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HomeMy WebLinkAboutFIELDMAN, ROLAPP & ASSOCIATES 2City of Santa Ana Clerk of the Council IAIN ! AGREEMENT TERMINATION low fn ?rrl 9 g � Ei� s• .� Please complete this form when the attached agreement is no longer in effect. Return form to the Clerk of the Council Office (M-30). Call 647-5237 if you have any questions. The agreement with No. uA - accq • t 1 --7 was completed on �-J,41- -Ve F' and final payment has been made. Revised 07-23-07 Department: %!n/9 c✓ Phone/Ext.: -� Signatur Date: e INSURANCE ON FILE WORK MAY PROCEED UNTIL INSURANCE EXPIRES .y-- / -zoo8 CLERK OF COUNCIL DATE: 7- 31-07 o. ?&Hare (1) (%rn Arm -As .KN) PROFESSIONAL SERVICES AGREEMENT FOR FINANCIAL ADVISOR A-2007-177 This agreement has been entered into this [(a_ day of July, 2007 by and between the City of Santa Ana, California (the "City") and Fieldman, Rolapp & Associates, (herein, the "Consultant"). WHEREAS, the City desires independent financial advisory services to be performed in connection with Residential Street Improvement Projects (herein, the "Project"); and WHEREAS, the City desires to retain the professional and technical services of the Consultant for the purpose of debt issuance, (herein, the "Services"). WHEREAS, the Consultant is well qualified to provide professional financial advice to public entities such as the City; NOW, THEREFORE, in consideration of the above recitals and the mutual covenants and conditions hereinafter set forth, it is agreed as follows: Section 1 Financial Advisory Services. As directed by the City, Consultant will provide services in connection with the Residential Street Improvement Projects as such Services are fully described in Exhibit A attached to this Agreement. Consultant is engaged in an expert financial advisory capacity to the City only. It is expressly understood that the Services rendered hereunder are rendered solely to the City of Santa Ana. Consultant does not undertake any responsibility to review disclosure documents on behalf of owners or beneficial owners of bonds or debt which may arise from the Consultant's work hereunder. Section 2 Additional Services. Services performed for the City by Consultant that are not otherwise specifically identified in Exhibit A to this Agreement, shall be additional services. Additional services include, but are not limited to, the following: 2.01 Assisting the City in obtaining enabling legislation or conducting referendum elections. 2.02 Extraordinary services and extensive computer analysis in the structuring or planning of any debt issue or financing program. 2.03 The repeat of any element of a service described in Exhibit A to this Agreement which is made necessary through no fault of Consultant. 2.04 Financial management services, including development of financial policies, capital improvement plans, economic development planning, credit analysis or review and such other services that are not ordinarily considered within the scope of services described in Exhibit A to this Agreement. CITY OF SANTA ANATIELDMAN, ROLAPP & ASSOCIATES Page 1 Project No. 2.05 Services rendered in connection with any undertaking of the City relating to a continuing disclosure agreement entered into in order to comply with Securities and Exchange Commission Rule 15c2-12 or other similar rules. 2.06 Services rendered to the City in connection with calculations or determination of any arbitrage rebate liability to the United States of America arising from investment activities associated with debt issued to fund the Project. Section 3 Compensation. 3.01 For Consultant's performance of Services as described in Section 1 of this Agreement the Consultant's compensation will be as provided in Part 1 of Exhibit B attached to this Agreement, plus Consultant's expenses incurred in rendering such Services. Consultant's expenses may include, but are not limited to travel, telephone/conference calls, postage, courier, database access services, and printing. 3.02 For Consultant's performance of additional services as described in Section 2 of this Agreement, the Consultant's compensation will be as provided in Part 2 of Exhibit B attached to this agreement, plus Consultant's expenses incurred in rendering such services. Consultant's expenses may include, but are not limited to travel, telephone/conference calls, postage, courier, database access services and printing. 3.03 The Consultant may submit monthly invoices for payment for services provided pursuant to Section 2 of this Agreement unless an alternate date or dates have been specifically agreed to in writing. Unless otherwise specified, payment of Consultant's compensation and expenses is due thirty (30) days after submission of Consultant's invoice for services. 3.04 In the event the Services of the Consultant are abandoned by City prior to completion of Consultant's work, Consultant shall be compensated for Services performed to the point of abandonment as if such Services were an additional service pursuant to Section 2 of this Agreement. An act of abandonment shall be deemed to have occurred when no action has been taken by the City relative to the services of the Consultant for a period of three (3) months from the date of the initial performance of a service, or there has been a written notification to the Consultant of an abandonment of the Project by the City. 3.05 Consultant fees set forth in this Agreement and Exhibits are guaranteed by Consultant for a period of twelve (12) months from the date of this Agreement. Section 4 Personnel. Consultant has, or will secure, all personnel required to perform the services under this Agreement. Consultant shall make available other qualified personnel of the firm as may be required to complete Consultant's services. The City has the right to approve or disapprove any proposed changes in Consultant's staff providing service to the City. The City and Consultant agree that such personnel are employees only of Consultant and shall not be considered to be employees of the City in any way whatsoever. CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Page 2 Project No. Section 5 Term of Agreement. This Agreement shall continue in full force and effect for a period of six (6) months from the date hereof unless terminated by either party by not less than thirty (30) days written notice to the other party except that the Agreement shall continue in full force and effect until completion of Consultant's services or until an abandonment shall have occurred as described in Section 3.04 hereof. This Agreement may be extended from time to time as agreed by the City and the Consultant. Section 6 Modification. This Agreement contains the entire agreement of the parties. It may be amended in whole or in part from time to time by mutual consent of the parties. This shall not prohibit the City and Consultant from entering into separate agreements for Other services. Section 7 Assignment. The rights and obligations of the City under this Agreement shall inure to the benefit of and shall be binding upon the successors and assigns of the City. This agreement may not be assigned by the Consultant without the consent of the City except for compensation due Consultant. Section 8 Disclosure, Consultant does not assume the responsibilities of the City, nor the responsibilities of the other professionals and vendors representing the City, in the provision of services and the preparation of the financing documents, including initial and secondary market disclosure, for financings undertaken by the City. Information obtained by Consultant and included in any disclosure documents is, by reason of experience, believed to be accurate; however, such information is not guaranteed by Consultant. Section 9 Confidentiality. The Consultant agrees that all financial, statistical, personal, technical and other data and information designated by the City as confidential shall be protected by the Consultant from unauthorized use or disclosure. Section 10 Indemnification. The City and Consultant shall each indemnify and hold harmless the other from and against any and all losses, claims, damages, expenses, including legal fees for defense, or liabilities, collectively, damages, to which either may be subjected by reason of the other's acts, errors or omissions, except however, neither will indemnify the other from or against damages by reason of changed events and conditions beyond the control of either. Section I1 Insurance. CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Page 3 Project No. 11.01 Consultant shall maintain workers' compensation and employer's liability insurance during the term of this Agreement. 11.02 Consultant, at its own expense, shall obtain and maintain insurance at all times during the prosecution of this contract. Such insurance must be written with a Best Guide "A" -rated or higher insurance carrier admitted to write insurance in the state where the work is located. 11.03 Certificates of insurance naming the City as an additional insured shall be submitted to the City evidencing the required coverages, limits and locations of operations to which the insurance applies, and the policies of insurance shall contain a 30 day notice of cancellation or non -renewal. 11.04 Insurance coverages shall not be less than the following A. Workers' Compensation 1. State worker's compensation statutory benefits 2. Employer's Liability -policy limits of not less than $1,000,000. B. Comprehensive General Liability coverage with policy limits of not less than $1,000,000 combined single limit for bodily injury and property damage and including coverage for the following: 1. Premises operations 2. Contractual liability 3. Products 4. Completed operation C. Errors and omissions with policy limits of $1,000,000. Section 12 Permits/Licenses. The Consultant shall obtain any permits or licenses, as may be required for it to complete the services required under this Agreement. Section 13 Binding Effect. 13.01 A waiver or indulgence by the City of a breach of any provision of this Agreement by the Consultant shall not operate or be construed as a waiver of any subsequent breach by the Consultant. 13.02 All agreements and covenants contained herein are severable and in the event any of them shall be held to be invalid by any competent court, this Agreement shall be interpreted as if such invalid agreements or covenants were not contained herein, and the remaining provisions of this Agreement shall not be affected by such determination and shall remain in full force and effect. This Agreement shall not fail because any part or any clause hereof shall be held indefinite or invalid. CITY OF SANTA ANAiFIELDMAN, ROLAPP & ASSOCIATES Page 4 Project No. 13.03 Each party hereto represents and warrants that this Agreement has been duly authorized and executed by it and constitutes its valid and binding agreement, and that any governmental approvals necessary for the performance of this Agreement have been obtained. 13.04 The validity, interpretation and construction of this Agreement and of each part hereof shall be governed by the laws of the State of California. Venue for any lawsuit concerning this agreement is Orange County, California. IN WITNESS Whereof, the parties have duly executed this Agreement as of the day and year first above set forth. CITY OF SAN AN By: Date: Fieldman, Rolapp & Associates 19900 MacArthur Boulevard, Suite 1100 Irvine, CA 92612 Date: July 3, 2007 ATTWi Mf RICA d ifEALY 010K OF 1W COUNCIE Title: Principal CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Page 5 Project No. EXHIBIT A TO PROFESSIONAL SERVICES AGREEMENT FOR FINANCIAL ADVISOR BY AND BETWEEN THE CITY OF SANTA ANA AND FIELDMAN, ROLAPP & ASSOCIATES Scope of Services A. General Services. The Consultant shall perform all the duties and services specifically set forth herein and shall provide such other services as it deems necessary or advisable, or are reasonable and necessary to accomplish the intent of this Agreement in a manner consistentwiththe standards and practice of professional financial advisors prevailing at the time such services are rendered to the City. The City may, with the concurrence of Consultant, expand this Agreement to include any additional services not specifically identified within the terms of this Agreement. Any additional services may be described in an addendum to this Exhibit A and are subject to fees described in Exhibit B to this Agreement. B. Debt Issuance Services. The Consultant shall assume primary responsibility for assisting the City in coordinating the planning and execution of each debt issue relating to the Project. Insofar as the Consultant is providing Services which are rendered only to the City, the overall coordination of the financing shall be such as to minimize the costs of the transaction coincident with maximizing the City's financing flexibility and capital market access. The Consultant's proposed debt issuance Services may include, but shall not be limited to, the following: • Establish the Financing Objectives • Develop the Financing Schedule • Monitor the Transaction Process • Review the Official Statement, both preliminary and final • Procure and Coordinate Additional Service Providers • Provide Financial Advice to the City Relating to Financing Documents • Compute Sizing and Design Structure of the Debt Issue • Plan and Schedule Rating Agency Presentation and Investor Briefings • Conduct Credit Enhancement Procurement and Evaluation • Conduct Market Analysis and Evaluate Timing of Market Entry • Recommend Award of Debt Issuance • Provide Pre -Closing and Closing Assistance CITY OF SANTA ANAiFIELDMAN, ROLAPP & ASSOCIATES Exhibit A, Page 1 Specifically, Consultant will: 1. Review the Official Statement a. Generally, SEC, MSRB, and GFOA guidelines encourage full disclosure so that potential investors have sufficient data to analyze each proposed financing. Upon direction of the City, the Consultant shall review the official statement for each debt issue relating to the Project to insure that the City's official statement is compiled in a manner consistent with industry standards, typically including the following matters: • Legal Authority for the Financing • Security for the Financing • Restrictions on Additional Financings • Purpose and Funds for which the Financing is Being Issued • Revenue Sources • Outstanding Financings • Planned Future Financings • Legal Opinions Regarding Tax Exemption • Such Other Matters as the Context May Require. b. The Consultant will post and maintain the final official statement on an internet web site. 2. Procure and Coordinate Additional Service Providers. Should the City desire, the Consultant may act as City's representative in procuring the services of financial printers for the official statement and related documents, and for the printing of any securities. In addition, the Consultant may act as the City's representative in procuring the services of trustees, paying agents, fiscal agents, feasibility consultants, redevelopment consultants, or escrow verification agents or other professionals, if the City directs. 3. Provide Financial Advice to the City Relating to Financing Documents. Simultaneous with assisting in the preparation of official statements for each debt issue relating to the Project, the Consultant shall assist the managing underwriters, bond counsel and/or other legal advisors in the drafting of the respective financing resolutions, notices and other legal documents. In this regard, the Consultant shall monitor document preparation for a consistent and accurate presentation of the recommended business terms and financing structure of each debt issue relating to the Project, it being specifically understood however that the Consultant's services shall in no manner be construed as the Consultant engaging in the practice of law. 4. Compute Sizing and Design Structure of Debt Issue. The Consultant shall work with the City's staff to design a financing structure for each debt issue relating to the Project that is consistent with the City's objectives, that coordinates each transaction with outstanding issues and that reflects current conditions in the capital markets. CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Exhibit A, Page 2 5. Plan and Schedule Investor Briefinxs. If appropriate, the Consultant shall develop a plan for presenting the financing program to the investor community. The Consultant shall schedule underwriter and/or investor visits, if appropriate, to assure the appropriate and most knowledgeable personnel are available for the presentation and, if requested, will develop presentation materials and assist the City officials in preparing for the presentations. 6. Conduct Credit Enhancement Evaluation and Procurement. If appropriate and at the City's direction, the Consultant will initiate discussions with the landowner regarding letter of credit providers and vendors of other forms of credit enhancements to provide credit support for the financing. 7. Conduct Market Analysis and Evaluate Timing of Market Entry. The Consultant shall provide regular summaries of current municipal market conditions, trends in the market and how these may favorably or unfavorably affect the City's proposed financing. In the case of a negotiated sale of debt, the Consultant shall perform a thorough evaluation of market conditions preceding the negotiation of the terms of the sale of debt and will assist the City with the negotiation of final issue structure, interest rates, interest cost, reoffering terms and gross underwriting spread and provide a recommendation on acceptance or rejection of the offer to purchase the debt. This assistance and evaluation will focus on the following areas as determinants of interest cost: • Size of financing • Sources and uses of funds • Terms and maturities of the debt issue • Review of the rating in pricing of the debt issue • Investment of debt issue proceeds • Distribution mix among institutional and retail purchasers • Interest rate, reoffering terms and underwriting discount with comparable issues • Redemption provisions 8. Recommend Award of Debt Issuance. Based upon activities outlined in Task 7 above, the Consultant will recommend accepting or rejecting offers to purchase the debt issue. If the City elects to award the debt issue, the Consultant will instruct all parties and help facilitate the actions required to formally consummate the award. CITY OF SANTA ANA,/FIELDMAN, ROLAPP & ASSOCIATES Exhibit A, Page 3 9. Provide Pre -Closing and Closing Activities. The Consultant shall assist in arranging for the closing of each financing. The Consultant shall assist counsel in assuming responsibility for such arrangements as they are required, including arranging for or monitoring the progress of bond printing, qualification of issues for book -entry status, signing and final delivery of the securities and settlement of the costs of issuance. CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Exhibit A, Page 4 EXHIBIT B TO FINANCIAL ADVISORY SERVICES AGREEMENT BY AND BETWEEN CITY OF SANTA ANA AND FIELDMAN, ROLAPP & ASSOCIATES Compensation Fieldman, Rolapp & Associates proposes to be compensated on an hourly basis with a not -to - exceed amount of $55,000, based upon the schedule of hourly rates attached hereto plus expenses and assuming the financial advisory services outlined in this Agreement are to be completed before December 31, 2007. Personnel Hourly Rate Executive Officers............................................................ $300.00 Principals......................................................................... $290.00 Senior Vice President....................................................... $275.00 VicePresidents................................................................. $225.00 Assistant Vice President ................................................... $195.00 Senior Associate............................................................... $150.00 Associate........................................................................... $125.00 Analyst................................................................................ $85.00 Administrative Assistants ................................................... $65.00 Clerical................................................................................ $35.00 Part 1: Fee for Services Financial Advisory Services performed pursuant to Section 1 of this Agreement, and as more fully described in the Scope of Services set forth in Exhibit A, will be billed on an hourly rate coupled with a not -to -exceed -amount of $55,000, plus expenses. Payment of fees earned by Consultant pursuant to this Part 1 shall be contingent on, and payable at the closing of the debt issue(s) undertaken to finance the Project. Part 2: Other Services Unless agreed to otherwise, financial advisory services performed pursuant to Section 2 of this Agreement will be billed at the then current hourly rates. The table below reflects the rates in effect as of the date of execution of this Agreement. Personnel Hourly Rate Executive Officers............................................................ $300.00 Principals.......................................................................... $290.00 Senior Vice President....................................................... $275.00 Vice Presidents................................................................ $225.00 Assistant Vice President ................................................... $195.00 Senior Associate............................................................... $150.00 Associate........................................................................... $125.00 Analyst................................................................................ $85.00 CITY OF SANTA ANAFIELDMAN, ROLAPP & ASSOCIATES Exhibit B, Page 1 Administrative Assistants.. Clerical .............................. . Expenses ..... $65.00 .... $35.00 Expenses will be billed for separately and will cover, among other things, travel, lodging, subsistence, overnight courier, computer, and fax transmission charges. Advances made on behalf of the City for costs of preparing, printing or distributing disclosure materials or related matter whether by postal services or electronic means, may also be billed through to the City upon prior authorization. Additionally, a surcharge of 6% of the net fee amount is added to verifiable out-of-pocket costs for recovery of costs such as telephone, postage, document reproduction and the like. Limiting Terms and Conditions The above fee is based on completion of work orders within six months of the City's authorization to proceed, and assumes that the City will provide all necessary information in a timely manner. The fee shown above in Part 1 presumes attendance at up to 10 meetings in the City's offices or such other location within a 25 -mile radius of the City place of business as the City may designate. Abandonment If, once commenced, the services of the Consultant are terminated prior to completion of our final report for any reason, we are to be reimbursed for professional services and direct expenses incurred up to the time we receive notification of such termination at the standard hourly rates shown in Part 1 and Part 2. CITY OF SANTA ANA/FIELDMAN, ROLAPP & ASSOCIATES Exhibit B, Page 2 CITY OF SANTA ANA Nonmajor Special Revenue Funds Combining Balance Sheet June 30, 2006 �= Sewer Special Connection Gas Tax Fee Assets Cash and investments Receivables (net of allowance for uncollectibles): Interest Intergovernmental Total assets Liabilities and Fund Balances Liabilities: Accounts payable Retention payable Due to other funds Deferred revenues Total liabilities Fund balances: Reserved for Encumbrances and continuing appropriations Unreserved, designated for: Authorized projects Subsequent year expenditures Unreserved, undesignated Total fund balances Total liabilities and fund balances [on 4,968,567 8,366 53,052 566,431 _ $ 574,797 5,021,619 E 180,395 15,219 15,463 i - 15,463 195,614 805,898 - 3,594,283 559,334 425,824 559,334 4,826,005 $ 574,797 5,021,619 CITY OF SANTA ANA Nonmajor Special Revenue Funds Combining Statement of Revenues, Expenditures and Changes in Fund Balances Year ended June 30, 2006 Sewer Special Connection Gas Tax Fee Revenues: Intergovernmental Charges for services Investment income Miscellaneous Total revenues Expenditures: Current: Human Resources Recreation and Community Services Police Department Planning and Building Capital Outlay Total expenditures Excess (deficiency) of revenues over(under)expenditures Other financing sources (uses): Transfers in Transfers out Total other financing sources (uses) Net change in fund balance Fund balances - beginning Fund balances - ending E 118 6,319,460 1,346,291 1,111,583 178,702 7,665,751 1,290,285 516,832 516,832 7,665,751 773,453 (7,962,514) (35,682) (7,962,514) (35,682) (296,763) 737,771 856,097 4,088,234 558,334 4,826,005 t05 -18-21I07 10:04 From-Fieldman Rulapp \1 2! 940 474 0773 T-372 P 002/003 F-925 Ok k d'IN11"Of"I 4", "V— 9PA xl"- . ..--i T��' .1 i WWI" rAqua Marvills Wood -Gutmann &:s Rio S. El Camino Rea, Ste B. Ban Clements CA 02672 (949) 542-7800 4 7 Dim (-mA**Y) 199RAa &!Q 12114/20W THIS CERTIFICATE IS ISSUED AS AMA OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. Iwo CEfMpJCA7E VMS NOT AMEND, EXTEND OR ALTER THE CORAMAGE AFFORDED BY THE POUCIK$ BELOW. INSM wil INSURER Indian Harbor Ins. Company www.Intagrityintoom; A INSURIER VOCA-223 � Al INSURER 155—affed Heldman, Rojapp & Associates C MURIR CA Iry1990ine0 MacArLhtir Blvd, 01100 92612 INSURER E %, eft) ..THEJA NOTWITHSTANDING ANY REQUIREMENT, TEAM OR CONDITION OF CERTIFICATE MAY BE ISSUED OR FRAY PERTAIN, THE INSURANCE SIONSANDCO DITIONS OF SUCH PWCff$, AgMEGATE sw jw rHE iNbuKzu Nm4IEUABOVF FOX rmL rQwUY rMUO INDICAIW. ANY CONTRACTOR OTHER DOCUMENT yw"RESPECT TOwIHICH THIS AFFORDED aYTHE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE LIMITS SHOWN MAY MAVE MEN REDUCED By PAID CLAIMS. IWSR LTR TYPE OF INSURANCE POLICY NUMBER E y LCY LIMITS GENEIML LMLrIV f1flf DAMAGE I" mA W ■ 92MMIRMALGENVIALUAP CLAPASMAGE LJOCCUR NCD 1XP (Any m S PERSONAL A AMY INJURY 5 GfiNESA4A§RRV"TC S _ PRODUCTS~W D ADI UM PDIJZ Lac AUTQMOINLX UARILITY ANY AUTO ALL OWNED A0 rHEMMUP ALTOS HIRED AUTUS, NoNOWNED AUTOS COPAWNIO SINGLE UMrr I POOILY IWL*Y BODILY INJURY LTM udd4flo Ipw Ac"No -SAME LIAGILITY ANY AUTO AVYO CrALY - 1A ACCIDENT I I OPMOT'r IIA AU 11 AGG W938 UABILW Q EACH OCCURRENCE :]OCCUR rl tAMS, WADE A00RfAAT9 2 DEDUCTIOL Ass -'JL Ni 91, MCH aCCINNI LL MIMIT I ILL 2500V is A hrrOrs VIMISISIoris ELI.10=9405 Limit -$Z OUULUUU Dad, $1 50,OW AQUW ISY �VIOIWN5 EVIDENCE OF ERRORS & OMISSIONS RENEWAL CC RTIFJCATF'PO L. *q 71� r*::VANCELXAMC!Nt Vi SHOULD ANY OF TM MOVE PrZ=BLQ PuUQ1ES BE CANCELL99 NO;OM THE City of Santo Ana Attn: Clark of the Court 1jPrA'IoN DATE THEREOF, THE ISSUING COMPANY W" ENDEAVOR TO MAIL DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLM NAMED To THE LEFT. RUT FALURA YO MAIL SUCH NOTICE SHAL4. IMPOSE NO OBLIGATION OR LIABILITY OF ANY IOND UPON THE COMPANY, ITS AGENTS OR RRPR9- 20 Civic Center Plaza (M-30) Santa Ana CA 92702-1988 SEINTATIVES. 10 vfDr Non-Paymaelt of PnErdlum ALHKONZED RLFR1SKKTATIW Old 4�fA�- Can GonTan RD 06 -19 -nor 10:04 Fron-Fieldnan RQIPP 949 474 9173 T -3T2 P D03/003 F-625 IMPORTANT if the certificate holder is an ADMIDNAL INSURFD, the poircy0mal must rat endorsed. A atntement on this certificate doss not coffer riots to the certificate holder in Iieu of such andorsemmu(s). It SUBROGATION IS WAIVED, wNea to the tame and conditions of the poloy, certain policies may require an andersemem, A statemem an this cerWkece does net eenfer if" to the cndfICAU holder In Ilan of ouch endarsemant(s). DISCLAIMER The Certificate of Irmratwe on the "rm skis Of thfa fomt does not constitute a Oxw ct between the issuing insurer(s), anhMud representative or produces, and the certhltato holder, nor does R affirmatively a negatively amend, enW7d or attar trd eoverage afforded by the pokcies (land thereat• .y ACORD 23 11001!08) created at www.sCwtsONUNLcom Le: Lute or Santa Ana trot: Manta Roque 5-18-U! t: S9pm p. a DL 1 BI®CA Rog" Wood -Gutmann & Bogart/111B u r Rwrr..nus ...um� 910 S. EI Camino Real, Ste B. 4M 2007 San Clemente CA 92672 (949) 542-7800 ANY AUTD www.integrityint.com 4--2o(0S-22�p3 Al a 'I - OJ k15Ui¢T Reldman, Rolapp&Associates A -Z007477 19900 MacArthur Blvd, #1100 ALL OWNED AUTOS Irvine CA 92612 ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. INSURER Hartford Casualty Insurance Company A INSURER Oak River Insurance Company INSURER C INSURER INSURER INOING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE L— I.; TYPE OF INSURANCE POLICY NUMBER GENERAL LIAB&ITY A COMMEROAL GENERAL UAB 72SBAAF9892 LAJUAImSMAM OCCUR 4/1/2007 LIMITS AUTO MR MADE 172SBAAFW92 2200050519071 41112007 14/112008 41112007 1411 /2008 of Santa Ana is named as additional insured per attached SS DO 08 04 05 _. ov n C of Santa Ana EXPIRATION DATE THEREOF, THE ISSUING COMPANY WRL ENDEAVOR TO MAIL Atm: City Clerk3� DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT. BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRE- 20 Civic Center Plaza SENTATIVES. lonsys Sar Non-0aymsnt o/ PmrMUM Santa Ana CA 92702 A THORQED REPRESENTATIVE u r Rwrr..nus ...um� 72UECT04293 4M 2007 411/2008 COMBINED SINGLE LIMIT 1 D00 A ANY AUTD s 000 BODILY INJURY ALL OWNED AUTOS SCHEDULED AUTOS (Per Penon7 S BODILY INJURY FIRED AUTOS NONZWNED AUTOS (Per swidno S PROPERTY DAMAGE JAN .c d" AUTO MR MADE 172SBAAFW92 2200050519071 41112007 14/112008 41112007 1411 /2008 of Santa Ana is named as additional insured per attached SS DO 08 04 05 _. ov n C of Santa Ana EXPIRATION DATE THEREOF, THE ISSUING COMPANY WRL ENDEAVOR TO MAIL Atm: City Clerk3� DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT. BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRE- 20 Civic Center Plaza SENTATIVES. lonsys Sar Non-0aymsnt o/ PmrMUM Santa Ana CA 92702 A THORQED REPRESENTATIVE Tw City of Santa Ana From: Blanca Roque 5-18-07 2:59pa p. 3 of 7 IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the poicy(ies) must be endorsed, A statement: on this certificate does not confer rights to the certificate holder in feu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsoment(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the Issuing insurer(s), authorized representative or producer, and the Certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon, r'.S TO FORM ACORD 25 (2001108) created at www.e CwtsONLINE.com le: Lrcy ar aanca ena trns: nranca 8ngoe 5-18-0! 2:59pm p, 4 of 7 (6) When You Additional Insurance Are Added As An Insured To Other That is other insurance available to you covering liability for damages arising out of the premises or operations, or products and completed operators, for which you have been added as an additional insured by that Insurance; or (7) When You Add Others As An Additional Insured To This Insurance That is other insurance available to an additional insured. However, the following provisions apply to other insurance available to any person or organization who is an additional insured under this Coverage Part; (a) Primary Insurance When Required By Contract This insurance is primary if you have agreed in a written contract, written agreement or permit that this insurance be primary. If other insurance is also primary, we will share with all that other insurance by the method described in c. below. (b) Primary And Non -Contributory To Other Insurance When Required By Contract If you have agreed in a written contract, written agreement or permit that this insurance is primary and noncontributory with the additional Insured's own insurance, this insurance is primary and we will not seek contribution from that other insurance. Paragraphs (a) and (b) do not apply to other insurance to which the additional insured has been added as an additional insured. When this insurance is excess, we will have no duty under this Coverage Part to defend the insured against any "suit" if any other insurer has a duty to defend the Insured against that "suit". If no other insurer defends, we will undertake to do so, but we will be entitled to the insured's rights against all those other insurer8APP 2(. "d L, Form 5S 00 08 04 05 BUSINESS LIABILITY COVERAGE FORM When this insurance is excess over other insurance, we will pay only our share of the amount of the loss, if any, that exceeds the sum of (1) The total amount that all such other insurance would pay for the loss in the absence of this insurance; and (2) The total of all deductible and self- insured amounts under all that other insurance, We will share the remaining loss, 9 any, with any other insurance that is not described in this Excess Insurance provision and was not bought spedfically to apply in excess of the Limits of Insurance shown in the Declarations of this Coverage Part. c. Method Of Sharing If all the other insurance permits contribution by equal shares, we will follow this method also. Under this approach, each insurer contributes equal amounts until it has paid its applicable limit of insurance or none of the loss remains, whichever comes first. If any of the other insurance does not permit contribution by equal shares, we will contribute by limits. Under this method, each insurers share is based on the ratio of its applicable limit of insurance to the total applicable limits of insurance of all insurers. S. Transfer Of Rights Of Recovery Against Others To Us a. Transfer Of Rights Of Recovery If the insured has rights to recover all or part of any payment, including Supplementary Payments, we have made under this Coverage Part, those rights are transferred to us. The insured must do nothing after loss to impair them. At our request, the insured will bring "suit" or transfer those rights to us and help us enforce them. This condition does not apply to Medical Expenses Coverage. b. Waiver Of Rights Of Recovery (Waiver Of Subrogation) If the insured has waived any rights of recovery against any person or organization for all or part of any payment, including Supplementary Payments, we have made under this Coverage Part, we also waive that right, provided the insured waived their rights of recovery against such person or organization in a contract, AS TQaftk'fiM or permit that was executed prior to the injury or damage. : . 'Lly Page 17 of 24 fo: Llty of Santa Ana From: Blanca Roque i-m-ur e:33pn P. a of r BUSINESS LIABILITY COVERAGE FORM F. OPTIONAL ADDITIONAL INSURED COVERAGES If listed or shown as applicable In the Declarations, one or more of the following Optional Additional Insured Coverages also apply. When any of these Optional Additioral Insured Coverages apply, Paragraph 6. (Additional Insureds When Required by Written Contract, Written Agreement or Permit) of Section C., Who Is An Insured, does not apply to the person or organization shown in the Declarations. These coverages are subject to the terms and conditions applicable to Business Liability Coverage in this policy, except as provided below: 1. Additional Insured " Designated Person Or Organization WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or organization(s) shown in the Declarations, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: a. In the performance of your ongoing operations; or b. In connection with your premises owned by or rented to you. 2. Additional Insured - Managers Or Lessors Of Premises a. WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or organization(s) shown in the Declarations as an Additional Insured - Desgnated Person Or Organization; but only with respect to liability arising out of the ownership, maintenance or use of that part of the premises leased to you and shown in the Declarations. b. With respect to the insurance afforded to these additional insureds, the following additional exclusions apply: This Insurance does not apply to: (1) Any "occurrence" which takes place after you cease to be a tenant in that premises; or (2) Structural alterations, new construction or demolition operations performed by or on behalf of such person or organization. AFrR0VLs E:., 3. Additional Insured - Grantor Of Franchise WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or organization(s) shown in the Declarations as an Additional Insured - Grantor Of Franchise, but only with respect to their liability as grantor of franchise to you. 4. Additional Insured - Lessor Of Leased Equipment a. WHO IS AN INSURED under Section C. is amended to include as an additional insured the persons) or organizations) shown in the Declarations as an Additional Insured — Lessor of Leased Equipment, but only with respect to liability for "bodily injury", "properly damage" or "personal and advertising injury" caused, in whole or in part, by your maintenance, operation or use of equipment leased to you by such person(s) or organization(s). b. With respect to the insurance afforded to these additional insureds, this insurance does not apply to any "occurrence" which takes place after you cease to lease that equipment. 5 Additional Insured - Owners Or Other Interests From Whom Land Has Been Leased a. WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or organization(s) shown in the Declarations as an Additional Insured — Owners Or Other Interests From Whom Land Has Been Leased, but only with respect to liability arising out of the ownership, maintenance or use of that part of the land leased to you and shown in the Declarations. b. With respect to the insurance afforded to these additional insureds, the following additional exclusions apply: This insurance does not apply to: (1) Any "occurrence" that takes place after you cease to lease that land; or (2) Structural alterations, new construction or demolition operations performed by or on behalf of such person or organization. 6. Additional Insured - State Or Political Subdivision — Permits a. WHO IS AN INSURED under Section C. is f'0 FORM amended to include as an additional insured the state or political subdivision s ,_ _ Tit! Page 18 of 24 Form SS 00 08 04 05 iu+ guy Oc Banca ane tcoa+ tllanca Roque 5-10-07 2:59pa p. 6 of 7 BUSINESS LIABILITY COVERAGE FORM Insured - State Or Political Subdivision - (e) Any failure to make such Permits, but only with respect to inspections, adjustments, tests or operations performed by you or on your servicing as the vendor has agreed behalf for which the state or political to make or normally undertakes to subdivision has issued a permit. make in the usual course of b. With respect to the insurance afforded to business, in connection with the distribution or sale oftheproducts; these additional Insureds, the following additional exclusions apply: (f) Demonstration, installation, This insurance does net apply to: servicing or repair operations. except such operations performed (1) "Bodily injury", "property damage" of at the vendor's premises in "personal and advertising injury" connecton with the sale of the arising out of operations performed for product; the state or municipality; or (g) Products which, after distribution (2) "Bodily injury" or "property damage" or sale by you, have been labeled included in the "product -completed or relabeled or used as a operations" hazard. container, part or ingredient of any 7. Additional Insured -Vendors other thing or substance by or for a. WHO IS AN INSURED under Section C. is the vendor; or amended to include as an additional (h) "Bodily injury" or "property insured the person(s) or organizations) damage" arising out of the sole (referred to below as vendor) shown in the negligence of the vendor for its Declarations as an Additional Insured - own acts or omissions or those of Vendor, but only with respect to "bodily its employees or anyone else injury" or "property damage" arising out of acting on its behalf However, this "your products" which are distributed or exclusion does not apply to: sold in the regular course of the vendor's (I) The exceptions contained in business and only it this Coverage Part Subparagraphs (d) or (f); or provides coverage for "bodily injury' or (ii} Such inspections, "property damage" included within the adjustments, tests or servicing "products -completed operations hazard". as She vendor has agreed to b. The insurance afforded to &a vendor is make or normally undertakes subject to the following additional exclusions: to make in the usual course of (1) This insurance does not apply to: business, in connection with (a) "Bodily injury" or "property the distribution or sale of the damage" for which the vendor Is products. obligated to pay damages by (2) This insurance does not apply to arty reason of the assumption of insured person or organization from liability in a contract or agreement, whom you have acquired such This exclusion does not apply to products, or any ingredient, part or liability for damages that the container, entering into, vendor would have in the absence accompanying or containing such of the contract or agreement; products. (b) Any express warranty 8, Additional Insured - Controlling Interest unauthorized by you; WHO IS AN INSURED under Section C. is (c) Any physical or chemical change amended to include as an additional insured in the product made intentionally the person(s) or organization(s) shown in the by the vendor; Declarations as an Additional Insured - (d) Repackaging, unless unpacked Controlling Interest, but only with respect to solely for the purpose of inspection, their liability arising out of: demonstration, testing, or the a. Their financial control of you; or substitution of parts under b. Premises they own, maintain or control instructions from the manufact rr�er' ay h , . I ase or occupy these premises. '...y '''� and then repackaged in the ori�iuie�'�'' container; Form SS 00 08 04 05 Page 19 of 24 ra; ucy or -arta AN trom, elarwa Have 5-18-01 2:59pe P. i or r BUSINESS LIABILITY COVERAGE FORM This insurance does not apply to structural alterations, new construction and demolition operations performed by or for that person or organization. 9. Additional Insured - Owners, Lessees Or Contractors - Scheduled Person Or Organization a. WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or organization(s) shown in the Declarations as an Additional insured - Owner, Lessees Or Contractors, but only with respect to liability for "bodily injury", "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: (1) In the performance of your ongoing operations for the additional insured(s); or (2) In connection with "your work" performed for that additional insured and included within the "products - completed operations hazard", but only if this Coverage Part provides coverage for "bodily injury" or "property damage" Included within the "products -completed operations hazard". b. With respect to the insurance afforded to these additional insureds, this insurance does not apply to "bodily injury% "property damage" or "personal an advertising injury" arising out of the rendering of, or the failure to render, any professional architectural, engineering or surveying services, including: (1) The preparing, approving, or failure to prepare or approve, maps, shop drawings, opinions, reports, surveys, field orders, change orders, designs or drawings and specifications; or (2) Supervisory, inspection, architectural or engineering activities. 10. Additional Insured - Co -Owner Of insured Premises WHO IS AN INSURED under Section C. is amended to include as an additional insured the person(s) or Organization(s) shown in the D clarations as an Additional Insured - Co - The limits of insurance that apply to additional insureds are described in Section D. - Limits Of Insurance. How this insurance applies when other insurance is available to an additional insured is described in the Other Insurance Condition in Section E. - Liability And Medical Expenses Generat Conditions. G. LIABILITY AND MEDICAL EXPENSES DEFINITIONS 1, "Advertisement" means the widespread public dissemination of information or images that has the purpose of inducing the sale of goods, products or services through: a. (1) Radio; (2) Television; (3) Billboard; (4) Magazine; (5) Newspaper; b. The Internet, but only that part of a web site that is about goods, products or services for the purposes of inducing the sale of goods, products or services; or c. Any other publication that is given widespread public distribution. However, "advertisement" does not Include: a. The design, printed material, information or images contained in, on or upon the packaging or labeling of any goods or products; or b. An interactive conversation between or among persons through a computer network. 2. "Advertising idea" means any idea for an "advertisement". 3. "Asbestos hazard" means an exposure or threat of exposure to the actual or alleged properties of asbestos and includes the mere presence of asbestos in any form. 4. "Auto" means a land motor vehicle, trailer or semi -trailer designed for travel on public roads, including any attached machinery or equipment. But "auto" does not include "mobile equipment". 5. "Bodily injury" means physical: a. Injury; b. Sickness; or c. Disease e Owner Of Insured Premises, but only with sustained by a person and, if arising out of the respect to their liability as co-owner of the above, mental anguish or death at any time. premises shown in the Declarations. ^ J 6, "Coverage(Wn ((M` means: Page 20 of 24 Form SS 00 08 04 05 To City of Santa Ana From: Blanca Roque 5-18-07 2159pm p. 2 or i :From: Wood -Gutmann & Bogart/111B 9!! 910 S EI Camino Real, Ste B. „n, 444 nt ii online San Clemente CA 92672 Y H RY icr Phone: (949) 542-7800 ? Gs:Od MtWtrMEOe i'EYldente of PticWml Fax: (949)542-7804 ' w Jntegrit�dnt corn ' r' rJa — - Fralrt� Blanca Roque City of Santa Ana Attn: City Clerk s 20 Civic Center Plaza Santa Ana rt Subject: Certification of Insurance Fieldman; Rolapp & Associates 1 Date: 5I1 M007 Delivery Via: FAX 17146475414 CA 92702 No. of Pages: 7 This document was created by eCertsONLINE The attached or linked document(s) contain certification of insurance coverage for the insured named in the subject above. Your company is listed as the organization requesting receipt of these documents. If this document is sent via e-mail, you must click on the link below The linked document is in a pdf format, and you mist have Adobe Acrobat Reader installed on your system. To download the Adobe Reader for free, visit www.Adabe.corn. If you have any questions regarding the content of this message, you should contact the Producer/Agency listed on the attached/linked documents. ,477/: e4 D - /- , AL)1- /Aly& 9,9,Wde aN oe7Jo/IJ6- PoevG s✓Cs A6M7 die /min s9n/laA2 �raYl SO FG THIS MESSAGE IS NTENOEO FOR LHE NSE OF THE WANDUCL oR ENT N TO WINCH R IS ADDRESSED AN Y CONTAIN INfOR PON THAT IS PIUMLEGEO, CONFIDE Aµ EXEW FROM UTSCIOSURE UNDER APFLIGIBLE LAW. IF THE READER OF THE MESSAGE 6 NOT THE NINTERDED RECI%ENT, OR THE EMPLOYEE OR AGENT RESPONME FOR DELIVERING THE MESSAGE TO THE INTENDED RECN'ENf, YOU ARE HEREBY WORRIED THAT ANY DISSEMINATION. DISTRIBUTION OR COPYING OF THIS COMMUNICATION M STRICILY PROHIBITED. F YOU HAVE RECENED THIS COMMUNICATION IN ERROR PFAGF NOTRY US dMIEDIATEIV BY TELEPHONE, AND RETURN THE ORIGINAL MESSAGE TOUS AT THE ABOVE ADDRESSMAREGUAR POSTAL SERVICE. www.eCemOnline.com 0 2002 Insurance Visions, inc. /01 %�/p �. ,....Y nl a,u �'.. :'j "� Dere(mmltldyy)'.. ACOKG►' #"� t ., .,, r. `, �k w; r;`- `��, ,�'�r . �.� . ,�.I "� .. 12/11/2006 L, h .t ,ni awry xM..�`e ,� v ..� u Protlucer THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE Wood -Gutmann & Bogart/111B COVERAGE AFFORDED BY THE POLICIES BELOW. 940 Calle Negocio, Ste. 240 San Clemente, CA 92673 INSURER Indian Harbor Ins. Company (949)542-7800 INSURER www. integrityi nt. com INSURER nsures Redman, Rolapp & Associates, Inc. Fieldman, Rolapp Financial Services, LLC Applied Best Practices, LLC 19900 MacArthur Blvd, #1100 INSURER INSURER Irvine � CyAru92612 E7777 ,�Vo ,Wul ,y.' ` h{S MT& J` \xlauy {3 , I. zn DCAT D THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE MSEXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE OEIC LIMITS SHOWNMAYHAVE BEEN REDUCED BY PAID CLAIMS. EFFECTIVE EXPIRATION LIMITS INSURANCE POLICY NUMBER DATE DATE EACH OCCURRENCE S BILITYLGENERALUAS HREDAMAGE Rn meflre S MEDE%P ( ore non $ RLTRE AO[ OCCUR PERSONALIF ADV INJURY $ GENERAL AGGREGATE $ PRODUCTS-COMP/OP AGG S E APPLIES PER PROJECT LOC TOMOBILE LIABILITY COMBINED SINGLE UMR $ NY AUTO BODILY INJURY ALL OWNED AUTOS (Per person) $ SCHEDULED AUTOS BODILY INJURY HIRED AUTOS (Per eccltler� $ R NON -OWNED AUTOS PROPERTY DAMAGE (Per accidem) $ RAGE LIABILITYOTHER MY AUTO AUTO ONLY - EA ACCIDENT $ THAN EA AG $ AUTO ONLY: AGG%CESS LIABILITY OCCUR CLAIMS MADE EACH OGCURFENGE $ AGGREGATE 3 S DEIXICTIBLE RETENTION $ WORKERS' COMPENSATION & EMPLOYERS' LIABILITY - _ STATUTORY LIMIT THE 3� \ EL EACH ACCIDENT S EL DISEASE - EA EMPLOYEE $ ELDISEASE. POLICY OMIT S rrors & Orniss!ons Iml: 000,000 Ded.$100,000 DE RIPTI N F PE RAT N L ATI N EHI LE EX LU N ADDED BY END R EMENT PE IAL PRVI I N `vA is L ,a e" , a.,rm �. v p .n SHOULD ANY OF Rr THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING COMPANY WILL ENDEAVOR TO MAIL City of Santa Ana30_ Attn: M —1-7 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE C.Ix e€ike 6o in FiN� niCG—IFFT. BUT FAILURE TO MAIL SUCH NOTICE SHALL IMPOSE NO OBLIGATION 20 Civic Center Plaza (M-39}- OR LIABILITY OF ANY KIND UPON THE COMPANY, ITS AGENTS OR REPRE- Santa Ana CA 92702-1988 SENTATIVES. 10 Days or Non-0aymant of Premium AUTHORIZED REPRESENTATIVE {IIJ pGIv� - Dan Gorman CERT NC. 4176630 Blanca � a 12/11/2008 3:10:11 PM Paye 1 : Blanca IMPORTANT If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endersement(s). DISCLAIMER The Certificate of Insurance on the reverse side of this form does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does R affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. ACORD 25-S (7/97) created at www.e CertsONLINE.com CERT AC 4176638 Blsnca R., 12/11/2000 3:10:01 PM Paye [ : nianca Wood -Gutmann & BogartillIB 940 Calle Negocio, Ste. 240 San Clemente, CA 92673 (949) 542-7800 ' www.integrityint.com { 13p FAX DOCUMENT certificate of Insurance Delivery by ecerteonline T» From: Blanca Roque _.. _.... __ .m. ... . Subject �o: City of Santa Ana Date: Attn: Clerk of the Court 20 Civic Center Plaza (M-30) Delivery Via: SANTA ANA CA 92702-1988 ry No. of Pages: This document was created by eCertsONLINE. Certification of Insurance: Fieldman, Rolapp 8 Associates 12/11/2008 FAX 17146475414 3 The attached or linked document(s) contain certification of insurance coverage forthe insured named in the subject above. Your company is listed as the organization requesting receipt of these documents. If this document is sent via e-mail, you must click on the link below. The linked document is in a pdf format, and you must have Adobe Acrobat Reader installed on your system. To download the Adobe Reader for free, visit www.Adobe.com. If you have any questions regarding the content of this message, you should contact the Producer/Agency listed on the attached/linked documents. THIS F UNDER LAW. IF THE READER OFOTED HEFMES AGE IS NOT THE INTENDEDDILOR ENTITY TO RECIP ENT OR THE ENPLOHICH IT ISYEEEE OR AGENT FOR DRESSEDAND MAY ELIVER NG THE WI ON THAT ESSAGE TO THE S PRIVILEGED, CONFIDENTIAL TENDED EAND PIIEN . YW AAE HEREBY NOTIFIED THA' EPNYA� DISSEMINATION, DISTRIEUTICN OR COPYING OF THIS CCWW"G%T ON IS STRICTLY PROHIBITED IF YOU HAVE RECEIVED THS COWUNICATION IN ERROR, PLEASE NOTIFY US IMHDIATELY BYTELEPHONE AND RETURN THE OR IGINAL MESSAGE TO US AT THE ABODE ADDRESS VIA REGULAR POSTAL SERVICE © 2002 certificate of Insurance Delivered by ecertsonlins •H Insurance Visions, Inc. All rights reserved. -2/21/27'_3 `_x:,4:22 AM PST ;GMT -B) F7.0M: _71464754"_4 Page: 2 of 3 AcoRJJr CERTIFICATE OF LIABILITY INSURANCEDATE(MM/DD/YYYY) 12/21/2010 PRODUCER Wood -Gutmann & Bogart/IIIB 940 Calle Negocio, Ste. 240 San Clemente, CA 92673 949 542-7800 www.integrityint.com 949 542-7804 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. 70nn111 AN -5 PM 2t 3y INSURERS AFFORDING COVERAGE NAIC # INSURED Fieldman, Rolapp & Associates Inc. Fieldman, Rolapp Financial Services, LLC Applied Best Practices, LLC 19900 MacArthur Blvd, #1100 Irvine CA 92612INSURER �9rc(a�� n 1< A - SDI - NSURERA: a OLI s.0 m `n 0 NSURERB.� INSURER C. , ' D. INSURER E. THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR 'L POLICY EFFECTIVE POLICY EXPIRATIONLTR N%Rn TYPE OF INSURANCE POLY NUMBER DATE (MM/DD/YYYY1 LNNfT5 GENERAL LIABILITY EACH OCCURRENCE $ COMMERCIAL GENERAL LIABILITY DAMAGE TOR DPREMISES a occurrence $ MED EXP (Any one person) $ CLAIMS MADE FIOCCUR PERSONAL & ADV INJURY $ GENERAL AGGREGATE $ GEN'L AGGREGATE LIMIT APPLIES PER. PRODUCTS - COMP/OP AGG $ POLICY 7 PRO LOC AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT $ ANY AUTO (Ea accident) ALL OWNED AUTOS BODILY INJURY $ SCHEDULED AUTOS (Per person) HIRED AUTOS BODILY INJURY $ NON -OWNED AUTOS (Per accident) PROPERTY DAMAGE $ (Per accident) GARAGE LIABILITY AUTO ONLY - EA ACCIDENT $ OTHER THAN EA ACC $ ANY AUTO AUTO ONLY. AGG $ EXCESS / UMBRELLA LIABILITY RO �pl�i l? /'r �� i_ ,y* .)._I,l `l EACH OCCURRENCE $ OCCUR � CLAIMS MADE FORM n I� AGGREGATE $ $ DEDUCTIBLES RETENTION $ LaUrl Still WORKERS COMPENSATION A .E ssistan Cil Y ��.lLt�rnC' WCSTATU• OTH- T Y IMIT AND EMPLOYE RS'LIABWTY Y/N E.L. EACH ACCIDENT $ ANY PROPRIETOR/PARTNER/EXECUTNE OFFICER/MEMBER EXCLUDED? ❑ E.L. DISEASE - EA EMPLOYEE $ (Mandatory in NH) If yes, describe under E.L. DISEASE -POLICY LIMIT 1 $ SPECIAL PROVISIONS below OTHER A Errors & Omissions ELU119989-10 12/20/2010 12/20/2011 Limit: $2,000,000 Aggregate Ded. $100,000 DESCRIPTION OF OPERATIONS / LOCATIONS ! VEHICLES / EXCLUSIONS ADDED BY ENDORSEMENT / SPECIAL PROVISIONS City of Santa Ana Attn: Clerk of the Court 20 Civic Center Plaza (M-30) Santa Ana CA 92702-1988 CERT NO.: 9028066 VaiL Brady -Roe 12/21/2010 LD:L2:11 AM Page 1 of 2 SHOULD ANY OFTHE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MAIL 30' DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO SO SHALL IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER, ITS AGENTS OR REPRESENTATIVES. ' 10 Days for Non -Payment of Premium. AUTHORIZED REPRESENTATIVE Dan Gorman © 1988-2009 ACORD CORPORATION. All rights reserved. -2/21/22`_0 0:14:22 AM PST ;GM"_ --3) FROM: insurancevisions.com-TO: 17146475414 IMPORTANT Page: 3 of 3 If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). DISCLAIMER This Certificate of Insurance does not constitute a contract between the issuing insurer(s), authorized representative or producer, and the certificate holder, nor does it affirmatively or negatively amend, extend or alter the coverage afforded by the policies listed thereon. CERT NO.: 9026066 Va1L Brady -Poe L2/2L/2010 LO:L2:_1 AM Paae 2 of 2 I 111111-11111121/2C10 1'J:14:22 AM_ PS'_' (GMT -8) FROM: _nsurancevisions.com-T0: 17146475414 To City of Santa Ana Attn: Clerk of the Court 20 Civic Center Plaza (M-30) Santa Ana CA 92702-1988 This document was created by eCertsONLINE. ?age: 1 of 3 FAX DOCUMENT Certificate of Insurance Delivery by ecartsonline TM From: Vail Brady -Roe Subject: Date: Delivery Via No. of Pages E&O Renewal CertsO Feldman, Rolapp 12/21/2010 FAX 17146475414 The attached or linked document(s) contain certification of insurance coverage for the insured named in the subject above. Your company is listed as the organization requesting receipt of these documents. If this document is sent via e-mail, you must click on the link below. The linked document is in a pdf format, and you must have Adobe Acrobat Reader installed on your system. To download the Adobe Reader for free, visit www.Adobe.com. If you have any questions regarding the content of this message, you should contact the Producer/Agency listed on the attached/linked documents. THIS MESSAGE IS INTENDED FOR THE USE OF 7HE INDIVIDUAL OR ENTITY TO WHICH 17 IS ADDRESSED AND MAY CONTAIN INFORMATION 7HA7 IS PRIVILEGED, CONFIDENTIAL AND EXEMPT FROM DISCLOSURE UNDER APPLICABLE LAW. IF THE READER OF THE MESSAGE IS NOT THE INTENDED RECIPIENT, DR THE EMPLOYEE OR AGENT RESPONSIBLE FOR DEL NERING THE MESSAGE 70 THE IN ENDED RECIPIENT, YOU ARE HEREBYN071FIED THAT ANY DISSEMINATION, DISTRIBUTION OR COPYING OF THIS COMMUNICATION IS STRICTLY PROHIBITED. IF YOU HAVE RECEIVED THIS COMMUNICATION IN ERROR, PLEASE NOTIFY US IMEDIATELY BYTELEPHONE, AND RETURN THE ORIGINAL MESSAGE TO US AT THE ABOVE ADDRESS VIA REGULAR POSTAL SERVICE. © 2002 Certificate of Insurance Delivered by scartsonline TM Insurance Visions, Inc. All rights reserved.