5/18/2021 TRANSP SYS IMPR AREA A-2 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50301 TSIA Rpm Cily Of Santa Ana 0 60,816 0 0 58000 Earrllny On Investments 4401) 5,817 0 0 4,409 66,434 0 0 TOTAL REVENUES City Council 126 24 — 132 5/18/2021 TRANSPO SYS IMPR AREA B DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerds 157 175 0 0 TOTAL REVENUES 157 175 0 0 City Council 127 24 — 133 5/18/2021 TRANSPO SYS IMPR AREA C-2 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 3,504 3,913 0 0 TOTAL REVENUES 3.504 3.913 0 0 City Council WT-1 24 — 134 5/18/2021 TRANSPO SYS IMPR AREA G DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerds 1,615 1,804 0 0 TOTAL REVENUES 1.615 1.804 0 0 City Council W1.61 24 — 135 5/18/2021 COUNCIL SPECIAL PROJECTS FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 05017018 PW COUNCIL SPECIAL PROD 117,448 0 0 0 TOTAL EXPENDITURES 117448 (1 11 11 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 117448 0 0 0 117,448 0 0 0 TOTAL City Council 130 24 — 136 5/18/2021 CAPITAL OUTLAY FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 05117620 TRAFFIC SIGNAL IMPROVEMENTS 5462,081 91,881 0 0 TOTAL EXPENDITURES 5,012,081 91 A81 0 ❑ ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 5462.081 91.881 0 0 5,462,081 91,881 0 0 TOTAL City Council 131 24 — 137 5/18/2021 SANITARY SEWER CAPITAL DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53732 Capital Recuvery Charges 371,203 247,208 0 0 57990 miscellaneous Income 23,22U,000 U 0 0 58000 Earning On Investments 258.944 450,275 320.000 0 58002 Net Increase (Decrease) In Fni 92,950 274,665 1 0 0 TOTAL REVENUES 23.952.097 972.148 320.000 0 EXPENDITURES 05417047 CAPITAL RECOVERY CHARGES 52,35(i 1458,270 10,915,000 2, 1tv),I)00 TOTAL EXPENDITURES 52.356 1,458,270 10.915,000 2.180.000 ACTUAI ACTUAI ADOPTFD PROPOSFD OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 0 1,500,000 500,000 66000 CAPITAL 52.356 1 1458,270 1 9,415,000 1,680,00D 52.358 1.458.270 10.915.000 2.180.000 TOTAL City Council 132 24 — 138 5/18/2021 SEWER CONNECTION FEE DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53701 Scwer Connection Fec 2,936,154 1,805,593 509,240 999,600 58000 Earning On Investments 201.993 247.282 210.000 100.000 68002 Nei Increase (Decrease) In Fal 275,186 U 0 0 TOTALREVENUES 3413.332 2.052.375 719,240 1.099.600 EXPENDITURES (1551700(1 SEWER CONNECTION PRO.IECT3 187.158 2.561.249 0 2.167.000 TOTAL EXPENDITURES 18i,11)fl '1, 9E;1 ,'l44 0 J,16 /,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 187.158 2.561,249 0 2.167.000 187,158 2,561,240 0 2A67,000 TOTAL City Council 133 24 — 139 5/18/2021 SANITARY SEWER SERVICE DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53720 Pcnaltics & SeiVICe Charge 6S,620 52,196 25,000 S0,000 53721 NPDES Sewer 275.612 298.330 296.200 296.200 63733 Lateral Repair 619,685 346,092 0 0 53734 FOG Program 256.156 309.244 0 562.100 :,3902 Migr SelviGe Charge b,213,6/2 b.694,026 /,30/,240 6,609,000 57a03 W rito Off Collections 3 U 0 0 58000 Earning On Investments 127,196 122.942 123.430 100,000 68002 Net Increase (Derrease) In Fai 155,245 0 0 0 TOTAL REVENUES 6,613,189 6,822,829 7,751,870 7,617,200 EXPENDITURES 05617019 SEWER INTERFUND TRANSFER 275.6iJ 2n8s3o 250,000 20.000 05617640 SANITARY SEWER SERVICE 6.261.058 6.221.339 7,782.640 11.401.781) TOTAL EXPENDITURES 6.536.669 6.519,(;69 8.032,640 8.651.780 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 hi0110 SALARIES& BENEFITS 1,664,942 2,120,851 2,706,7e11 .1, 175,4tt) 62000 CONTRACTUALS 2.269.015 2.072455 2.054.300 2.275.400 63000 COMMODITIES 338.655 122,715 611,330 721,300 65000 FIXED CHARGES 1,133,044 1,378,995 1,364,220 1,904,620 66000 CAPITAL 855501 226.303 1.023,000 325.000 6A000 TRANSFFRS 21e,612 1 298,330 2:)0,000 260,000 6,536.669 6,519,669 8,032,640 8,651.780 TOTAL City Council 134 24 — 140 5/18/2021 FED CLEAN WATER PROTECTION ENT DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53604 NPDES Public Improvement Plan 290,269 235,945 235,000 23S,000 53617 NPDES Site Plan Review 0 633 0 0 63621 NPDES Building Permit 142,376 35,358 95,000 95,000 53622 NPDES Plumbing Permit 69.299 49.219 50.000 S0.000 !AIj2;i NPOFS Grading Fermin 4y,021 16,049 9b.000 2b,000 53708 NPDES Sower Lateral 5.796 6.024 5.000 5,000 53711 NPDES Street Work Permit 299,419 256.688 265.000 26S,000 63721 NPDES Refuse Non-Residenlial 0 77,990 0 0 57000 Expense Reimbursement 11,381 7,237 0 0 57010 Miscellaneous Recoveries 300 2.700 0 0 57014 OC Flnorl Cnntr,hutlnn 26C,205 (i(i,149 fl 11 b r01b OCWD Contribution 0 0 1,000,000 1,000.000 57016 IRWD Contribution 40.680 5.532 0 0 b(bi I City of Newpurl Beach Cunlribu 292,bbb 98,091 0 0 58000 Earning On Investments 103.888 108.037 60.000 60.000 b9000-0bb I ransler Frorn Fund Obb 2(b.612 298.330 2BO,000 2b0,000 59000-060 Transfer From Fund 060 1 323.705 1.237.507 1.280.800 1.200.800 59000-069 Transfer from Fund 069 912.410 1.053.200 1.149.350 1.149400 TOTAI RFVFNUFS 4.078.915 3.5558g2 4,415.150 4.415.201) EXPENDITURES 05717019 FED CLEAN WATER INTERFUND TRAN 0 200,000 200,000 200,000 05717040 FED CLEAN WATER PROTECTION ENT 2.683.627 3.335.037 3,791,220 3,692.500 05717660 DFI HI DIVFRSION PROJFCT 599 440 164 82H 1 000 000 1 000 000 TOTAL EXPENDITURES 3,283,067 3.704,865 4,991,220 4.892.S00 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 716.378 829.889 1396.700 531.340 Iiry000 CON I FiAC I [JAI S 1,432 170 1 544 108 ') 24(l 280 ') 394 200 63000 COMMODITIES 3.717 10.282 28A20 14.000 65000 FIXED CHARGES 350,423 497.129 500.820 352,960 66000 CAPITAL 780379 623,45E 1,325,000 1,400,000 68000 TRANSFERS 0 200,000 200.000 200.000 3,283,067 3,704,865 4,991,220 4,892,50D TOTAL City Council 135 24 - 141 5/18/2021 RESIDENTIAL STREET IMPROVEMENT DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 51701 TranspoiVOvcrslzc Pcrinits 17,921 17,762 13,000 0 53704 Trench Cut Fee/Arterial 47.867 127.209 25.000 0 53705 Trench Cut Fee 28,718 28,846 10,000 0 S3706 Street Construction Fee 33S.639 323.390 250.000 0 53730 HOS I Fee 23.141 18.040 15.000 0 580p0 FArning On hwe3tn1enl5 57,5-=19 68,79f 1 (1 0 TOTAL REVENUES 510.824 578.543 313.000 0 EXPENDITURES 05817660 RESIDENTIAL STREET IMPROVEMENT 161.786 66.773 0 0 O 1 AL tzXF'tzNUI 1 UKtS 161 7FJh ht),77y 0 0 ACIUAL ACIUAL ADOPI tU PROPOSED OPERATING EXPENSES FY 16-19 FY 19-20 FY 20-21 FY 21-22 62000 ("ONTRACTUALS 161,786 68.77r3 0 0 161,786 68,773 0 0 TOTAL City Council 136 24 — 142 5/18/2021 SELECT STREET CONSTRUCTION DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Fcdcral Grant -Indirect 509,193 707,961 0 0 52341 OCTA Gas Tax Subvention 183.113 96.874 0 0 67010 Miscellaneo.s Recoveries 0 976,618 0 0 57071 Sale of Land 359.879 2.837.764 0 0 W080 Developer ConlnbUbons In I ie 0 948,919 0 0 57960 Rental Of Property 46.780 112896 :35.0011 0 57990 MISC011111COeS Income 0 43,950 0 0 58000 Earning On Investments 168,90E 182,660 100,000 0 58002 Net Increase (Der_rcase) In Fai 198,058 153,016 0 0 58006 Interest Earned on Advanced Re 986 0 15.0130 0 5901111-029 Transfer From Cas Tax F,nd 029 1,717,908 4,767,4!17 6,480,390 11,1vr,'r%0 09000-069 Transfer From Fund 069 01 0 3,522.340 TOTAL REVENUES 3.184.822 10.828.156 6.610.390 11.637.000 EXPENDITURES 05917660 SELECT STREET CONSTRUCTION 1,176,277 517,457 0 3.522,300 05917661 OCTA BRISTOL ST CORRIDOR IMPS 2,833314 729.663 586.500 0 05917GG3 HUTA 2103 GAS TAX 337,772 1,157,132 82,000 1,515.000 05:i17n65 HUTA GAS TAX- RMRA 1,141,303 3,306436 6,37n,300 6.6th).620 05917067 HUTA GAS TAX- SB1 STATE LOAN 238.831 3.927 0 0 05917688 WARNER AVE -IUS IIN CfU 0 401,452 0 0 TOTAL EXPENDITURES 5.727497 6.416A69 7.046,89t) 11.637.i)20 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 5.727497 6.410.069 7.046,890 11.637.920 TOTAL 5.727,497 6,416,069 7,046,890 11,637,920 City Council 137 24 — 143 5/18/2021 WATER REVENUE DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53709 CunneGlion Charge 35442 79,527 0 616,600 53712 Water Sales - Regular 42,513,909 40,903,006 53,217,200 43,3G6,000 53713 Firclinc Scrvicc Charge 400.946 400,136 378.200 378,200 53714 Bas,G Service Charge 9,741,473 13,329,331 10,472,670 23.253,900 53715 Re Connertfon Charge 104,025 55 4J2 J9,000 43,700 53716 Aftcr Hours Service Chargc 10.019 5.910 9.500 8.500 53717 Tag Fee 175,494 8Q524 155,000 73,200 53721) PHnAltleA & Servine Charge 531,827 424 4JH 571,500 676,601) 53722 NPDES Watcr 1.323.705 1.237.597 1.310,500 1,238.D00 54795 WA*Pr.i'Ale4-MisrPIIAnPm.R 829?? 142.7A4 11(1p00 ill ion 53735 Watur Salu-KucydW Watur 0 0 278,880 281,81J0 53736 Basic Service Charge -Recycled 0 0 81,560 138,100 57006 Expense Reimourse.ment-Condemn 75 (1 0 0 57010 M,6Le1laneu.E Rbuuveries 620,706 W)03 0 0 57011 Miscellaneous Cost Refunds 0 38,520 2,000 0 57363 Cell Tower Lease Agreement 17.324 6.294 12.600 '12.600 57960 Renlal Of Properly 534,317 )84,904 u)(1,000 )00,tml) 57093 Wntc Off Collochons 73.356 50.671 44.000 0 58000 Earning On Investments 744.146 819.541 574.000 500.000 53002 Net Increase (Decrease)In Fai 946,921 536.340 0 0 58003 Investment l ncome-Dept Service 142 942 a 0 TOTAL REVENUES 57,906,751 58408.930 67.616.710 71.518.500 EXPENDITURES 06017019 WATER- INTERFUND TRANSFER 4.323.705 4.386.275 18.481.600 20.724.530 015017020 WATFR DFRT SFRVICF 635492 60n.783 11360,950 1,355,800 06017640 WATER UTY WTR PROD & SUPPLY 27.507 390 28.396.129 32.785.150 3J.794.750 06017641 WATER SYSTEM MAINT 5.604.070 6,573,215 6,587,170 7.925.310 06017642 WATER-MISC EXPENSES 5,952,279 6.153.471 4,567,000 29,10D 0m)17644 WATER QUALITY 14H9433 130334t, 1,639,170 2,241.080 06017645 WATER ADMIWENGINEERING 4.435.527 5.407.511 8.097.880 10.926.110 06017616 WATER METER SERVICES 830,866 1,209.025 2,312,320 6,117.160 061)1/64( RECYCLED WA I ER 244,14/ 1(i9,1 J(i 319,610 :it,2,/H❑ TOTAL EXPENDITURES 51.072.909 54,198,952 76.180,850 89,816.900 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 5,554,037 6,385,515 8,616400 0,970,340 62000 CONTRACTUALS 19.200.248 19,859,139 23,259,810 32,984.750 63000 COMMODITIES 10.693.1162 11.371.162 13.044.680 14.466.650 65000 FIXED CHARGES 9,088,288 10,258,676 8,739,110 6,562,53o 66000 CAPITAL 1.558.993 1.321.175 2663.000 3.737.000 67000 DEBTSERVICE 633.242 596.283 1.376.250 1.371.100 68000 TRANSFERS 4,344,138 1 4,40/.(101 18,481,601) 1 20,f24,630 51.072.909 54.198.952 76.180.850 89,816,900 TOTAL City Council 138 24 — 144 5/18/2021 ACQUISITION & CONSTRUCTION DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52040 Grant-OOrer 0 0 6.600.000 0 57011 Miscellaneous Cost Refunds 11,E50 9,632 0 0 58005 I nvestmcnt l ncomo-Trnistcc 2.668 976 0 0 5')000-060 Tran5fer From Fund 060 3,000,000 3,143,678 17,200,800 19,443.740 TOTAL REVENUES 3.014.318 3.159.286 23.800.800 19.443.740 EXPENDITURES L%017e47 WTR UTY CAPITAL PROJECTS 2,6011,031 2,757,62b 27,150,000 19,425,OOt7 TOTAL EXPENDITURES 2.603.031 2,757,626 27.150,000 19,425.000 ACTUAI ACTUAI AOOPTFD PROPOSFD OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 2,603,031 2,757,626 27,150,000 19,425.000 2.603.031 2,757,626 27,150.000 19.425.000 TOTAL City Council 139 24 — 145 5/18/2021 REGIONAL TRANSP CENTER DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53802 S A WORK Contcr Uscr Fec 3,664 0 0 0 53803 Rental -Conference Room 1.082 195 2.700 2.700 63805 Rental -Tres Estrellas De Oro 87,681 67,183 0 0 53808 Rental -Amtrak 34.843 34.843 60.000 40.000 b3809 Henlal-I ee Cull Shop 19,014 20,HON 21,100 0 53810 Rental-Grey1,611nd 93.683 113.629 108.000 108.000 53813 Rcntal-EDDlStatc of CA 5.214 0 0 0 53815 ConoessiorrTtixi Sland 3,642 426 0 0 53818 ConcessiarVending Machines 900 900 900 900 53819 OCTA Rental 0 0 2.500 2.500 53821 RRMRI-IntarnsfinnRl B,s LmAs 81,rf6P6 6b1,11❑ 811,1t10 11 b3623 Rental -Walsh Cunstructiun 14,980 104,668 96, too 115.000 53824 Rental-PGH 30.000 62.282 60,000 89.000 b382b Renlal-SRK Engineering 1,480 14,268 0 0 53826 Rental -Aldridge Group 12.246 74.460 104.600 130.000 b382! Renlal-Slate (Urnberg) 0 /0,400 /6,800 f6,800 53828 Rental-Saquoia Foundation 0 2.2.12 0 tl 53832 Rcntal-RailWorks 0 0 0 10.000 F7960 Renlal Of Properly 0 0 401,400 40,000 57990 Miscellaneous Income 2,110 6,361 8,000 3,000 59000-011 Transfer From Fund 011 0 0 1.100.000 1.081.870 TOTAL REVENUES 396,156 641,714 2,12.1,400 1,699,770 EXPENDITURES 06717650 FVVA- SARTC OPERATIONS v8G,30fl 1,094,318 1,g62,000 1,GPW,770 986.308 1.094.318 1.962.000 1.699.770 10 I AL LXPENDI I ORES ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 fi19f10 SAl AHIF.S` B HFNFFI I S 129 081 88 714 117 98n 1351740 62000 CONTRACTUALS 717,376 771,956 1,699,900 1.302400 63000 COMMODITIES 2.922 4.371 0 17,000 650t1(I FIXED CHARGES 124,390 117,917 131,720 152,2.io 66000 CAPITAL 169 100.022 0 0 67000 OE6T SERVICE 12,36' 11,3'2 12,100 12400 986,308 1,094,318 1,962,000 1,699,770 TOTAL City Council Rul 24 — 146 5/18/2021 SANITATION FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 13-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53702 Graffltl Restltutlon-Courts 3,458 3,433 10,000 10,000 53710 Abatement Control Charge 8.593 168 10.1300 10.000 63719 Sanllallon Charge 6,885,068 6,731,727 6,015,890 6.015,900 53720 Penalties & Service Charge 62.717 44.550 0 0 b/010 Mncellaneou5 Hecovene5 11,880 3,984 2,000 2,000 58000 Earning On Investments 90.396 134.671 10.000 10.000 59000-057 Transfer From Fund 057 0 200,000 200.000 200.000 TOTAL REVENUES 7.068,112 6.118.533 6.247,890 6,247,900 EXPENDITURES 06817640 PUB WKS-ENVIRONMENT/SANITATION 1.531.715 1.904.204 4.534,320 2.035.570 06817641 PUB WKS-ROADWAY CLEANING 7.309,996 7,9t2,385 3,ti12,(11t1 4,26<i,1340 (16817E43 PIlRWKB-STRFFTTRFFS 2.22y.679 0 0 0 TOTAL EXPENDITURES 6.071.391 4.816,589 8.346,330 6.299410 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 hi 0110 SALARIES a BENEFITS 3,010,512 1,805,274 2,46h,4.10 2,809,310 62000 CONTRACTUALS 913.873 911.024 1.704.400 1.844400 63000 COMMODITIES 203.685 203.296 181,210 181,210 65000 FIXED CHARGES 1,836,320 1,448,392 1,523,360 1,461,590 66000 CAPITAL 103.253 444.655 2.445,000 0 6/000 DFRT SFRVICF 0 0 3,900 2,900 68000 TRANSFERS 3.747 3.943 0 0 TOTAL 6.071.391 4.816.589 8.346.330 6.299.410 City Council 141 24 — 147 5/18/2021 REFUSE COLLECTION SERVICE DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50052 Rcfuse Contract Program Surcharge 6,374,007 6,770,353 0 0 52028 State Grants -Direct 194.331 210.667 166.250 172.000 63718 Refuse Collection Charge 11,074,778 11,312,154 12,000,000 12.00Q000 53720 Penalties & Service Charge 146.522 113.900 0 0 63/78 NPUFS Refine Residential 1 /y,008 180,10/ 191,000 202.100 53724 NPDES RofiAo Non-Rssidontml 737.402 873.093 952.350 947.300 57010 MISC0IIaI1COLIS Recoveries 1,353.539 1,354.966 0 0 57702 County Waste importation 1,772,667 9851889 885,200 790,000 58000 Earning On Investments 170,880 184,056 53,000 25,000 58002 Net Increase (Decrease) In Fai 273.968 0 0 0 TOTAL REVENUES 22.273.102 21.985.135 14.253.800 14.136400 EXPENDITURES 06917019 REFUSE INTERFUND TRANSFER 912.410 7,653,200 1.149.350 4,671,740 06917640 REFUSE COLLECTION SERVICE 1n,054,160 20,410,405 13,742,150 13,655,590 TOTAL EXPENDITURES 18.966.578 28.072.605 14.801.500 18.327430 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & EENEFITS 602,101 520,363 865,710 930,610 c20110 CONTRACTUALS 10,On0,9fi5 111,Ci50,005 11,725,tA0 11,721,31M 63000 COMMODITIES 12.965 16.137 19,990 27.000 f150110 FIXFO CHARGFS 7 259138 Q 793 401 1 130 7140 W6 780 68000 TRANSFERS 912.410 7.653.200 1.149.350 4.671.740 TOTAL 13.966.578 28.072.695 14.891.500 18.327.430 City Council 142 24 — 148 5/18/2021 EQUIPMENT REPLACEMENT FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56003 Non-Entcrprlsc ERC 1,198,324 1,265,267 1,257,220 1,257,200 56004 Enterprise ERC 429.553 685.468 405.860 405.900 57972 Sale of EgUipmom U U 74,700 74,700 58000 Earning On Investments S6400 88.367 25.000 2S.000 10 1 AL REVENUES 1 684177 ) ❑39 107 1 767 7140 1 7B', HO() EXPENDITURES 07017100 EQUIPMENT REPLACEMENT 590.972 33.023 1.325.100 2.005.000 TOTAL EXPENDITURES h90,9/2 38,028 1,32b,100 2,00b,000 ACTUAI ACTUAI ADOPTF❑ PROPOSFD OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 48.407 0 225.000 250.000 65000 CAF'I IAL 042.566 38,028 1.100.100 1,/00,000 TOTAL 590.972 38,028 1,325,100 2,005.000 City Council MR] 24 — 149 5/18/2021 BUILDING MAINT FUND DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56100 McFadden Branch Library 15,426 0 0 0 56101 Newhope Branch Library 24.813 62.730 62.730 62.700 66102 Rental Charge City Department 1,166,632 1,35b,370 1,356,370 1.35b 400 56103 Rental New Corporate Yard 822.679 743.340 743.340 743.300 b5104 Rental FI Saloadur Huddin9 92,366 68,010 68,010 513.000 56105 Rental Jeronla Building 172.335 148.270 148.270 148300 56106 Rcntal City Hall Anncx Buildin 921,030 1,032.210 1,032.210 1.032,200 56107 Rental Santa Anita Building 17,619 19,340 19,M0 19,300 56108 Rental Scnior Citizen Ccnccr B 26,816 65,940 65,940 65.900 56109 Rental Police Facility 677.821 722.200 722.200 722.200 58110 RantRl Lihrary Building 95,284 277,7,1(1 277,730 277,71)0 b6111 Rental Corbin ContLr Building 13,62b 48,260 48,260 48.300 56112 Rental Police Sub Station 7.010 7.000 7,000 7.000 b6113 Rental-Sue11mesi Senior Center 44,291 /1,E40 /1,640 /1,600 57990 MiscellaneouS Income 0 1.987 0 0 b8000 Earning On Investments 48,080 33,08b 0 0 TOTAL REVENUES 4,143.234 4.658.113 4,623.040 4.622,900 EXPENDITURES 07317100 BLDG MAINTENANCE 3.547.238 3.670.071 4.860470 5.256.700 0731710/) BUILDING MAINTENANCE 119,915 0 u 0 07317101 CUSTODIAL 633,017 1, 105,335 666,700 744,130 TOTAL EXPENDITURES 4,299.970 4,865,406 5.527.170 6,000.920 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 I410110 SALAHIES & BENEFITS 1,798,916 1,926,057 1,81H,3111 2,172,1)60 62000 CONTRACTUALS 2,032,776 2402,796 2,929,500 2.929,500 63000 COMMODITIES 122.253 101.435 89.270 89.200 1)5000 FIXFD CHARGFS 291,424 3Ei8,323 456,l90 726,:580 66000 CAPITAL 0 0 150.000 0 67000 DFPT SFR\IICF 54,702 1 66,796 1 83,500 1 83,1300 4,299,970 4,865,406 5,527,170 6,000,920 TOTAL City Council RE11 24 — 150 5/18/2021 FLEET MAINTENANCE DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53902 Mlsc Snvlcc Chargo 52,452 45,180 225,000 225,000 56000 Charges To Departments 3.084.378 3.979.375 3,709.090 3.709.700 66006 Accident Repair & Replacement 277,371 278,917 275,290 275,200 57000 Expense Reimbursement 33.002 0 25.000 2S.000 W006 FxpenSe Reindnvsernenl-Condemn 9n,264 0 0 0 57972 Sala of Equipment 33.522 14.693 50.000 50.000 57973 Sale of CNGCompress Natural G 135,010 130,418 200.000 200.000 68000 Earning On l nvesbnents 25,960 28,152 25,000 25,000 TOTAL REVENUES 3,661,984 4,471,785 4,509,980 4,510,000 EXPENDITURES 07517190 EOIJIPMAINT-UARAGEOPERATION 4,240,476 4,37(1,187 5,22o,Nau ,,912,aa6 07517101 FQ1JIP REPLACEMENT 26.366 0 200.000 202.400 TOTAL EXPENDITURES 4.266.843 4.370.137 5.420.340 E. 114.840 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 hi 0110 SALARIES& BENEFITS 2424,7.11 2,3b2,58ti .1,131,9t111 3,302,0bt) 62000 CONTRACTUALS 409.611 462.596 445.500 445.500 63000 COMMODITIES 587,397 668,928 522,710 522,700 65000 FIXED CHARGES 815,083 872,472 1,115,650 1,639,580 66000 CAPITAL 26.596 0 200,000 200.000 i; i000 DFRT SFRVICF 0 0 .1,000 h,000 68000 TRANSFERS 3.426 3.605 0 0 TOTAL 4.266.843 4.370.187 5.420.840 6.114.840 City Council R11 24 — 151 5/18/2021 STORES & PROPERTY CONTROL DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56000 Chaigcs To Depanmcnts 644,626 724,513 0 0 56001 Gas & Diesel Dept Charge Back 1.158.281 1.175.315 1.483.6190 1.483.600 66002 Store Adminislralive Charge Ba 229,643 278,061 245,500 245,500 57006 Expense Reimbursement -Condemn 0 3.931 0 0 b r010 MigCellane0U5 ReGOveneS 300 4,.y/6 b,000 b.000 57972 Sala of Equipment 13.672 4.401 25.Ot10 26.000 57974 Sale of Propane 34,882 39.699 35.000 35,000 58000 Earning On Invesbnents 0 88 10,000 10,000 TOTAL REVENUES 2,081 403 2,230,874 1,804,100 1,804,100 EXPENDITURES 07617102 STORES & PROPERTY CONTROL 1, 13,006 1,3g9,87h 1,fi97,9`50 1,763,970 TOTAI FXPFNf)ITIIRFS 1,513,006 1.369,376 1,697,930 1.763.970 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS & RFNFFITS 318.595 209,575 301,180 306,490 h20110 CONTRACTUALS 2,1ri5 10,504 51,701) 51,700 63000 COMMODITIES 936.058 864.100 1.050.000 1.050.000 65000 FIXED CHARGES 250,1P69 2H5,6617 295,1150 355,7H0 1.513.006 1.369.876 1.697.930 1.763.970 TOTAL City Council 146 24 — 152 5/18/2021 CITY YARD OPERATION DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53739 Rental -Serve 0 7,330 9,700 9.700 53804 Parking Meter & Fatalities Rev 13,715 13,764 13,760 13,800 53826 Rental-Aldrdgc Group 0 28,484 30,000 30.000 56115 Rental Corporate Yard - PO 15,600 15,600 15,600 15.601) 5b20t1 Float Meintananco 444,140 48845(1 48ri,460 4tf8,500 56201 Traffic Signal Maintenance 7.075 7.781 7.780 7.800 56203 Roadway Cleaning 97,800 107,558 107,500 107,600 51,204 Streat Trae 2,1,295 25,618 25,620 25.601) 56205 Park Maintenance 104.640 107.558 107,560 107,600 5fi?Ofi Store 201 075 ?21 O83 221 ORO 221 100 51,207 Watur MalntunanCC 208,015 228,770 228,770 228,81J0 57010 Miscellaneous Recoveries 900 900 5,000 5,000 58000 Earning On Investments 0 433 2.000 2.000 IOI AL REVEN U E S 1,116,20b 1,2b3,33/ 1,262,890 1,263. 100 EXPENDITURES 08517138 CI I Y YARD OPERA I IONS 1, 163,012 1,204119 1,231,550 1,219.230 TOTAL EXPENDITURES 1.163.012 1.204419 1,231,550 1,319.230 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS 6 RFNFFITS 61.665 67,901 87,960 4;1,060 62000 CONTRACTUALS 244.933 282.309 269.200 283.000 63000 COMMODITIES 17.245 7,454 22,670 12.670 65000 FIXED CHARGES 839,170 8Cj1,754 ti55,720 900.400 1.163.012 1,204A19 1,231.550 1.319.230 TOTAL City Council 24 - 153 5/18/2021 PUB WKS ENG/PROJ MGMT DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 51702 Parking Pencil Fees 252,645 277,831 3001000 0 51703 Sewer construction Perim 24417 25,374 20,000 50.000 51704 Strect Constriction Permits 1.197.919 988,763 800.000 800,000 56000 Charges To Departments 1,073,700 1,655,412 7,783,060 9,920.000 5b:105 Englnaering Servlre Charge 1,210,830 1,053,200 800,000 I) 57006 Expensc Reimourscment-C onderN 57.507 85459 30.000 0 57010 M,scellaneouR Recoveries 4,775 1,176 0 0 57791) Ahantlonment ProoesAing 17403 2,009 5,000 1) 58D00 Earning On Investments 8.165 14.275 0 D 590IN7-099 Transter Frnm Gas Tax Rmri 099 0 0 10 000 10 000 IOIALRLVLNULS b,847,360 7,10340D D,746,080 10,780.00D EM ENDITURES 08817611 CONS I RUC I ION LNGINLLHING 2,804,688 3,370,140 3,469450 0 08617612 DESIGN ENGINEERING 4.012.580 4,170,936 5,930,670 D 08617613 Or ENGINEERING 0 0 0 10.181.370 08617620 I RAHHIC ENGINEERING 281,755 303,140 317,940 0 TOTAL EXPENDITURES 7.189.021 7.844.216 9.743,060 10,181.370 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS 6 RFNFFITS 4,2y0,810 4,454,750 5,707,130 5,794,H00 62000 CONTRACTUALS 367.082 246.452 773.050 756.800 63000 COMMODITIES 41.737 60,269 66,430 65.900 65000 FIXED CHARGES 2411 444 2,964,591 3.082,580 3.4:36.8H0 67000 DEBT SERVICE 0 U 3.200 3.200 68000 TRANSFERS 117.948 1 118,154 115.670 1 113,790 TOTAL 7,189,021 7,844,216 9,748,060 10,181,370 City Council RF. 24 — 154 5/18/2021 PUB WKS-ADMIN & PLANNING DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 51702 Parking Pcm)It Fecs 0 0 0 300,000 53740 Small Cell App Fee for City Facilities 0 0 0 75.000 56000 Charges To Deparinn nms 4,504,570 5,589,200 5,589,200 6,705,300 56305 Engineering Service Charge 0 0 0 1.000.000 g/010 Mncellaneou5 ReGOveneS 9.329 338 0 0 57700 Ahandonmant Processing 0 U 0 5.000 58000 Earning On Investments 73,207 39,350 0 5.000 TOTAL REVENUES 4.587.106 5.628.888 5.589200 8.090.300 EXPENDITURES 10117601 PUB WKS-ADMIN SERVICES 2.848.796 3.159.121 5.100,230 5.115.960 10117605 PUB WKS-DEVELO( MENT ENGNRING 1,7W,(87 ),437,107 3,137.5P0 J. 133, 150 TOTAI FXPFNf)ITIIRFS 4,629,878 5.596,229 8,232,920 8.249.110 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS & RFNFFITS 2,305,351 3, 298,307 4,332,730 4,922,970 h20110 CONTRACTUALS 639,932 H81,416 2,170,3011 1,10H,7H0 63000 COMMODITIES 98.013 51.196 224.860 80.600 650110 FIXED CHARGES 76A,733 1,26A,449 1,406,310 2,039,630 66000 CAPITAL 21.073 0 0 0 67000 DEBT SERVICE 0 0 2200 2.200 i"H000 TRAN5FFRS 9B,/// 9E3,A61 G6,H2O 94,950 TOTAL 4,629.878 5,596,229 8,232,920 8,249,110 City Council i[6'1 24 — 155 5/18/2021 EMERGENCY & HEALTH GRANTS DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 Statc Grants-Dlrect 8,603 0 0 0 58000 Earning On Investments 161 9 0 0 IO IAL REVENUES 6,764 9 0 0 EXPENDITURES 12217331 FEMArOES DISASTER ASSISTANCE 0 127,000 0 0 TOTAL EXPENDITURES 0 127,000 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i56000 CAPITAL 0 121.000 tl 0 TOTAL 0 127.000 0 0 City Council 150 24 — 156 5/18/2021 FEDERAL AID SAFETY PROGRAM DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Fcdcral Grant-Ind1rcct 690,399 15,300 0 0 52027 State Grants -Indirect 0 0 0 '170.800 101 AL REVENUES 690,399 15,300 0 170,800 EXPENDITURES 14717611 PUB SVS-STREET SAFETY PROJECTS .116,037 20,880 1 0 170,800 TOTAL EXPENDITURES 316037 20380 0 170,800 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 65000 FIXED CHARGES 278.967 0 0 0 66000 CAPITAL 37.070 20.380 n 170.800 316,037 20,380 0 170,800 TOTAL City Council 151 24 — 157 5/18/2021 TRAFFIC SYSTEM MGMT GRANT DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 Slate (3ranjyD,reGl 77S,G39 752,576 12,610,000 4,849.000 TOTAL REVENUES 775.539 752.576 12.610.000 4.849.000 EXr ENDITURES 14817613 ACTIVE TRANSPORTATION PROGRAM 1,033,674 2,045,08t, 0 0 14817614 ACTIVE TRANSPRT PRGM AUGMENT 26.026 922,694 1 12.610,000 4.849.000 TOTAL EXPENDITURES 1,059,700 2,966.6f10 12,610,000 4,$49,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 1.059.700 2.968.680 12.610,000 4,849.DOD 1,059,700 2,966,660 12,610,000 4,640,000 TOTAL City Council 152 24 — 158 5/18/2021 WIC ASSESSMENT DIST ST IMPRV DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58000 Earning on Investments 0 589 0 0 58005 Investment Income Trnistee 747 31 0 0 101 AL REVENUES 747 670 0 0 EXPENDITURES 14917660 WIC ASSESSMENT DIST ST IMPRV (60,739) U 0 0 TOTAL EXPENDITURES (60.739) 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i56000 CAPITAL (60.139) 0 tl 0 TOTAL (60.739) 0 0 0 City Council 153 24 — 159 5/18/2021 PUB WKS-WTR QUALITY & CONTROL DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 Statc Grants Dlrcct 0 105,229 0 D TOTAL REVENUES 11 105,223 ❑ ❑ EXPENDITURES 16417640 PUB WKS-WTR QUALITY & CONTROL (9.867) 0 0 0 16417642 CA Natural Resources Grant 0 518,326 0 0 TOTAL EXPENDITURES (9.867) 518.326 0 0 ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i560110 CAPITAL (9,HG/) 918.32h tl 0 TOTAL (9.867) 518.326 0 0 City Council 154 24 — 160 5/18/2021 OFFICE OF TRAFFIC SAFETY GRANT DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Fcdcral Grant -Indirect 71,482 49,997 0 0 TOTAL REVENUES 71,482 �9,907 u ❑ EXPENDITURES 1 h517ti11 OTS-HICYCLE SAFETY PWA 92.463 36,850 1 0 0 TOTAL EXPENDITURES 92,463 36,850 0 D ACTUAL ACTUAL ADOPTE❑ PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 92,463 36,850 0 D 92,463 36,850 0 0 TOTAL City Council 155 24 — 161 5/18/2021 LOCAL DRAINAGE AREA NO 1 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On InveSjmeril5 2 6 0 0 TOTAL REVENUES 2 6 0 0 City Council 156 24 — 162 5/18/2021 LOCAL DRAINAGE AREA NO 2 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 23 26 0 0 TOTAL REVENUES 23 26 0 0 City Council 157 24 — 163 5/18/2021 LOCAL DRAINAGE AREA NO 3 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 12,399 13,847 0 0 TOTAL REVENUES 12.399 13.847 0 0 City Council W-1 24 — 164 5/18/2021 LOCAL DRAINAGE AREA NO 4 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerds 17 19 0 0 TOTAL REVENUES 17 10 0 0 City Council mWel 24 — 165 5/18/2021 LOCAL DRAINAGE AREA NO 5 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerds 10 11 0 0 TOTAL REVENUES 10 11 0 0 City Council ICH 24 — 166 5/18/2021 LOCAL DRAINAGE AREA NO B DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 14 16 0 0 TOTAL REVENUES 14 16 0 0 City Council 161 24 — 167 5/18/2021 LOCAL DRAINAGE AREA NO 7 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58000 Earning on Investments 3,644 3,536 0 0 ,i m 0 TOTAL REVENUES EXPENDITURES 20717660 PUB WKS- STORM DRAIN CONST 36.414 0 0 0 TOTAL EXPENDITURES 36,414 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 36.414 0 0 0 36,414 0 0 0 TOTAL City Council 162 24 — 168 5/18/2021 LOCAL DRAINAGE AREA NO 9 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On InveSjmeril5 12 13 0 0 TOTAL REVENUES 12 13 0 0 City Council IM] 24 — 169 5/18/2021 LOCAL DRAINAGE AREA NO 10 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmenls 282 315 0 0 TOTAL REVENUES 282 315 0 0 City Council Irm 24 — 170 5/18/2021 LOCAL DRAINAGE AREA NO 11 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On InveSjmeril5 4 4 0 0 TOTAL REVENUES 4 4 0 0 City Council IF-31 24 — 171 5/18/2021 LOCAL DRAINAGE AREA NO 12 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On Inveslmerils 0 0 0 0 TOTAL REVENUES 0 0 0 0 City Council 166 24 — 172 5/18/2021 LOCAL DRAINAGE AREA NO 13 DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50000 Eaming On InveSjmeril5 44 49 0 0 TOTAL REVENUES 44 40 0 0 City Council ICYA 24 — 173 5/18/2021 LOCAL DRAINAGE AREA DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50500 Drainage Fee 33,330 28,536 0 0 58000 Elminy On Investments 14,174 18485 0 0 47.554 45,041 0 0 TOTAL REVENUES City Council 24 — 174 5/18/2021 LOCAL DRAINAGE AREA II DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50500 Dialnagc Fcc 19,287 44,461 0 0 58000 Earning On Investments 5.693 3.227 0 0 IO IAL REVENUES 24,980 47,688 0 0 EXPENDITURES 22217660 PUB WKS-STORM DRAIN CONST 425,512 U 0 0 TOTAL EXPENDITURES 425512 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i560t10 CAPITAL 429.012 0 tl 0 TOTAL 425.512 0 0 0 City Council i[:Fs1 24 — 175 5/18/2021 LOCAL DRAINAGE AREA III DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50500 Dialnagc Fcc 4,678 810 0 0 58000 Earning On Investments 7.883 8377 0 0 101AL REVENUES 12,561 9,187 0 0 EXPENDITURES 22317660 PUB WKS-STORM DRAIN CONST 0 58,945 0 0 TOTAL EXPENDITURES 0 58.945 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66ptln CAPITAL 0 58.94a tl 0 TOTAL 0 58,945 0 0 City Council 170 24 — 176 5/18/2021 LOCAL DRAINAGE AREA IV DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 50500 Dralnaqc Fcc 114,881 101,167 0 0 58000 Earning On Investments 7.412 10.282 0 0 IO IAL REVENUES 122,293 111,449 0 0 EXPENDITURES 22417660 PUB WKS-STORM DRAIN CONST 0 72,839 181,500 50.000 TOTAL EXPENDITURES 0 72.339 181,500 50.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 i5fi00n CAPITAL 0 /2,339 181,D00 b0,000 TOTAL 0 72,339 181.500 50.000 City Council 171 24 — 177 5/18/2021 LOCAL DRAINAGE AREA V DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50500 Drainage Fee 35,838 1,107 0 0 58000 Eattllny On Investments 3,232 3,0h3 0 0 39,120 5,070 0 0 TOTAL REVENUES City Council 172 24 — 178 5/18/2021 LOCAL DRAINAGE AREA VI DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTE❑ FY 20-21 PROPOSED FY 21-22 REVENUES 50500 Drainage Fee 43,835 (1,123) 0 0 58000 Eattllny On Investments 2,S90 3,716 0 0 46,876 2,537 0 0 TOTAL REVENUES City Council 173 24 — 179 5/18/2021 SCAG GRANTS DEPARTMENT RESOURCE SUMMARY PUBLIC WORKS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Federal Oranl-Indirect 0 27,563 28,480 0 TOTAL REVENUES 0 27,563 28,4H0 0 EXPENDITURES 40317600 PUBLIC WORKS SCAG GRANT 0 27,563 1 0 0 TOTAL EXPENDITURES 0 27,563 0 U ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 10-20 FY 20-21 FY 21-22 65000 FIXED CHARGES 0 27,563 0 0 0 27,563 0 0 TOTAL City Council 174 24 — 180 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 175 24 — 181 5/18/2021 Community Development Agency city uounciI 24 — 162 bll blLU21 176 I ij ;6Ye1f1 aq; I &I I I In, iT, IeT a7 COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01118017 CDA -SERVICE ENHANCEMENT 0 0 0 1,800,000 01118810 ECONOMIC DEVELOPMENT 916.920 1.402.732 930.770 918.150 01118H11 HOMFI FSS SFRVICFS J55,284 :i5Ei,927 624,890 401,510 01118812 CDAADMIN 0 94.276 105.990 193.470 01118825 SALES TAX REBATE AGREEMENT 181,391 758,005 2,000,000 48F.000 TOTAL EXPENDITURES 1,3b3,596 2,611,990 3,561,6g0 3, 198,130 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 61000 SAI ARIFS & RFNFFITS 853,81E 953,081 1,002,020 1,071,690 621ll10 CONTRACTUALS a90,rdEiS 1,265,327 2, 134,200 2,172,421) 63000 COMMODITIES 12.403 30.607 14,800 14.250 Ei5000 FIXFn CHARGFS 9B 409 186 614 100 030 139 770 69000 MISCELLANEOUS 0 176,361 250,000 400.000 1,353,596 2,611,990 3,561,650 3,798,130 TOTAL City Council 177 24 — 183 5/18/2021 DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUA ACTUAL ADOPTED PROPOSED ACTIVITIES L FY 18- FY 19-20 FY 20-21 FY 21-22 REVENUES 57000 Expense Reimbursement 886 43.102 0 0 bBDDD Edrnimi On Inves Uneuls 7.754 5,8t)6 1) D 8,640 43,902 0 O TOTAL REVENUES EXPENDITURES 02518820 ENTERPRISE ZONE 249,992 35,000 0 109,000 TOTAL EXPENDITURES 299.992 35.000 0 109,000 ACTUA ACTUAL ADOPTED PROPOSED OPERATING EXPENSES L FY 18- FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 49.992 35.000 0 109.000 68DOD TRANSFERS 250.000 0 0 0 299,992 35,000 0 109,000 TOTAL City Council WAR. 24 — 184 5/18/2021 Iii;6jelflag;I&I I I Ind iTi IeT a7 COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 53804 Parking Meter & FaciGGes Rev 1,763,311 1,512,102 2,650,000 1,271.770 53903 Broadway Structure 644.672 511.201 600.000 351.400 53904 Spurgeon Slniclure 471,287 401,976 450,000 268,300 53905 Birch Structure 408.280 419.387 425.000 328.900 539011, Main Structure 285,106 283,398 250,000 244,600 53907 Bush Parking Lot 31.614 33.705 50,000 D 55000 Parkinrl Fines 443.076 307, 136 450,000 240.000 57!100 Misrellananus Income 14,3:ih R,713 10,000 :3,111111 58000 Earning On Investments 35.949 9,519 15,000 0 TOTALREVENUES 4.102.631 3435.338 4.900.000 2.707.870 EXPENDITURES 02718131 PARKING METER 1.311.335 1.210.179 1.509.630 1.383420 02718132 PARKING FACILITIES 1,984,281 1,728,20H 1,6H1,570 1,r425,310 U27I P133 DOWNTOWN ENHANCEMENTS 3.692479 1,990,094 2,221,660 1,029.720 TOTAL EXPENDITURES 6,988,094 4,926,482 5,092,860 3,738450 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 2.466.247 1.704.588 2.030.920 1.174480 62000 CONTRACTUALS 3.034.035 2.644,932 2.893,200 2.229.830 F;3000 COMMODITIES 55, 169 20.391 77,030 41,500 65000 FIXED CHARGES 358.457 424.155 386.210 292.140 86000 CAM IAL 1,073,737 125,016 0 0 67000 DEBTSERVICE 0 0 500 500 HOW IRANSFLRS 428 451 0 0 6.988.094 4.926.482 5.392.860 3.738.450 TOTAL City Council WAWA 24 — 185 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES IlbU I till I is CUA COUNCIL SPtCIAL PhOJ 16.700 1.000 0 0 TOTAL EXPENDITURES 16,700 1,000 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 16.700 1,000 0 0 16.700 1,000 0 0 TOTAL City Council - 24 — 186 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 05218018 CDA STRATEGIC PLAN PROJ 352.175 253.294 0 0 TOTAL EXPENDITURES 352,175 253,291 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 181,808 95.622 0 0 (12000 CONTRACTUALS 75,843 1(10,2N0 (1 [) 63000 COMMODITIES 8.100 14,660 0 0 65000 FIXFf) CHARGFS 16.341 0 0 0 69000 MISCELLANEOUS O0,984 47,722 0 0 352,175 255,294 0 0 TOTAL City Council 181 24 — 187 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 05318021 CDAAGYSERVICES 0 3.919 0 0 TOTAI FXPFNDITURFS 0 3,919 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 3.919 0 0 0 3,919 0 0 TOTAL City Council 182 24 — 188 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 State Grant. Direct 3.690.886 0 0 0 .52029 State Grants -Direct COVID 0 796.:308 0 0 58000 Eeminy On Inveetrnente 37.211 68.597 105.110 5.000 58002 Nei Increase(Decrease) In Fa, 0 199,03E 0 0 SBOIIt) Interest tarnetl on Ativanr;ed He ❑ 8,126 11 ❑ 58007 Intorast Earnod on Advanced Raraived-8M 0 21.37E 0 45.000 TOTALREVENUES 3,728,09b 523,450 105,110 50,000 EXPENDITURES 12218700 HEAP Grant 0 1,529,770 2,610,970 235.320 12213710 HHAP COVID-19 0 226,308 0 0 12218715 HHAP GRANT 11 0 0 1,Ob1,120 TOTAL EXPENDITURES 0 1,756,07E 2,610,970 1,296440 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES&BENEFITS 0 9,603 36,210 141,090 62000 CONTRACTUALS 0 204.844 0 267.520 63000 COMMODITIES 0 21.751 5,000 100 63000 FIXED CHARGES 0 0 3,300 13,9b0 t190110 MISCELLANEOUS 1 01 1,519,8791 2,566,460 873.730 0 1,756,07E 2.610,970 1.296.440 TOTAL City Council W:W 24 — 189 5/18/2021 WORKFORCE INVESTMENT ACT DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-15 FV 15-20 FY 20-21 FY 21-22 REVENUES 521101 FHdHml Gr811t-IIll11rw.t 2,449,911 3,047,583 2,3H7,100 2,344,HH1) 57000 Expensc Reimbursement 127 7.853 400 40D 57900 RAntAI Of Prnperty 1A0G98 27fi,320 299,830 'i0H,H30 TOTAL REVENUES 2.630.736 3,331.763 2,687,330 2,654,11D EXPENDITURES 12218740 VVIA 157. GRAN 1 2,255 0 0 0 12318748 WDBADMIN 150.054 120.345 136,420 131.730 12318750 WDB YOUTH COUNCIL 506.867 500.975 546.060 624.190 12S I8751 ONE STOP PROGRAM 659,533 929,457 1,056,240 871,900 12318752 ONE STOP ADMIN 143416 111,994 95,200 87.750 12318753 ONE STOOP ADULT 411 949 352.433 429.340 289.500 1731 H754 ONF STOP fNSI OCATFD WRKR 'J73,3A8 277,706 407,390 1142,8.50 12310755 ONE STOP YOUTI I (YSPN) 281,430 98,324 112,620 164.470 12318756 ONE STOP RAPID RESPONSE 523.531 324.402 324.400 239.970 12318757 WDD PROGRAM 95.150 172.765 129.730 92,330 12318762 NAT DW Em&ymenl RCVRY- NDGW 0 750 0 0 TOTAL EXPENDITURES 3.047.623 2.834.159 3.087.330 2.634.720 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 1,590,795 1,554,044 1,370,320 1,116,090 620n0 CONTRACTUALS 606.989 484.359 625.060 614.160 63000 COMMODITIES 29,544 16,217 23,790 11,080 hC1101) FIXED CHARGES 244,324 238,083 274,420 21)LB70 69000 MISCELLANEOUS 575.971 541.456 793.740 688.520 3,047,623 2,834,159 3,087,330 2,634,720 TOTAL City Council 24 — 190 5/1 S/2021 ORANGE COUNTY SSA GRANTS DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52001 Federal Grant-Innirect 742,480 687,602 851,450 838,070 TOTAL REVENUES 742.480 687.602 851.450 838.970 EXPLNDI I URLS 12418737 SSAVTWEX 535,110 593, 102 838,970 636.070 12418743 GOODWILLWIOAVEAP 0 21.164 240 0 12418750 OCWIOA 127,050 31,745 6,240 0 12418751 RSCCD Grant 0 51_221 6.000 0 TOTAL EXPENDITURES (172,1W) B147,2.Q 851,450 838,97() ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 610oo SALARIES B BENEFITS 483,574 452,235 528,540 530,460 62000 CONTRACTUALS 31.837 24.362 19.530 22.780 t13000 cOMMODITIES 1,S64 681 n50 n511 65000 FIXED CHARGES 44.215 50.579 48.850 46.790 69000 MISCELLANEOUS 110.950 169.375 253.680 1 238,090 672,160 697,232 851,450 838,970 TOTAL City Council ff-11 24 — 191 5/18/2021 HOME PROGRAM FEDERAL GRANT DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-15 FY 10-20 FY 20-21 FY 21-22 REVENUES 5211011 FHdHml Grant-Dlr.i.t 1,Oti4,060 422,997 1,818,700 5,2D9,6511 56900 Principal Repayment 161.660 402.254 160,000 150.0D0 56901 Interest Repayments 52,168 g4,039 115,000 100,000 57001) MIGLAMILUl1G 111LUIrIL 510 270 0 0 58000 Earning On Investments 3.610 11.732 3,500 6500 TOTALREVENUES 1,292,017 931,H03 2,097,200 5466,151) FXPFNDITLIRFS 13018780 FEDERAL GRANT- HOME PROGRAM 1.102.918 426.822 5.548.720 �406.150 TOTAL EXPENDITURES 1,102,a18 426,822 5,598,(20 5.466,15D ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-15 FY 10-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFI I S 164.618 232.586 316.730 284.460 62000 CONTRACTUALS 26,1 V 28,W30 71.030 43,970 63000 COMMODITIES 1.242 1.772 4.360 2.250 65000 FIXED CHARGES 32.678 40.051 45.400 52.270 69000 MISCFI I ANFOUS 877,6fi6 194,303 5,1fi1,900 5,083.7,w TOTAL 1.102.518 426.822 5.598.720 5,466.150 City Council 186 24 — 192 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 57893 Iss.er Fees/SeWemera 49,649 46,461 50,000 50.000 58000 Earning On Investments 45.132 50.215 45.000 35.000 TOTAL REVENUES 94,831 96,611 9�,000 8D,000 EXPENDITURES 13318730 HOUSING AUTHORITY -ISSUER FEE 71,t327 42,t164 95,000 67,4S0 71827 42.384 95.000 87.450 TOTAL EXPENDITURES ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 611100 SALARIES K EENEFI IS b8p99 29-mb M,480 /2,3911 62000 CONTRACTUALS 437 849 13,560 500 Ei3000 COMMODITIES 1,13R 227 3,000 1,3H0 65000 FIXED CHARGES 11,653 12,422, 17,960 13.180 71,027 42,884 95,000 87,450 TOTAL City Council W-VA 24 — 193 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 58000 Earnfny On Invesimeras 387 5 0 0 TOTAL REVENUES 287 fi 0 0 EXPENDITURES 1341a740 COMMUNITY DEVELOPMENTADMINIST 0 22.8311 0 0 TOTAL EXPENDITURES 0 22.881 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 EiH1100 TRANSFERS 0 22,881 0 0 0 22,851 0 0 TOTAL City Council :: 24 — 194 5/18/2021 COMMUNITY DEV BLOCK GRANT DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52000 Fetferal Granl-DireGl 3,735,579 8,126,853 6,725,570 6,047.870 52008 Federal Grant -Direct COVID 0 U 0 3,339,8a0 52010 Federal Grant -Direct COVID ESG-CV 0 0 0 10,226.190 53307 Youth Field Usage Fee 9,331 8,771 10.800 6,000 53316 Leisure Classes 10,931 7,229 11,500 6,000 56900 Principal Rcpayrncnt 119.497 20.967 27.600 75.000 56901 Interest Repayments 32,427 11,850 10,800 15,000 57961) HBwAl Of Property 121,000 146,300 145,200 145,201) 57990 Miscellaneous Income 0 270 0 0 5900n-114 Transfer Frnm Find 114 0 22 881 29n 24n 0 IOIALRLVLNULS 4,028,764 8,345,120 7,224,710 19,b51,150 EM ENDITURES 13518780 COMMUNI I Y DLVLLOPMLN I AOMINIS I RA I ION 975403 1,084,130 1,158,31JU 1,117.740 13518782 COMMUNITY DEVELOPMENT -HOUSING 168.666 101,000 1,687,050 480,000 13518783 CDBG PROGRAMS 2.204.929 6.894.134 3.878.110 4.608.180 135IB785 HUD -EMERGENCY SOLU I IONS GRAN I 556,571 455,089 500,950 189,150 13518788 CDBGCV 0 845,751 0 2,939.891) 13518789 ES( -CV 0 10.590 1 0 10226.190 TOTAI FXPFNDITURFS 3,905,659 9,395,694 7,224,710 19,861.150 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES R BENEFITS 1.539.787 1,387,858 1.615,790 2.055.690 62000 CONTRACTUALS 177,730 204456 192,110 300.890 63000 COMMODITIES 0.761 5.545 7.280 12.730 65000 FIXED CHARGES 464.833 211,825 222.870 267,160 66000 CAPITAL 293,131 5,360.114 2,100,000 2,983.000 c9000 MISCELLANEOUS 1423416 1 2,225,894 3,06E;,5ti0 14,241,68t) TOTAI 3,905,659 9,395,694 7,224,710 19,861,150 City Council WE 24 — 195 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 52000 Federal Grant -Direct 30,S31,517 33,279,S05 33,875400 38,000.000 52006 Foster Youth Independence TPV 0 213.296 320.000 600.000 52007 Velerans Affairs Supportive Housing 0 446,032 1,48Q,100 M100,000 57800 Fraud Recovery -HUD 9.967 5.204 5.000 5.000 57894 FSS Terminated Received 92,395 31,288 2G,000 30.000 58000 EErming on Inve5hmeni5 153 o 0 0 TOTAL REVENUES 30.634.032 34,025.325 35.705.500 40.135.000 FXPFNnlTl1HFS 11618760 HOUSING AUTHORITY -VOUCHER HAP 30,584,187 32,60e,804 .15,705,500 40,135,000 TOTAL EXr CNDITURES 30.584.187 32.606.804 35.705.500 40.135.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 15-19 FY 19-20 FY 20-21 FY 21-22 69000 MISCELLANEOUS 30.584.187 32.606.804 35,705,500 40,135.000 30,584,187 32,606,804 35,705,500 40,135,000 TOTAL City Council 1011 24 — 196 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 52000 Federal Graa1-Dlrecl 1,980.243 2,121,924 2,100,000 2,250.000 TOTAL REVENUES 1 980 243 2 121 yl4 7 100 000 7 '250 000 EXPENDITURES 13718750 I IOUSINGAUTI IORITY-NED 1.980.243 2.121.924 2,100.000 2.250.000 TOTAL EXPENDITURES 1.980.243 2.121.924 2.100.000 2.250.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY18-19 FY 19-20 FY 20-21 FY 21-22 fi911011 MISCELLANEOUS 1,980,243 2,121,924 2,100,000 2,250,001) TOTAL 1,880,243 2,121,924 2,100,000 2,250,000 City Council 191 24 — 197 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 52000 Federal Gran[-Dlrect 390.256 450,341 1,316,730 2,633.500 58000 Earning On Investments 3.040 0 0 1.500 TOTAL REVENUES 393,296 4]0,341 1,316,/30 2,63D,000 EXPENDITURES 13816760 Hrnising Au[hrxibpM$5 16,416 810,054 1,316,7:i0 2,635,000 TOTAL EXPENDITURES 16.416 810.054 1.316.730 2.635.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 hW1011 MISCELLANEOUS 16,41f, 810,064 1,a1[i, /3[7 2,(1:3h,0011 16,416 810,064 1,316,730 2,635,000 TOTAL City Council 192 24 — 198 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52000 Federal Grant -Direct 14.546 36.825 179.100 225.000 58000 Earning On Investments 0 10 0 11 I G IAL REVENUES 14,546 36,835 179,100 225,000 FXPFNraITURFS 1391878I1 ADMIN- Msainstream 5 Vnurhers 0 0 179.100 225.000 11913730 HOUSING AUTHORITY- NFW CONSTRUCTION 0 351364 0 0 TOTAL EXr ENDITURES 0 35.364 179.100 225.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 0 29.517 66.050 104.950 62000 CONTRACTUALS 0 0 106,950 1,020 6h nt) FIXED CI IARGES (1 D,Mt 4,100 13,1130 Pi9O110 MISCELLANEOUS 0 0 01 1D6.000 TOTAL 0 35,364 179,100 225,000 City Council WON 24 — 199 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 52000 Federal Gran[-Dlrect 2,865.950 3,097,222 3,175,880 3,825.000 52003 HCV-FSS Coordinator 110.464 127.992 156.100 152.540 52004 HCV- Additional Ad[nin Fee 4,074 _3,445 4,000 4,000 57000 Expense R6nl1buf36n16n[ 58.014 53.373 0 56.000 57890 Fraud Recovery -HUD 9,967 5,204 10,000 51000 58000 E�rming on lnvesimenis E412 2,835 7,000 2,500 TOTAL REVENUES 3.054.881 3,290.071 3,352980 4.045.040 FXPFNnITIJHFS 14018760 HOUSING AUTHORITY-VOLJCH FRS ADM 3,138,E61 9,015,43E 9,952,980 4,045,040 TOTAL EXf CNDITURES 3.138.R61 3.015.936 3.352 980 4.045.040 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 15-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 1.629.005 1,567.973 1,991,700 2,094.440 62000 CONTRACTUALS 1%.761 198.626 234.150 37r).910 89000 COMMODITIES 6b,91( 6b,280 91,6i0 8b, r00 65000 FIXED CHARGES 413.461 389,634 350,460 362950 60000 MISCELLANEOUS 831.918 194,423 68b, 000 1, 126,440 3.138,661 3.015.936 3.352.980 4,045,040 TOTAL City Council 10111 24 — 200 5/18/2021 NSP FEDERAL GRANT DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56900 Prinpipal Repayment 33,017 42,856 0 40.000 58000 Earning Cm Investments 1a),780 22,325 1,372,180 5,000 102.797 65,181 1,372,180 45,000 TOTAL REVENUES EXPENDITURES 14219760 NEIGHBORHOOD STABILIZE PRGM 1 8.172 15,522 980.720 720,000 11213761 ARRA NOHERHD STABILIZE PROM 2 10,310 5,662 290,210 346,720 142187b2 NGHBRHD STABILIZE PRGM 3 4,545 4,212 101,220 101,41D TOTAL EXPENDITURES 23.026 25,395 1.372,180 1.168.130 ACTUAI ACTUAI ADOPTFD PROPOSFD OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES 8 BENEFITS 17,980 18,808 91,180 81,340 62000 CONTRACTUALS 2.699 4,821 11,170 96,090 63000 COMMODITIES 58 58 5.560 300 65000 FIXED CHARGES 2,290 1,708 10,070 11.220 68000 TRANSFERS 0 0 290.240 0 Ci9000 MISCELLANEOUS 0I 0 963,960 976.180 TOTAL 23,026 25,395 1,372,180 1,168,130 City Council 1071 24 - 201 5/18/2021 CALHOME MFGD HSG LOAN DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTED FY 20-21 PROPOSED FY 21-22 REVENUES 58000 Eaming On Investments 8.061 9.318 0 0 IOIALRLVLNULS 8,061 9,318 0 0 City Council 196 24 — 202 5/18/2021 PRISON TO EMPLOYMENT PROGRAM DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 State Grante Dlrcct 0 0 0 2,884.310 OIALREVENUES 0 0 0 2.884.310 EXPENDITURES 144167ti0 PRISON TO EMPLOYMENT PROGRAM 0 0 3,816,970 2.884,310 OIAI FXPFNI)IIt1RFS 0 0 3,616,970 2.084.310 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES Fy18-19 FY 19-20 FY 20-21 FY 21-22 G10n0 SALARIES X BENEFITS ❑ 0 239,090 :374,430 t;2000 CONTRACTUALS 0 0 21,940 4t).mh) 63000 COMMODITIES 0 0 5.000 1.200 G5nn0 FIXED CHARGES ❑ 0 21,5Hn 5G,49n 69000 MISCELLANEOUS 0 0 3,528,760 2.402,580 0 U 3,81ti,97U 2,884,310 TOTAL City Council WON 24 — 203 5/18/2021 RENTAL REHABILITATION GRANT DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-15 FY 10-20 FY 20-21 FY 21-22 REVENUES 5811011 Carning On InvBmniHnm 64112 7,251 7,000 5,0110 TOTALREVENUES 6492 7,2.51 7,000 5.000 EXPENDITURES 14518760 RENTAL REHABILITATION GRANT 0 0 396,500 398.000 TOTAI FXPFNOITIIRFS 0 (1 396,500 398,)110 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 69000 MISCELLANEOUS 0 0 396.500 398.000 0 0 390,500 398,000 TOTAL City Council WON 24 — 204 5/1 S/2021 HSG ADM IN CARES ACT COVID-19 DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52008 Federal Grant -Direct COVID 0 70,395 0 0 58000 Eaming On InvPstmenls tl 4 0 0 TOTAL REVENUES 0 70,399 0 0 FXPFNDITHRFS 15718760 HSC AUMIN CARES AC I COVID-19 0 70 395 1 0 0 TDTAL EXPENDITURES 0 70 395 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES&BENEFITS 0 62,956 0 0 62000 CONTRACTUALS 0 786 0 0 651111() FIXED CHAHCES (1 6,853 11 U 0 70,395 0 0 TOTAL City Council ILF'7 24 — 205 5/18/2021 S62 Planning DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 1501070n PLHA 0 0 0 174,600 TOTAL EXPENDITURES n 0 0 1748n0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 69000 MISCELLANEOUS 0 0 0 174,600 TOTAL 0 0 0 174,600 City Council f► eff 24 — 206 5/18/2021 MS5 HAP CARES ACT COVID-19 DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52008 Federal Grant -Direct COVID 0 0 0 565,000 TOTAL REVENUES 0 0 0 565.000 EXPENDITURES 170187ti0 MS5 HAP CARES ACT COVID-19 0 0 0 565,000 TOTAL EXPENDITURES 0 0 0 565,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FYIS-19 FY 19-20 FY 20-21 FY 21-22 69000 MISCELLANEOUS ❑ 0 0 51;5,n00 0 0 0 565.000 TOTAL City Council NIF 24 — 207 5/18/2021 CARES ACT-CDA DEPARTMENT RESOURCE SUMMARY COMMUNITY DEVELOPMENT ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTED FY 20-21 PROPOSED FY 21-22 REVENUES 58000 Eaming On Investments 0 153 0 0 IOIALRLVLNULS 0 153 0 0 City Council 202 24 — 208 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES b2u08 I cdcral Grant-ulrcat COVIU 0 0 0 5.930.390 IOI AL REVENUES 0 0 0 5.930,390 EXPENDITURES 17718700 EMERCENCY REN IAL ASSIS I ANCE RROCRAM 0 01 1) 5,930,390 IO I AL EXPENDI I URNS 0 0 0 5,930,390 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 0 0 0 46.200 0000 COMMODITIES 0 0 0 500 G9000 MISCFI I ANFOUS 0 0 0 5.883.690 0 0 0 5,930,390 TOTAL City Council AZIN 24 — 209 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES S2000 I cticral Grant-ulrcat 3.063 20.728 0 0 TOTAL REVENUES 3,068 20,728 0 0 EXPENDITURES 40518761 HOPWA-HOUSING OPPORTUNITIES 2,997 2(1,72$ 0 0 IO IAL EXPENDI I URES 2,p92 2t1,72fl 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 (1101)0 SALARIES K BENEFITS 2,023 (1 11 II (12000 CONTRACTUALS 790 0 0 0 63000 COMMODITIES 1 0 0 0 G5011(1 FIXED CHARGES 177 (1 1) II 69000 MISCELLANEOUS 0 20, f28 0 0 2,992 20,728 0 0 TOTAL City Council A 24 — 210 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 53822 Demlly BOWS Se1uy Fee 180.555 65,128 60,000 0 53902 Misc Service Charge 2.337 1.619 2.000 1.400 07001) Expense Reirnbur5ern1 til 213,66) 0 0 2,J00 57806 1ncluslonary Housing Fees 7.236.945 0 5.956.830 6.926.890 57990 Miscellaneous Income 260 810 0 810 08001) Earning On Inveshnenl- 154,622 143,327 60,000 75,01)tl 58002 Net Increase (Decrease) In Fal 31.580 (31.580) 0 0 TOTAL REVENUES 7.634.964 179.304 n,078,830 7.006,390 EXPENDITURES 417188201NCLUSIONARY I IOUSING FEE 3,230.109 1.832.902 6.078.830 7.006.390 TOTAL EXPENDITURES 3,230,10(1 1,832,902 6,078,830 7,005,390 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 (31000 SALARIES & BENEFITS 249,709 332.896 428.640 225.550 82000 CONTRACTUALS 2,898,604 1,411,b86 120,690 111,100 63000 COMMODITIES 4.615 1,066 3,490 4.560 Eigll(10 FIXED CHARGES 3f.130 4C3ob fi0,y80 01,400 66000 CAPITAL 0 0 18.750 0 69000 MISCELLANEOUS 40,000 40.000 5.446.680 6.613.780 3,230,109 1,832,902 6,078,830 7,006,390 TOTAL City Council K&I 24 — 211 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 52025 State Grants -Direct 0 0 1.288.000 0 58000 Fam,m) OnlnvegUngnls 43,557 48,64$ 1) 15,000 TOTAL REVENUES 43.557 48.645 1.288.000 15.000 EXPENDITURES 41818830 FEEBLER FUND CAPITAL PROJECTS 333.648 308.308 3.748.100 3.773.800 41818831 SOUTH MAIN RFDFVFI OPMFNT PROJ (1,871) 0 2.024.780 0 4161WM2 AFFORDABLE HOUSING AHSC RRGM b.9/3 119,f,01 1, 19/,110 1,99/,900 TOTAL EXPENDITURES 337.750 427.814 6.969.990 5.771.700 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 G[i0011 CAPITAL 337,750 427,814 E,9fi!-],!-]90 5,771,700 TOTAL 337.750 427.814 6.969.990 5.771.700 City Council 206 24 — 212 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 56900 Principal Repayment 0 0 60,000 60.000 56901 Interest Repayments 128.046 1.267 491 130.000 125.000 57000 Expense Reimburement 14,070 14,435 1:3,OpU 10,000 57960 Rental Of Property 27.200 27467 0 0 57990 Miscellaneous l ncome 519 288 300 0 58000 EErming Un lnvea011en15 63,688 82,109 22,000 30,01ri1 TOTAL REVENUES 253.524 1.371.880 225.000 225.000 FXPFNnITUHFS 60718810 HOUSINGASSETADMIN 3,647,400 5,101,588 377,£t20 344,130 6071863011OUSING ASSET CAP PROJECTS 255.305 86.998 1.119.900 1.369.950 TOTAL EXPENDITURES 3,902,761) 5,188,586 1,497,720 1,714,080 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 161.464 196.075 238.620 215.320 82000 CONTRACTUALS b1,688 38,010 61,/90 229,/90 63000 COMMODITIES 1.769 1,477 3,750 1.900 6.5000 FIXED CHARGES 32.243 39.640 54.910 47.120 66000 CAPITAL 255.305 1.770 68.750 0 69000 MISCELLANEOUS 3,400,295 4.911.614 1.069.900 1.219.950 TOTAL 3,902,765 5,188,586 1,497,720 1,714,080 City Council KIYA 24 — 213 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58005 Investment Income -Trustee 310 0 0 0 54000-655 Transfer From Fund 655 12,649,301 0 0 0 59000-671 Transfer From Fund 671 994.422 0 0 0 TOTAL REVENUES 13.644,033 (I 0 0 EXPENDITURES 65218020 2003A SCRICS BOND DEBT SCRVICC 903471 01 0 0 IO I AL LXPLNDI I URLS 203471 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY15-19 FY 19-20 FY 20-21 FY 21-22 62000 CDNTRACTUALS 1.375 0 0 0 67000 DEBT SERVICE 202,096 0 0 0 203,471 0 a 0 TOTAL City Council A 24 — 214 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58005 Investment Income -Trustee 45.661 0 0 0 54000-655 Transfer From Fund 655 52,951,230 0 0 0 59000-671 Transfer From Fund 671 3.203.237 0 0 0 TOTALREVENUES 96,200,128 0 0 0 EXPENDITURES 65418020 2011 SERI ES A DEBT SERVICE 1,485,285 01 0 0 IO I AL LXPLNDI I URLS 1485285 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY15-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 4.449 0 0 0 67000 DEBTSCRVICE 1,480,P.,36 0 0 0 1,485,285 0 0 0 TOTAL City Council AM61 24 — 215 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 58005 I OveslmEn( InCOrne-Twslee 172 1,226 0 0 59000-671 Transfer From Fund 671 882.643 5.591.770 3.042.160 6.489.930 TOTAL REVENUES 882,815 5,592,996 3,042,160 6,489,930 EXPENDITURES 65518020 2018A&BTARB 71,201,0$2 ' 09.1,95o 3,042,160 6,489,930 TOTAL EXPENDITURES 71.201.052 3.093.950 3.042. 160 6.489.930 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CON I RAC I UALS 092,133 (i 410 10,200 10,8110 67000 DEBTSERVICE 2.066.571 3.037.540 3.031,960 6,479.130 (I8f1(If) TRANSFERS 08,442,348 0 f) 0 71,201,052 3,003,950 3,042,190 8,485,030 TOTAL City Council 210 24 — 216 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 58005 Investment Income -Trustee 884 0 0 0 54000-655 Tran4wFrom Fund 655 9,841,$1$ 0 0 0 59000-671 Transfer From Fund 671 2.824.466 0 0 0 TOTAL REVENUES y 66� 169 0 Il 0 EXPENDITURES 65818020 2003B SCRICS BOND DEBT SCRVICC 75,904 01 0 0 IO I AL LXPLNDI I URLS 75904 0 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY15-19 FY 19-20 FY 20-21 FY 21-22 62000 CONTRACTUALS 1.425 0 0 0 67000 DEBT SERVICE 74.479 0 0 0 75,904 0 0 0 TOTAL City Council 211 24 — 217 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 57071 Sale of Land 0 0 590,000 0 58000 Earning On Investments 5.300 5.166 0 0 ml00-671 Trdnsrer From Fund 671 127,$71 269,6q) 250,000 15Q,000 TOTAL REVENUES 132.671 294.864 840.000 150.000 EXPENDITURES 67018843 COSA RDAADMIN 195477 216.232 250.000 150.000 67018850 COSA RDA OBLIGATIONS 0 0 590.000 0 TOTAL EXPENDITURES 195.477 216.232 840.000 150.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 147.747 172.916 190.830 100.540 fi211110 CONTRACTUALS 17,950 8,439 19,511f1 21,9FI1 63000 COMMODITIES 2,855 2,402 2,920 1.950 65000 FIXED CHARGES 26.925 32.475 36.750 25.560 89000 MISCELLANEOUS 0 0 b90,000 0 195,477 216,232 840,000 150,000 TOTAL City Council 212 24 — 218 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIFS FY18-19 FY 19-20 FY 20-21 FY 21-22 RFVFNUFS 50011 Properly Tax 6,969.642 2,703,213 3,045,320 6,847.860 57960 Rental Of Property 208.124 203.124 226430 226.480 58000 E+)mh)(I 01)lnoeslmenl5 107,M(i 73,1fO 0 0 TOTAL REVENUES 7285152 2.984.527 3.271 MO 7.074.340 EXPENDITURES 67118021 COSA RDA GBLIG RETIRE DEBT SRV 8.449.110 6,298A39 3,709.140 7.074.340 TOTAL EXPENDITURES 8,449,110 6,298,439 .3.709,140 7,074,340 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 16-19 FY 19-20 FY 20-21 FY 21-22 62000 (,'ciNTRACTUALS 4%,4)71 416,W1 416,990 4%,41i0 68000 TRANSFERS 8.032.139 5.881468 3.292. 160 6.639.930 fi'd11110 MISCELLANEOUS D (I 0 17,N31) 8,449,110 6,298,439 3,709,140 7,074,34D TOTAL City Council 213 24 — 219 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 214 24 — 220 5/18/2021 Information Technology city uounciI 24 — 221 bll bl2U21 215 INFO SYS STRATEGIC PLAN DEPARTMENT RESOURCE SUMMARY Ilk IYi7:7iI_ViCda 11*49 .G7[4TWA ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 REVENUES 56000 Charges To Departments 6.986,684 168.459 0 0 56020 IT M91h10nAnLc Charyc to Dopanmcm 0 5,700, 001 5,700,060 6,103,560 560111 IT Department Specific Charge 0 1,349,050 -I,349.050 1.349.040 56022 IT Communication Charge to Department 0 1.674.378 1 ,49H,G50 1,510,560 56023 IT EquipniuLL RuplacLmLn1 0 0 0 627.170 57000 Expense Heimbursement 29,313 35.237 0 0 57010 MigCf9lanepug RowveneB 39,193 41,010 39.000 39.000 58000 Earning On Investments 198,958 191432 13Q000 130.000 581102 Net lllcrea6e(DeCre9Ee) In Fat 288,759 283763 11 0 TOTALREVENUES 7.542.906 9.453.335 8.716.760 9.849.330 EXPENDITURES 111920140 NETWORK&TELECOMMUNICATIONS 1,631,418 1,501,297 2,561,630 2,391,200 10920141 ENTERPRISESSYSTEMS 1.81179R 1.491.8Pi1 3,1K3,910 3.357.1R0 10920143 SPECIALIZED SYSTEMS 679.862 694.954 L235.780 1.253.770 10920145 CONTENT& COLLABORATION 857,H25 735,t;97 0 0 10920146 ADMI NISTRATK)N$PROJECTS 490.191 462,079 636,980 652920 10920147 DATA CFNTFR 1.434.370 1.3" "" 1.69S.780 1.846.121) 10920148 TECI INOLOGY& SUPPORT SERVICES 455.141 880,264 1.102,520 1,114,490 10920149 HHOJLCIS u 0 e,/a0,0u0 3,6981,000 TOTAL EXPENDITURES 7.160.605 7.105.150 16,176.600 14.506.680 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY20-21 FY 21-22 61000 SALARIES& BENEFITS 2.333.649 2.462.169 3.813,890 3,981,820 62000 CON I HAC I UAI S 4,04b,339 3,030,902 61023,6150 5.90/.890 63000 COMMODITIES 47.766 174.145 1.040430 443.500 N511011 FIXED CHARGES 553,918 R15,(150 R1R,62t1 738,470 66000 CAPITAL 179,933 317,834 4,480,000 2.925,000 7,160,605 7,105,150 16,176,600 14,596,680 TOTAL City Council 216 24 - 222 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 217 24 — 223 5/18/2021 Bowers Museum 218 GENERAL FUND DEPARTMENT RESOURCE SUMMARY 109ITBA 1.m 11 tWiAlf 11I ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01112030 BOWERS MUSEUM MAINTENANCE 1.472.784 1472.977 1.473.430 1474.030 TOTAL EXPENDITURES 1,472,784 1,472,977 1,473,480 1,474,030 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY20-21 FY 21-22 62000 CONTRACTUALS 16.154 16.347 16,800 17.400 69000 MISCELLANEOUS 1.4S6.630 1456.630 1.456.630 1456.630 1,472,784 1,472,977 1,473,430 1,474,030 TOTAL City Council NK 24 — 225 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 220 24 — 226 5/18/2021 Debt Service and Non Departmental City Council 24 — 227 5/18/2021 221 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 tXPtNUI I URtS 05105015 NON -DEPARTMENTAL 104.558 138.424 292.000 292.000 TOTAI FXPFNDITURFS 104,558 138,424 202,000 202,000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 66000 CAPITAL 5.400 105.645 0 0 87000 Uttj I StKVICt 00,158 32,770 292,000 202,000 104,558 138,424 292,000 292,000 TOTAL City Council 222 24 — 228 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-10 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 05105015 NON -DEPARTMENTAL 104.558 138,424 292.000 292.000 TOTAL EXPENDITURES 104.558 138,424 292.000 292.000 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 ❑GI1011 CAPITAL 5,400 105,645 0 0 67000 utaI StRVICt ou, 158 32,770 292,000 202,000 104,558 138,424 292,000 292,000 TOTAL City Council NOW 24 — 229 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 17805015 CARES ACT -STATE NUN-DCPT 0 167.539 0 0 TOTAL EXPENDITURES 0 167,539 0 0 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 64000 INSURANCE S CLAIMS 0 167.539 0 0 0 167,539 0 0 TOTAL City Council A400 24 — 230 5/18/2021 ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-10 FY 19-20 FY 20-21 FY 21-22 REVENUES 58000 Earning On Investments 7.403 0 0 0 58005 Invostmcnt Incomc-Trustcc 4.037 4,203 0 0 .54000-011 Transfer From Fund 011 4,6')2,660 4,6'11,750 4,fi73,3017 4,622,100 TOTALREVENUES 4,634,100 4,625,953 4,623,300 4.622.100 EXr'ENDITURES 40019020 POLICE BUILDING DEBT SERVICE 4,620,323 4,620,260 4,623,300 4.622.100 10 I AL LXPLNUI II1HtS 4,620,323 4.620,260 4,f523,300 4,K22, 100 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CON I RAC I UALS 8.760 e.510 10.000 10.000 67000 DEBT SERVICE 4.611.563 4.613.750 4.613.300 4.612.100 4.620.323 4,620.260 4,623.300 4,622,100 TOTAL City Council NOW 24 — 231 5/18/2021 ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-10 FY 19-20 FY 20-21 FY 21-22 REVENUES 59000-011 Transfer From Fund 011 4,950,743 4,956,490 4,960.160 4,947.420 59000-086 Transfer From Fund 086 1 14.050 115.000 115,670 113.700 59000-101 Transfer Frorn Fund 101 95,wn 95,960 9fi,5J0 94,950 TOTALREVENUES 5,161,613 5,167,450 5,172,350 5.156.160 EXPENDITURES 40419020 2014 LEASE FINANCINC 5,151,748 5,156,545 5,172,350 5.156.160 IO I AL LXPLNUI I UHtS 5,151.748 5.156,545 .5.172.350 .5.15f>, 160 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 62000 CONIHACIUALS 0 0 11.000 0 67000 DEBT SERVICE 5.151.748 5.156.545 5.161.350 5.156.160 5.151.748 5,156.545 5,172.350 5,156,160 TOTAL City Council 226 24 — 232 5/18/2021 ACTUAL ACTUAL ADOPTE❑ PROPOSED ACTIVITIES FY 18-10 FY 19-20 FY 20-21 FY 21-22 EXPENDITURES 01105015 GENERAL NON -DEPARTMENTAL 4.782,655 1,248.222 1.019.460 2,182,300 01105020 UNFUNDED LIABILITY (UAL) 0 37,491,240 41,617,330 47,024,460 TOTAL EXPENDITURES 1,782,655 38,739,171 12,630,790 19,206.780 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 18-19 FY 19-20 FY 20-21 FY 21-22 61000 SALARIES & BENEFITS 109,626 37,517,289 41,617,330 47.024.480 62000 CONTRACTUALS 595.363 571.349 .522.700 1.522.700 63000 COMMODITIES 19.509 16.318 22,500 22.500 65000 FIXED CHARGES 3,424,037 0 0 0 t70011 DEBTSERVICE f,34,120 634,015 637,100 537,100 69000 MISCELLANEOUS 0 0 (162.840) 0 TOTAL 4.782,655 38.739,471 42.636.790 49,206.780 City Council NOWA 24 — 233 5/18/2021 MISCELLANEOUS REVENUE ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTED FY 20-21 PROPOSED FY 21-22 HLVLNULS 58002 Net Increase (Decrease) In Fai 886 589 0 0 59005 I nvestrnenU ncome•Tnistee H.109 6,998 0 0 59000-011 Transfer From Fund 011 850.000 600.000 0 0 TOTAL REVENUES 858.996 607,587 0 0 City Council NIT-1 24 — 234 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 229 24 — 235 5/18/2021 Interfund Transfers 230 GENERAL FUND DEPARTMENT RESOURCE SUMMARY INTERFUND TRANSFERS ACTUAL ACTUAL ADOPTED PROPOSED ACTIVITIES FY 18-19 FY 19-20 FY 20-21 FY 21-22 FXPFNI)ITURFS 01106010 GLN LKAL I UNU: IN I LHI UNU I KANSI LKS 11.908.487 20.758.152 18.32560 24.173.510 TOTAL EXPENDITURES 11 908 48t 20 iyy 1 yJ 18 381 nh0 24,1 t:1 y10 ACTUAL ACTUAL ADOPTED PROPOSED OPERATING EXPENSES FY 16-119 FY 19-20 FY 20-21 FY 21-22 68000 TRANSFERS 11.9JWA87 20.758.152 18.302.560 24.173.510 11,908,487 20,758,152 18,382,560 24,173,610 TOTAL City Council 231 24 — 237 5/18/2021 ACTIVITIES ACTUAL FY18-19 ACTUAL FY 19-20 ADOPTED FY20-21 PROPOSED FY 21-22 REVENUES 58000 tarnlny On Invustmuits 0 37.117 0 0 5y000-011 Transfer From Fund011 0 8.805.315 6.706.700 '13.016.700 TOTALREVENUES 0 8,842,432 6,766,700 13.016.700 City Council 232 24 — 238 5/18/2021 ACTIVITIES ACTUAL FY 18-19 ACTUAL FY 19-20 ADOPTED FY 20-21 PROPOSED FY 21-22 REVENUES 59000-011 Transfer From FUnn 011 1401,fi72 143H,H57 0 11 101 AL REVENUES 1401.672 1438.857 0 0 City Council 233 24 — 239 5/18/2021 THIS PAGE INTENTIONALLY LEFT BLANK City Council 24 — 240 5/18/2021 I P c .y Q N G d ui O� N 0 0 E E 0 O C N n p P G C m o m c 1p N M C; o m ry r u n v a 'i N ri J 0 0 0 N V N m w N n O O O O O O t0 O W f M tf1 P r. n N N P t➢ Ol '. Q M N E E E E E E E E E I m c4 c4 -c4 r4 ri O O O O O G O G G C o n �o o w v al c N t0_ O r. O N Ill .D_ l0_ n C O N nl Ql ul W QI N �O .0 O ' p O P P P G •? P G A 0 0 0 0 0 0 0 0 0 0 o c O l0 O N M m N w m Ol w l0 0 ti M M ti N ti m -o s If m _ 0 Y; a — �� vl w t c o L o w a, c v c c7 w Q w c on is v y U E-� m y a N ON — 6 L c c 0 0 C w 'oo c4 c4 N c4 -. N r4 c4 N Q M ri N .-i ri ri .-i ri ri f c T v m C y m — m C fO G N y G .St C C E Y ry 72 U 0 N IC-: e O 0 9 C LL N H N O N co iJ 15 ft rl K ■ IV 0 0 0 0 0 E E E E E E E oA — _ I m L n m I m c 2 O O s v a l — �Z5 E cw o E E `o d p G x a @t2 L Vl t Vyl VO l W 0 a W L 6 m O V 0 O O O E E E E E O J O O C Q . 3 In m C c `v as c m A c a 2 w V y' tl N T N L o u, o 9 � � 1 a r � iJ NL r r dlidVrr� Ill�lnl�l��rllllllllllllll�� iII�I�I�0I000/OOOOOOOa „ u��unnnm�ll m�mmi iq� Mlnnhn4/llllllllllllllM?��` 01 r� I 1IS""�mmi p dhnnrlrlllllllllllllllllll@ UMMEEM V�JI dhnni�llllllllOOOOOOa I G� ial�i"nmmi rI d�V�l� i�1�IN�N�nnnononoona im�py�M�I� ryryyy� � 6 ��410,inhn4rlrlllllllllll u�im�mmi ry, tllnhn4rlrlllllllllllll�J�' ��uin ��nnnlilOk II�IIIV�InI�Il4/�llllllllllllllllh tl c; e zl_ r,r - c; §\{: k/ƒ\\ (\(\\( u33s>/' waf>, t233«\; r \ \ ©` 52£\%v63» )` 2 \ :r96d«2»2%29: § \\\\3 \ �\\ \\\ - /£\ rttdu>2G%«%. @ EXHIBIT 4 Summary of FY 2021-2022 Proposed Miscellaneous Fees Schedule Changes City Council 24 — 248 5/18/2021 Proposal to Delete Miscellaneous Fees FY 2021-22 City Council 24 — 249 5/18/2021 Proposals to Delete Fees FY 2021-22 Library Services Agency Existing Proposed Fee Fee Fee 0-2-Ki DELEFE 1--5-00 DELETE 2 AufliA- 6o �>k-� ------ 4. Jv e f d i; i t - &,. x,. $t- i e - - F E [)&Y D E LE F E K4a)6f4+ui-YI 1) F LF F F 3 V4dof--f4--'.v-K,.stcA e F cFs'x-(-Vf 44!�t--- 4: c-e P er--Oav --- SO 1) E LE-f E *Pj6l F�k) P)Eeeed MV+iWF*+fR 44- w a 1 DELETE k f4tflvj F-- Ree k �;- &.--M U4 6--fvle dia- K4 L-.r ----- G�v e F J i. i e 4 of- Gfe- P&c-� P ef- Day 434E 1) F LF F F {WK.4+4eu H&'oPF? be)oh-.;} MaAwkAP+v A4kia� DELETE S P (af-- U-2-5 DELETE maxiwl.lw Af4i.ial "j�4 DELETE 6 F4P e F 6 a 6- lE',' 4," 0 P F•(4 H (?� W s k-- IC-- P(--!- Da Q,-24 DELETE [WrAwnw-r-I 7 P ef- 14ay 2-:00 DELEI-E F, v e k-4,j-) MaifiWIAFI-I 8 t a I P&!, r Week 4-10 DELEI-E ----------------------- U-ItIfireff,15 Pi,-f --- 2--Wc:ek 0:25 DELETE 9 C. as,,si-A4IC;s--/ --- kc�rltal F4+ t of-t a-i rrmfx A JFt:f-- --V EK:k, 2:41E) DELEI-E Pf--F --- 2 --- VW-c-k-s P4E3- 4iff-f ,f D E LE-f E DELE I E 10 Lost/Damaged Catalogued Materials PF(: ,er54:ee- LE-f E Actual Replacement Cost Actual Cost Cost 11 Lost/Damaged Uncatalogued Materials Pf Fee Each 7-.-00 DELETE Actual Replacement Cost Actual Cost Cost City Council 24-250 5/18/2021 12 Lost/Damaged -letpacks(Hotspots) Pf E)ee --r Fee I DLLLTL Replacement Cost (Jetpack, USB cord, Actual AC Adapter) Actual Cost Cost 13 label Pe!- AA DELEFE 14 Gtfii-r --- Da ffirtgi-,�irl--M ak�iir d ki k F i e 1; a f's Rv4-Fk*T+ ��' ria4 4OP-44 DE L E FE P w-- I f 4--4 Flf?rq 2-410 1)FL F I- F V id e e esr**104ft�� Reich-wE c-foe +t!;-) 5- (JO 1)FL F I - E. Cases Pe� kw'i 4n.49 DELETE Pep- IPIf WeP4 444) DLLLTL C-'a 1-d A-49 DELEFE (-X.hf'f DELETE 15 1:53-00 DELETE 16 D ;Ae- zst AcE 3 N 0- C, 1-1 af e C-1 DELETE 17 fi,E w 4i:(?ff•T 4-49) DELETE 18 1-.-00 DELETE fat fief afttaA�aAfJfJtE�ses 4-00 DELETE 19 Pvtf--W.-jttf 5-00 DELL FE City Council 24-251 5/18/2021 20 ts# +fr4:a-bkslarkFx wrc=r F , 4 €4 aw 4MQ DELETE k§ fiW rrrrr»4 _ 4,kR+fje, rulFBc=Fffj y p y y [} Ref"EDxay F,'F-"PE`-'EZCB -t:f#Tf'tf(- -{1tk`r5 1=500 DELETE ��?�'{�P_""Y'f"1'}k9CF'.Dpjf't'�tE"M.•�k'10''Ihlf.��...•••YQf')'ff"' &9fl'it�'�f'ft1�31-:.�Sf' .gip eg;41' "ia efr-f 1=(:fl9--F}IiltnE-'-f v icfk)f,'-fof` (3E°f:4E:}EieiFt-F1fi<:' Wfdf...E1 P1r:#£ E` FF-fi`fi` DELETE 4-40 DELETE Stale 4001 rakt af•4a# k�f +fr+cage 34-04 DELETE E:DIYl-fY-Tf°f-f--Fi'}�--E:)iiE? 4;`f---Efilr,} E-. 5:00 DELETE r'. C-&m a(.r-'D+SE -Fe:e: Rer"""DA. =1700 DELETE 21 pef"-RBfttwat Dr1E7 E City Council 24 — 252 5/18/2021 Proposed New Miscellaneous Fees FY 2021-22 City Council 24 — 253 5/18/2021 Proposed New Miscellaneous Fees FY 2021-22 Library Services Agency 1. ❑iFital Services Photograph Request Existing Fee! None Proposed Fee: $10.00 I his fee will be charged to the public for providing digital images 2. Intellectual Property Rights of the Library Existing Fee! None Proposed Fee: Commercial Use $75.00 / Non -Profit Use $10.00 This fee will be charged to the commercial/non profit groups for providing use of intellectual property managed by the Library. City Council 24 — 254 5/18/2021 Planning and BuildingAgencv 1. Historic Property Listing Qualification Review Existing Fee' None Proposed Fee! $283.03 The Historic Property Listing Pre -Application fee will reimburse the City for staff time currently spent researching properties to determine if a property is eligible for listing on the historic register before the formal application is accepted for processing. This fee will be a non-refundable deposit toward the Historic Register Categorization/Application fee. 2. Public Hearing Notice Re -Publication Fee Existing Fee: None Proposed Fee! $21&41 This fee will cover the cost of publication for development projects that go to City Council. Publications can include the OC Reporter, OC Register, and La Opinion. 3. Electronic Plan Submittal Fee Existing Fee: None Proposed Fee: $25.00 This fee will be a one-time charge at initial plan submittal for the use of our electronic plan review system. City Council 24 — 255 5/18/2021 Police Department 1. Vehicle Report of Repossession Fee Fxisting Fee' None Proposed Fee: $15.00 This fee will cover the cost of processing the receipt and filing of the report of vehicle repossession, pursuant to Section 28 of the Vehicle Code before the vehicle may be redeemed by the debtor. This report and fee is necessary so that there is a record of when a lending institution has had a vehicle repossessed and there is a record that distinguishes it from a stolen vehicle. Government Code Section 41612 caps this fee at $15.00. City Council 24 — 256 5/18/2021 Proposals to Modify Existing Fees FY 2021-22 City Council 24 — 257 5/18/2021 Proposals to Modify Existing Fees FY 2021-22 Cleric of the Council 1. Postage Charges [AII Dept.] Existing Fee: None Proposed Fee! At cost This fee will be charged for any requests to mail out parcels and letters. 2. City Charter (Over the Counter and Mailed Requested) Existing Fee! $16.OS Proposed Fee: At cost This fee will be charged for the City Charter per Government Code 6253(R) Except with respect to public records exempt from disclosure by express provisions of law, each state or local agency, upon a request for a copy of records that reasonably describes an identifiable record or records, shall make the records promptly available to any person upon payment of fees covering direct costs of duplication, or a statutory fee if applicable. Upon request, an exact copy shall be provided unless impracticable to do so. 3. Fair Political Practice Commission (FPPC) Statements Retrieval Fee for Statements S years of age or over Existing Fee: $5.39 Proposed Fee! $5.00 Copy Charge for Statements Existing Fee: $.11 Proposed Fee: $.10 These fees will be charged to retrieve staterents which are S years or over; and/or for current statements per FPPC ( htto://www.fooc.ca.aov/learn/guidance-for-filing-officers- /guidance-for-filing-officers.html) Providing Public Access and Reproduction Charges All campaign statements filed pursuant to the Act are public documents and must be available for public inspection and reproduction during regular business hours no later than the second business day after they were received. No conditions may be imposed on persons desiring to inspect or reproduce campaign statements, and no information or identification may be required from such persons. A filing officer should provide copies of statements for viewing purposes rather than the originals. When a copy of a statement is requested, an unredacted copy must be provided. City Council 24 — 258 5/18/2021 Copies muss be provided al a charge nol- to exceed 10 cents per page. In addition, filing officers may charge a retrieval fee of up to $5 per request for copies of statements that are five years or older. A single request for more than one report or statement is subject to one retrieval fee. Copies may be provided free of charge. 4. DVD of Council Meetings Existing Fee: $6.17 Proposed Fee: At cost This fee will be charged for DVDs of Council Meetings. Per Government Code fi753(R) Fxcept with respect to public records exempt from disclosure by express provisions of law, each state or local agency, upon a request for a copy of records that reasonably describes an identifiable record or records, shall make the records promptly available to any person upon payment of fees covering direct costs of duplication, or a statutory fee if applicable. Upon request, an exact copy shall be provided unless impracticable to do so. City Council 24 — 259 5/18/2021 Finance & Management Services Agency 1. Dog License Fees Existing Fee' Regular (Unaltered) Puppy (Between 4-6 MOS) Spayed/Neutered* Senior Citizen** Replacement Tag Late Fee*** Each Dog $111.91 Each Dog $30.22 Each Dog $30.22 Each Dog $15.10 Each Dog $3.36 Each Dog $39.18 * To receive a discount rate for a spayed or neutered dog, customer must provide a copy of the sterility certificate or signed statement of sterility from a licensed veterinarian. ** To receive the senior citizen discount rate, customer must be 65 years of age or older (proof of age is required). Dog must be spayed/neutered. *** Dog licenses and rabies vaccination should be obtained within (15) fifteen days after the dog reaches the age of (4) four months or after moving into the City of Santa Ana. Otherwise, a LATE FEE will be assessed. Proposed Fee: Regular (Unaltered) Each Dog $159.00 Puppy (Between 4-6 MOS) Each Dog $2&00 Spayed/Neutered* Each Dog $28.00 Senior Citizen** Each Dog $14.00 Replacement Tag Each Dog $9.00 La Le Fee*** Each Dog $48.00 * To receive a discount rate for a spayed or neutered dog, customer must provide a copy of the sterility certificate or signed statement of sterility from a licensed veterinarian. ** To receive the senior citizen discount rate, customer must be 65 years of age or older (proof of age is required). Dog must be spayed/neutered. *** Dog licenses and rabies vaccination should be obtained within (15) fifteen days after the dog reaches the age of (4) four months or after moving into the City of Santa Ana. Otherwise, a LATE FEE will be assessed. These fees are charged for dog licenses. There are no proposed increases or decreases, Dog License Fees in the Miscellaneous Fee Schedule need to be amended to coincide with the County City Council 24 — 260 5/18/2021 of Orange dog licensing rases, as Lhe CiLy is conLracLually required Lo follow Lhe dog licensing rates set by the Orange County Board of Supervisors. 2. Return Payment Service Fee Existing Fee: $25.92 1'•` Returned Item $36.28 Each Subsequent Item Proposed Fee: $25.00 1" Returned ILern $35.00 Each Subsequent Item These fees are charged for return payment services. There are no proposed increases or decreases, under California Civil Code Section 1719, the drawer will be required to pay the payee (1) the amount indicated on the check and (2) a statutory service charge for an amount not exceeding $25 for the first check, and for an amount not exceeding $35 for each subsequent check. City Council 24 — 261 5/18/2021 Library Services Agency 1. Newspaper Search Fee Existing Name: Proposed Name: Newspaper Search Fee Newspaper Microfilm/Historical Research Fee name updated to reflect a more accurate description of service. Existing Fee: $20.00 per search Proposed Fee: $30.00 2 hour minimum / $15.00 each additional hour Due to varying types of requests, staff determined the that proposed rate structure better reflects the time commitment needed for fulfilling these requests. City Council 24 — 262 5/18/2021 Parks. Recreation and Community Services Agency 1. Roosevelt/Walker Community Center [All Dent. Bl ADOPTED 20/21 PROPOSED 21/22 FEE FEE Group 1-City Sponsored 0 0 Group 2-Resident/ Non - Profit Per Hour 20 20 Group 3-Non-Resident/ Non - Profit Per Hour 41 20 Group 4-Resident/ Profit Per Hour 31 31 Group 5-Non-Resident/ Profit Per Hour 62 31 Due to funding source used for construction of the facility, fees for this location cannot be different based on residency. Reducing non-resident fees to equal resident fees. 2. Willard Intermediate Sports Field Non-Resident/Profit Non-Resident/Non-Profit Resident/Profit Resident/Non-Profit ADOPTED 20/21 FEE Per Hour 50 Per Hour 34 Per Hour 16 Per Hour 8 PROPOSED 21/22 Due to funding source used for construction of the facility, fees for this location cannot be different based on residency. Reducing non-resident fees to equal resident fees. FEE 16 8 16 8 City Council 24 — 263 5/18/2021 Planning and Building Agency 1. Project and Environmental Contract Administration Existing Name: 10% of Consultant Fee (for Environmental Impact Report and Negative Declaration) Existing Fee: 10% Proposed Fee: 15% Account: 05316002-53607 Project and Environmental Contracts — Consultant (At Cost) 01116002-53607 Project and Environmental Contracts Administration (lS% of Consultant Fee) For planning projects that require consultant services, the City current charges a 10- percent environmental contract administration fee, which is 10% of the consultant's full contract price for development projects. The proposed Project and Environmental Contract Administration Fee would replace the current fee with a 15-percent fee, which is the percentage of staff time to process these services and is more consistent with other large jurisdictions and would broaden the scope of the fee to cover other contractual services, such as legal services hired by the City for specific development projects. The average development project amount is $30,000. In-house fees would remain the same and will not be affected. 2. Microfilm Records Existing Account 51601 Proposed Account 57770 This modification is to change the account for Microfilm Records to 57770 (sale of maps/documents) to better track revenue collected for copies and sales of documents. City Council 24 — 264 5/18/2021 Public Works Aeencv Revenue Account Changes PROPOSED CURRENT FY 21/22 REVENUE REVENUE DEPARTMENT/MISCELLANEOUS ACCOUNT ACCOUNT FEE OR SERVICE UNIT FEES 01 1170n2- 101 WOW- Small Cell Application Fee for Per 1,741.79 53741 53740 City Facilities application/location TBD 05317002- CIP Construction Permit Deposit $349A9 S1708 + up to 8.75% of Contract Amount 08617002- 10117002- City Street Map (22"X29") 57770 57770 First Map Each 4.44 Additional Each 4.44 08617002- 10117002- Water System Map (62"X78") Each 12.94 57770 57770 08617002- 10117002- Sewer System Map (62"X78") Each 12.94 S///0 S///0 08617002- 10117002- Telecommunications Facility Each 1,196.63 56305 S6305 Application 08617002- 10117002- Accelerated Plan Check for Public Per Hour 278.02 S630S 56305 Improvements 08617002- 10117002- Traffic Analysis/Studies Plan Per Hour 256.95 56305 S6305 Check 08617002- 10117002- Improvement Plan Check Per Hour 208.20 S630S 56305 NOTE: Street, Storm Drain, Traffic, Grading, Sewer And Water Plan Check and Storm Drain, Sewer, Water And Related Studies. 08617002- 10117002- Surface Drainage Plan Check Per Hour 205.20 56305 56305 City Council 24 — 265 5/18/2021 PROPOSED CURRENT FY 21/22 REVENUE REVENUE DEPARTMENT/MISCELLANEOUS ACCOUNT ACCOUNT FEE OR SERVICE UNIT FEES 08617002- 10117002- Improvement Standard 56305 56305 Plans/Specifications Set 15.08 SLonn Drains SeL 19.39 Street Improvements Set 15.08 Sanitary Sewers Set 25.84 Water Improvements Revision within 1 year 08617002- 10117002- Tract Map Final Per Hour 208.20 56305 56305 08617002- 10117002- Parcel Map —Final Per Hour 208.20 56305 56305 08617002- 10117002- Lot Line Adjustment/Lot Merger Per Hour 208.20 56305 56305 08617002- 10117002- Certificate of Compliance Per Hour 208.20 56305 56305 08617002- 10117002- Certificate of Correction Per Hour 208.20 56305 56305 08617002- 10117002- Covenants, Conditions, & Per Hour 208.20 56305 56305 Restrictions; Agreements and Miscellaneous Checking 08617002- 10117002- Abandonment Processing 57790 57790 Summary Per Application 2,083.19 Non -Summary Per Application 6,249.58 08617002- 10117002- Citywide Bicycle Locker Program 57006 57006 Application Processing Per Fiscal Year 9.73 Security Deposit One-time, 97.21 Key Replacement Refundable 29.18 Lock Replacement Per Key 155.55 Damage/Repair Fee Per Lock 58.32 Each City Council 24 — 266 5/18/2021 CURRENT REVENUE ACCOUNT PROPOSED FY 21/22 REVENUE ACCOUNT DEPARTMENT/MISCELLANEOUS FEE OR SERVICE UNIT FEES 08617002- 10117002- Residential Parking Permit Single -Family 74.94 57006 57006 Home —each permit every two years maximum 3 permits Multi -family 74.94 Home (up to four plex) — each permit every two years maximum 1 permit City Council 24 — 267 5/18/2021 All Departments — Public Works Agency Miscellaneous Fee Name Changes [All Dept. Bl REVENUE ACCOUNT FY 2020 — 2021 NEW FY 2021-2022 DEPARTMENT/MISCELLANEOUS DEPARTMENT/MISCELLANEOUS FEE OR SERVICE FEE OR SERVICE 06717002-57960 Lobby Cleaning Deposit SARTC Lobby Cleaning Deposit 06717002-57960 Courtyard Cleaning Deposit SARTC Courtyard Cleaning Deposit City Council 24 — 268 5/18/2021 I� w� Illllllllloiiiiiiiiiiiii IIIII mm �,, _��; uiiiiii liiu �u�iiiiiiiomlllllluuuulll uuuum lil�ili III I� IIIII i 11 Chispa M C A M P A f G N .air liM-IIROIIVAI MOt��+OV P0�'k Ne,�11pPbOM0Vf1 Ann01010110n (MPNw) SAFE Cities Health, Safety, Equity, Climate eol, ' ���'"% The Climate Reality Project' JW Global ChiVdren•a's Campaig City Council 26 — 1 5/18/2021 Santa Ana Climate and Public Health Emergency Resolution of 2021 A RESOLUTION DECLARING A CLIMATE AND PUBLIC HEALTH EMERGENCY, COMMITTING TO POLICIES OPPOSING FOSSIL FUEL EXPANSION AND ACCELERATING THE CLEAN ENERGY TRANSITION AS PART OF THE SAFE CITIES MOVEMENT, COMMITTING TO POLICIES THAT WILL REDUCE BOTH NEW AND EXISTING LEAD CONTAMINATION, AND ENDORSING THE CALL FOR A GLOBAL FOSSIL FUEL NON-PROLIFERATION TREATY. WHEREAS, communities across the City of Santa Ana are impacted by the health and safety risks of fossil fuels, climate change, lack of access to safe and open spaces and parks, lead, and other environmental toxins; and WHEREAS these risks can be exacerbated by zoning and land use decisions as well as urban developrent. Urban development on a grand scale I as threatened residents with increased traffic and emissions, and thus may foster :an increased heat island effect, elevating heal temperatures, incurring the threat of wildfires and additional health disparities such as asthma, obesity, heat exhaustion, neat Stroke, and WHEREAS, these health and safety risks disproportionately impact those who also face environmental justice and socioeconomic and health inequities, including youth, elders, Indigenous people, people of color, low-income people, migrant communities, those experiencing mental and physical disabilities, those experiencing houselessness, and people with health conditions. and WHEREAS, the construction of new fossil fuel infrastructure and expanded reliance on fossil fuels exposes communities to substantial risks to the public's health and safety at the local and global levels; and WHEREAS, human exposure to lead via soil and other sources has been directly linked in children to a number of neurological issues, including smaller brain volume, lower working memory and processing speed, more limited perceptual reasoning, poor school performance, and asthma, and in adults to cardiovascular issues, renal problems, osteoporosis, and cognitive deficiencies; and WHEREAS, lead levels higher than safely permitted by the state of California and recommended by experts have been found throughout Santa Ana neighborhoods', and WHEREAS, climate change exacerbates prolonged drought punctuated by unpredictable atmospheric river behavior and flooding, more frequent extreme heat events, wildfires, stronger Santa Ana winds, and warmer water temperatures that can result in increased circulation of lead in local environments'; and 'ThinkProgress. The Toxic Legacy of Leid Storymap.` chttpsl/www.arcgis. comlapps/Cascade/index. html?appid=05ddgaSec7004802b 113714e7fe5ee3a> ' "The 9tata nl Puhlic, Health Laatl Pnlir:ies: Lriplir:atinns In, U,hen Health Inartuities and Rwnmmandahnns lot Haallll Equity<https:llwww.ncbi.nlm.nih.gov/pmc/artirles/PMC6466i2911> City Council 26 — 2 5/18/2021 WHEREAS, only 4% of the City of Santa Ana's land is dedicated for parks and recreation,` and the City cf Santa Anna ranks 8bth cpuI of 100 US cities dI.te= to lack of acx:ess to parks, amenities and acreage. WHEREAS the City of Santa Ana's Open Space Element Policy 1.3 calks for the City to achieve a minimUlTI park Standard of two acres of parkland per 1,000 residents. The City currently does not meet this per resident standard, and the parkland deficiency is projected to increase further: the total "parkland cfefir_iency" would increase: from '107.56 acres to 299.48 acres with increased development projected in the General Plan Update. WHEREAS parks, playgrounds, greenways, trails, colTtmunity open Spaces and cornmunity gardens help keep people and their cornrnunitIeS healthy. F_xposule to nature in parks, gardens, and natural areas can improve psychological and social health. Parka; provide children with opportunities for play, critical in the development of muscle strength and coordination; language, and cognitive abilities. Parks build healthy communities by creasing stable nt•:ighborhoods and Strengthening cornmunity development' WHEREAS, the City of Santa Ana is committed to providing and upkeeping access to clean water and cooling centers to the whole community — and especially to those experiencing houselessness to stop preventable deaths due to heatwaves; and WHEREAS, a study from the University of Notre Dame found that the City of Santa Ana was the city with the highest climate change risks and one of the lowest climate change readiness in the United States': and WHEREAS, the econornic and job opportunities presented by a clean energy transition far outweigh the opportunities presented by an economy supported by expanding fossil fuel use and extraction; and WHEREAS, the City of Santa Ana government recognizes the importance of any measures taken to decarbonize the local economy and uplift frontline communities being permanent, long term solutions, and WHEREAS, our community is committed to an equitable and just energy transition, environmental remediation projects to reduce exposure to lead and other environmental toxins, and to appropriate investments that offset the impacts of evolving industries and employment, as well as ambitious investments in green infrastructure and industries that will create jabs, decarbonize our economy, halt and reverse lead proliferation, and reduce future climate change; and WHEREAS, pursuant to the general police powers granted to the City of Santa Ana empower and authorize the City of Santa Ana to adopt land use controls to provide for the regulation of land uses within the City of Santa Ana and to provide that such uses shall be consistent with 'Trust for Public Land Park Score. TPL 2020 Park Score. www.tpl.org Gies, Gina. The Health Bonofits of Parks: How Parks Help Kaep Americans Fit and Healthy Mips://www-q)1.org/sileshIefaul I/files/cloud.Ipl.org/put)s/benefits_HealthBenefitsReporl-pdf University of Notre Dame. Climate Vulnerability of UAA Cities.` �i,-IIYR (/4.1 III I:a..d t Ia I Id(IlaiaGl.t'J% City Council 26 — 3 5/18/2021 applicable law; and WHEREAS, the City of Santa Ana government fully recognizes the limits to its authority over fossil fuel transport imposed by the federal government, and finds that this action is within the City's authority; and NOW, THEREFORE, BE IT RESOLVED, the City of Santa Ana declares that a climate, environmental justice, public health, and ecological emergency threatens our city, region, state, nation, humanity and the natural world; and BE IT FURTHER RESOLVED, that the City of Santa Ana endorses the call for a global Fossil Fuel Non -Proliferation Treaty' that will end new fossil fuel exploration and expansion, phase out existing production in line with the global commitment to limit warming below 1.5"C above pre -industrial levels, and accelerate just and equitable energy transition plans; and BE IT FURTHER RESOLVED, that the City of Santa Ana urges the State of California and the United States Federal Government to support the initiative for a Fossil Fuel Non -Proliferation Treaty; and BE IT FURTHER RESOLVED, that the City of Santa Ana commits to investigate and implement policies limiting or preventing fossil fuel expansion as part of the SAFE Cities movement because of the inherent dangers to the public's health and safety in extraction, production, transport, storage, and combustion of fossil fuels; and BE IT FURTHER RESOLVED, that the City of Santa Ana intends to investigate and implement policies limiting or preventing exposure to lead and other environmental toxins from new and existing sources and implementing policies to remediate lead and other environmental toxins, in tandem with renter protections to ensure that remediated households are not displaced as a result of environmental clean up efforts; and BE IT FURTHER RESOLVED, that the City of Santa Ana, in their cornrnitment to environmental justice and in reducing the impact of climate change on low-incofrle communities and rornrnunities of color, support land use that will accornrnodate more park space that would rrlitigatca envirc>nnlental pcall.rtic,n ind1.1ding carbon emissions, er>pec;ially in areas when: open space is threatened to be elirninated due to urban development. BE IT FURTHER RESOLVED, that the City of Santa Ana will investigate and implement policies promoting decarbonization and electrification of buildings and transportation, and other development to mitigate greenhouse gas emissions and achieve maximum energy efficiency, water efficiency, and safety, including the use of Reach Godos,and; BE IT FURTHER RESOLVED, the City of Santa Ana will achieve 100 percent of edf:+ctricity power supply for municipal WSe plus offer the bsarne to all residents and businesses through clean, renewable, and zero carbon emission energy sources before the year 2025; and 'Fossil Fuel Nonprollteratlon Treaty. urn City Council 26 — 4 5/18/2021 BE IT FURTHER RESOLVED, the City of Santa Ana will investigate the feasibility of building microgrids to ensure safe and reliable access to electricity, providing community renewable - energy programs to expand access to the benefits of renewable energy (such as solar panels) to low-income and renter households and frontline and vulnerable communities; and BE IT FURTHER RESOLVED, that the city of Santa Ana intends to continue to investigate Community Choice Aggregation and the Orange County Power Authority as a means to meet the city's 100% clean, renewable zero -emission equitable electricity by 2025 goals; and BE IT FURTHER RESOLVED, the City of Santa Ana will explore how to achieve a just transition through job creation goals centering frontline and vulnerable communities, including labor strengthening projects, education, and job retraining programs to spur clean energy investment, decarbonize the City of Santa Ana's local economy, benefit local ecosystems, access to nature, boost biodiversity, end poverty, and tackle systemic injustices; and BE IT FURTHER RESOLVED, during the just transition to a decarbonized economy, the City of Santa Ana will support the rights of workers to organize, unionize, and collectively bargain free of coercion, intimidation, and harassment, and strengthen workplace health and safety protections, anti -discrimination protections, and wage and hour standards across all employers, industries, and sectors; and BE IT FURTHER RESOLVED, that the City of Santa Ana will work with the labor and business communities to investigate how to achieve a just climate transition and zero greenhouse gas emissions by 2030 across all industries, sectors, and communities; and BE IT FURTHER RESOLVED, that the City of Santa Ana's 2015 Climate Action Plan be updated, improved, and expanded by the end or 2022 to maximize our city's public and private contributions to reaching zero emissions as soon and as socially equitable and possible; and BE IT FURTHER RESOLVED, that city staff are directed to explore, develop, and incorporate policies that will lead to a just transition, limit fossil fuel infrastructure expansion (SAFE Cities policies'), promote electrification, begin lead remediation, and create a clean energy future in order to protect public health and safety as part of the General Plan Update process; and BE IT FURTHER RESOLVED, the City of Santa Ana will empower the Environmental and Transportation Advisory Committee to carry forward the cornrnitments of this resolution; and BE IT FURTHER RESOLVED, that the City of Santa Ana, in their commitment to transparency, will make any and all findings of such a body publicly available, as well as the actions they arc planning to take in response to such findings, and; BE IT FINALLY FURTHER RESOLVED, in furtherance of this resolution, the City of Santa Ana shall submit a certified copy of this resolution to federal, state, regional, county, city, tribal and 'Stand.earth. "SAFE Cities Binder or Resources for Elected Officials and Starr,' pg. 4-7 https://dots. googl e. com/document/d/l Y73a R-vE IfMatkXc45 He6ZvuYwftq NzJg M Md-8Yn4as/edit?u sp=sh aring City Council 26 — 5 5/18/2021 other relevant agencies and request that all relevant support and assistance in effectuating this resolution be provided. City Council 26 — 6 5/18/2021