HomeMy WebLinkAbout1999-04-13; City Council; 15136; Administrative Services Consultant CFD No. 1a P $
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c CITY OF CARLSBAD - AGENDA BILL ’ ‘Iv 3 -
AB# /<T/3& T’TLE: COMMUNITY FACILITY DISTRICT NO. 1 DEPT HD.
MTG. 04w. 199 SELECTION OF CITY ATTY.
DEPT. FIN ADMINISTRATIVE SERVICES CONSULTANT CITY MGR.a
RECOMMENDED ACTION:
Adopt Resolution No. 4q4/J$ authorizing the Mayor to execute an agreement with Special District
Financing and Administration to perform administrative services for Community Facilities District No.
1.
ITEM EXPLANATION
In May 1991, property owners of vacant land within the City of Carlsbad voted to establish the
Community Facility District No. 1 (CFD #I). The CFD provides funding for a variety of infrastructure
projects which will be necessary to meet the requirements of the Growth Management Program.
Council formed CFD No. 1 in 1991, following an election by property owners for a special tax to be
levied upon their property to fund construction or acquisition of capital projects.
With the formation of the CFD, the City assumed certain responsibilities including debt issuance and
management, setting and collection of taxes, dealing with possible defaults, placement and removal
of tax liens, and construction of capital projects. In addition, careful coordination between Community
Development and the Finance Department is required to provide accurate property information for
changing land use designations, parcel segregation data, collection of taxes and developer fees, and
other administrative tasks related to managing the district.
In 1995, the City requested proposals from firms for the administration of CFD #I. The contract was
awarded to Special District Financing and Administration (SDFA) due to their first-hand knowledge of
the City’s CFD, a demonstrated understanding of the required tasks and their competitive pricing. No
other firm appeared to clearly understand the requirements of the contract or were able to provide the
same level of service at a competitive price.
City staff has been very happy with the level of services we have received from SDFA. Numerous
complex issues have been raised over the term of their contract and SDFA has been instrumental in
resolving these issues in a timely and satisfactory manner. Barbara Hale-Carter, a principal in the
firm, was involved in the creation of CFD #I and; therefore, is able to provide a broad understanding
of the issues and the history of the CFD.
The City’s CFD is quite complex and very unique in the way it was designed. It is important that it be
administered in a consistent manner in order to eliminate conflicts and remain a fair and rational
method by which development pays for its share of City facilities. Staff does not believe that any
other firm would be able to provide the same level of services for the City’s CFD without spending an
inordinate amount of time reviewing all past history. For that reason, the purchasing officer has
waived the requirement for multiple proposals and staff recommends that the contract for the
administration of CFD #I be awarded to SDFA.
Their proposal is attached as Exhibit 3. It outlines a scope of work which is identical to the services
which have been provided in the past contract. These include the following:
Task A - Annual Tax Roll Submittal / Annual ReDortinq
Estimating future development growth for cash forecasting. Calculating annual cash flows,
determining tax rates, and submitting roll to County. Providing annual report to the City with all
relevant tax information.
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-_ ..F%ge2 of Agenda Bill # p-i /3b .
Task B - Annexations
Assisting the City in processing annexations to the District. Reviewing administration procedures and
suggesting improvements.
Task C - Aopeals Actions
Answering questions and performing tax calculations for property owners and developers as needed.
Performing other special research projects as requested.
SDFA has submitted a proposal for work performed on an hourly basis with an annual “not-to-exceed”
price of $65,000 plus expenses. This is $10,000 less than their previous contract with the City and
reflects the benefits of their familiarity with the requirements of the CFD administration. All of the
tasks enumerated above are included in this “not-to-exceed” figure. The hourly rates are subject to
increases based on the Consumer Price Index; however, the not-to-exceed amount will not increase
over the five year period.
The term of the contract will be for three (3) annual billing periods beginning April 1, 1999 and
extending to December 31, 2001, with options to extend for two (2) additional one-year periods
subject to satisfactory performance and the City’s needs.
FISCAL IMPACT:
CFD #I will provide approximately $2.0 million in annual special taxes and $6.6 million in one-time
special taxes for the 1998-99 fiscal year. These taxes must be used for the construction of certain
City facilities. A City administrative fee of approximately $100,000 was provided for in the formation documents and has been included in the 1998-99 CFD taxes. The fee will be used to fund the
contract with SDFA for administrative services in an amount up to $65,000 as well as other City
administrative costs. All administrative costs of CFD #I are paid from CFD #I funds.
EXHIBITS:
1. Resolution No. qq’/a59uthorizing the Mayor to execute an agreement with Special District
Financing and Administration to perform administrative services for Community Facilities District
No. 1.
2. Agreement between Special District Financing & Administration and the City of Carlsbad.
3. Special District Financing and Administration Proposal for administrative services for Carlsbad’s
CFD #I.
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RESOLUTION NO. 99-125
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA,
AUTHORIZING THE SELECTION OF SPECIAL
DISTRICT FINANCE AND ADMINISTRATION
TO PERFORM ADMINISTRATIVE SERVICES
FOR COMMUNITY FACILITIES DISTRICT NO. 1
WHEREAS, due to the formation of Community Facilities District No. 1
(CFD #I) in 1991, the City assumed certain administrative responsibilities; and
II WHEREAS, in 1995, the City awarded Special District Finance and
Administration the contract to perform administrative services for CFD #I. The
contract has since expired; and
WHEREAS, due to the complexities involved in the administration of
CFD #I, it is important that it be administered in a consistent manner. SDFA has
demonstrated their understanding of the required tasks, and their services are
competitively priced.
II
WHEREAS, the purchasing officer has waived the requirement for
multiple proposals, and staff recommends that the contract for the administration of
CFD #I be awarded to Special District Financing and Administration.
WHEREAS, a City administration fee was provided for in the CFD #I
formation documents and has been included in the 1999-00 CFD taxes.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City
of Carlsbad, California, as follows:
1. That the above recitations are true and correct
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2. That the agreement between Special District Finance and
Administration and the City of Carlsbad is hereby approved and the Mayor is hereby
authorized and directed to execute said agreement.
PASSED, APPROVED AND ADOPTED at a regular meeting of the City
Council on the 13th day of April f 1999, by the following vote, to
wit:
AYES: Council Members Lewis, Hall, Flnnila, Nygaard and Kulchin
NOES: None
ABSENT: None
ATTEST:
(SEAL)
AGREEMENT
BETWEEN THE CITY OF CARLSBAD
AND SPECIAL DISTRICT FINANCING AND ADMINISTRATION
THIS AGREEMENT is made and entered into as of the 13th day of
ADril , 1999, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as “City”, and SPECIAL DISTRICT FINANCING AND
ADMINISTRATION, a limited liability company, hereinafter referred to as “Contractor.”
RECITALS
City requires the services of a municipal financial consulting and administration
contractor to provide assistance in the annual administration of the City’s Community Facilities
District No. 1 (CFD No. 1); and Contractor possesses the necessary skills and qualifications to
provide the services required by the City;
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. CONTRACTOR’S OBLIGATIONS
Contractor shall provide annual administrative services for the City’s CFD No. 1 (as
further described in Exhibit 2). The services shall include:
Task A - Annual Tax Roll Submittal/Annual Reportinq
Estimating future development growth for cash forecasting. Calculating annual
cash flows, determining tax rates, and submitting roll to County. Providing annual report to the
City with all relevant tax information.
Task B - Annexations
Assisting the City in processing annexations to the District. Reviewing administration
procedures and suggesting improvements.
rev. 2/26/99
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Task C - ADDealS Actions
Answering questions and performing tax calculations for property owners and
developers as needed. Performing other special research projects as requested.
In addition, contractor shall respond to all requests by City staff, property owners or
developers, within one (1) business day of receipt of the request. The request need not be
fulfilled by that time; however, contractor will contact the requestor by telephone, fax, or letter to
acknowledge their request and provide an estimate of when the information will be forthcoming.
2. CITY OBLIGATIONS
The City shall provide background information and documentation as appropriate and
make staff available to answer questions as necessary.
3. PROGRESS AND COMPLETION
The work under this contract will begin within ten (10) days after receipt of notification to
proceed by the City and will continue for three (3) annual billing periods ending December 31,’
1999, 2000, and 2001. The contract may be extended for two (2) additional one (1) year
periods. Extensions of time may be granted if requested by the Contractor and agreed to in
writing by the Finance Director. The Finance Director will give allowance for documented and
substantiated unforeseeable and unavoidable delays not caused by a lack of foresight on the
part of the Contractor, or delays caused by City inaction or other agencies’ lack of timely action.
4. FEES TO BE PAID TO CONTRACTOR
The total fee payable for the services to be performed shall not exceed $65,000.00 per
billing period for each of the five (5) annual periods. Hourly rates are subject to increases in the
Consumer Price Index; however, the not-to-exceed amount will remain at $65,000.00 per billing
period for each of the five (5) annual periods.
Principal $1 OO.OO/hour
Programmer $90.00/hour
rev. 2126199
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Associate $60.00/hour
Data Entry/Secretarial $40.00/hour
No other compensation for services will be allowed except those items covered by
supplemental agreements per Paragraph 8, “Changes in Work.” The City reserves the right to
withhold a ten percent (10%) retention until the project has been accepted by the City.
5. DURATION OF CONTRACT
This agreement shall extend for a period of three (3) annual billing periods beginning
April 1, 1999, continuing through December 31,200l. The contract may be extended by the City
Manager for two (2) additional one (1) year periods or parts thereof, based upon a review of
satisfactory performance and the City’s needs. The parties shall prepare extensions in writing
indicating effective date and length of the extended contract.
6. PAYMENT OF FEES
Payment of approved items on the invoice shall be mailed to the Contractor within 30,
days of receipt of the invoice.
7. FINAL SUBMISSIONS
On or before the following dates, the Contractor shall provide to the parties specified the
following information:
June I”: CFD cash flow and recommended tax rates to Finance Director.
Auaust I”: Transmit taxes for each parcel and the City Council Resolution to the San
Diego County Auditor-Controller in the required format and verify acceptance of the tax on all
parcels within the CFD.
Auaust 10”; Research and submit all rejections and corrections to the tax roll.
November 1”: Provide Finance Director with the annual report for the CFD.
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8. CHANGES IN WORK
If, in the course of the contract, changes seem merited by the Contractor or the City, and
informal consultations with the other party indicate that a change in the conditions of the contract
is warranted, the Contractor or the City may request a change in contract. Such changes shall
be processed by the City in the following manner: A letter outlining the required changes shall
be forwarded to the City by Contractor to inform them of the proposed changes along with a
statement of estimated changes in charges or time schedule. A Standard Amendment to
Agreement shall be prepared by the City and approved by the City according to the procedures
described in Carlsbad Municipal Code Section 3.28.172. Such Amendment to Agreement shall
not render ineffective or invalidate unaffected portions of the agreement.
9. COVENANTS AGAINST CONTINGENT FEES
The Contractor warrants that their firm has not employed or retained any company or
person, other than a bona fide employee working for the Contractor, to solicit or secure this
agreement, and that Contractor has not paid or agreed to pay any company or person, other
than a bona fide employee, any fee, commission, percentage, brokerage fee, gift, or any other
consideration contingent upon, or resulting from, the award or making of this agreement. For
breach or violation of this warranty, the City shall have the right to annul this agreement without
liability, or, in its discretion, to deduct from the agreement price or consideration, or otherwise
recover, the full amount of such fee, commission, percentage, brokerage fees, gift, or contingent
fee.
10. NONDlSCRlMlNATlON CLAUSE
The Contractor shall comply with the state and federal laws regarding nondiscrimination.
11. TERMINATION OF CONTRACT
In the event of the Contractor’s failure to prosecute, deliver, or perform the work as
provided for in this contract, the City Manager may terminate this contract for nonperformance
rev. 2/26/99
by notifying the Contractor by certified mail of the termination of the Contractor. The Contractor,
thereupon, has five (5) working days to deliver said documents owned by the City and all work in
progress to the Finance Director. The Finance Director shall make a determination of fact
based upon the documents delivered to City of the percentage of work which the Contractor has
performed which is usable and of worth to the City in having the contract completed. Based
upon that finding as reported to the City Manager, the Manager shall determine the final
payment of the contract.
This agreement may be terminated by either party upon tendering thirty (30) days written
notice to the other party. In the event of such suspension or termination, upon request of the
City, the Contractor shall assemble the work product and put same in order for proper filing and
closing and deliver said product to City. In the event of termination, the Contractor shall be paid
for work performed to the termination date; however, the total shall not exceed the lump sum fee
payable under paragraph 4. The City Manager shall make the final determination as to the
portions of tasks completed and the compensation to be made.
12. CLAIMS AND LAWSUITS
The Contractor agrees that any contract claim submitted to the City must be asserted as
part of the contract process as set forth in this agreement and not in anticipation of litigation or in
conjunction with litigation. The Contractor acknowledges that if a false claim is submitted to the
City, it may be considered fraud and the Contractor may be subject to criminal prosecution. The
Contractor acknowledges that California Government Code sections 12650 et sea., the False
Claims Act, provides for civil penalties where a person knowingly submits a false claim to a
public entity. These provisions include false claims made with deliberate ignorance of the false
information or in reckless disregard of the truth or falsity of information. If the City of Carlsbad
seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation
costs, including attorney’s fees. The Contractor acknowledges that the filing of a false claim may
rev. 2/26/W
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subject the Contractor to an administrative debarment proceeding wherein the Contractor may
be prevented to act as a Contractor on any public work or improvement for a period of up to five
years. The Contractor acknowledges debarment by another jurisdiction is grounds for the City of
Carlsbad to disqualify the Contractor from the selection process
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(Initial)
The provisions of Cartsbad Municipal Code sections 3.32. 25. 3.32.026. 3.32.027 and
3.32.028 pertaining to false claims are incorporated herein by reference (Initial)
13. JURlS DICTIOY YF
The Contractor agrees and hereby stipulates that the proper venue and jurisdiction for
resolution of any disputes between the parties arising out of this agreement is San Diego
County, California.
14. STATUS OF THE CONTRACTOR
The Contractor shall perform the services provided for herein in Contractor’s own way as
an independent Contractor and in pursuit of Contractor’s independent calRng, and not as an
employee of the City. Contractor shall be under control of the City only as to the result to be
accomplished, but shall consult with the CIfy as provided for In the request for proposal. The
persons used by the Contractor to provide services under this agreement shall not be
consklered employees of the City for any purposes whatsoever.
The Contractor is an independent Contractor of the City. The payment made to the
Contractor pursuant to the contrad shall be the full and complete compensation to which the
Contractor is entitled. The City shall not make any federal or state tax withholdings on behalf of
the Contractor or its empioyees or subcontractors. The City shall not be required to pay any
workers’ compensation insurance or unemployment contributions on behalf of the Contractor or
its employees or subcontractors. The Contractor agrees to indemnify the City withIn 30 days for
any tax, retirement contribution, social security, overtime payment. unemployment payment or
workers’ compensation payment which the city may be required to make on behalf of the
rev. Z/26/99
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Contractor or any employee or subcontractor of the Contractor for work done under this
agreement or such indemnification amount may be deducted by the City from any balance
owing to the Contractor.
The Contractor shall be aware of the requirements of the Immigration Reform and
Control Act of 1986 and shall comply with those requirements, including, but not limited to,
verifying the eligibility for employment of all agents, employees, subcontractors and Consultants
that are included in this agreement.
15. CONFORMITY TO LEGAL REQUIREMENTS
The Contractor shall cause all drawings and specifications to conform to all applicable
requirements of law: federal, state and local. Contractor shall provide all necessary supporting
documents, to be filed with any agencies whose approval is necessary.
The City will provide copies of the approved plans to any other agencies.
16. OWNERSHIP OF DOCUMENTS
All plans, studies, sketches, drawings, reports, and specifications as herein
required are the property of the City, whether the work for which they are made be executed or
not. In the event this contract is terminated, all documents, plans, specifications, drawings,
reports, and studies shall be delivered forthwith to the City. Contractor shall have the right to
make one (1) copy of the plans for its records.
I?. REPRODUCTION RIGHTS
The Contractor agrees that all copyrights which arise from creation of the work pursuant
to this contract shall be vested in City and hereby agrees to relinquish all claims to such
copyrights in favor of City.
16. HOLD HARMLESS AGREEMENT
rev. 2126199
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Contractor agrees to indemnify and hold harmless the City of Carlsbad and its officers,
officials, employees and volunteers from and against all claims, damages, losses and expenses
including attorneys fees arising out of the performance of the work described herein caused by
any willful misconduct, or negligent act, or omission of the contractor, any subcontractor, anyone
directly or indirectly employed by any of them or anyone for whose acts any of them may be
liable.
19. ASSIGNMENT OF CONTRACT
The Contractor shall not assign this contract or any part thereof or any monies due
thereunder without the prior written consent of the City.
20. SUBCONTRACTING
If the Contractor shall subcontract any of the work to be performed under this contract by
the Contractor, Contractor shall be fully responsible to the City for the acts and omissions of
Contractor’s subcontractor and of the persons either, directly or indirectly employed by the,
subcontractor, as Contractor is for the acts and omissions of persons directly employed by
Contractor. Nothing contained in this contract shall create any contractual relationship between
any subcontractor of Contractor and the City. The Contractor shall bind every subcontractor
and every subcontractor of a subcontractor by the terms of this contract applicable to
Contractor’s work unless specifically noted to the contrary in the subcontract in question
approved in writing by the City.
21. PROHIBITED INTEREST
No official of the City who is authorized in such capacity on behalf of the City to
negotiate, make, accept, or approve, or take part in negotiating, making, accepting, or approving
of this agreement, shall become directly or indirectly interested personally in this contract or in
any part thereof. No officer or employee of the City who is authorized in such capacity and on
behalf of the City to exercise any executive, supervisory, or similar functions in connection with
rev. 2/26/99
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the performance of this contract shall become directly or indirectly interested personally in this
contract or any part thereof.
22. VERBAL AGREEMENT OR CONVERSATION
No verbal agreement or conversation with any officer, agent, or employee of the City,
either before, during or after the execution of this contract, shall affect or modify any of the terms
or obligations herein contained nor entitle the Contractor to any additional payment whatsoever
under the terms of this contract.
23. SUCCESSORS OR ASSIGNS
Subject to the provisions of Paragraph 17, “Hold Harmless Agreement,” all terms,
conditions, and provisions hereof shall inure to and shall bind each of the parties hereto, and
each of their respective heirs, executors, administrators, successors, and assigns.
24. EFFECTIVE DATE
This agreement shall be effective on and from the day and year first written above.
25. CONFLICT OF INTEREST
The Contractor shall file a conflict of interest statement with the City Clerk in accordance
with the requirements of the City’s conflict of interest code incorporating Fair Political’Practices
Commission Regulation 18700 as it defines A consultant. The disclosure category shall be for all
categories.
26. INSURANCE
The Contractor shall obtain and maintain for the duration of the contract and any and all
amendments insurance against claims for injuries to persons or damage to property which may
arise out of or in connection with performance of the work hereunder by the Contractor, his
agents, representatives, employees or subcontractors. Said insurance shall be obtained from
an insurance carrier admitted and authorized to do business in the State of California. The
rev. 2/26/99
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insurance carrier is required to have a current Best’s Key Rating of not less than “A-Y and shall
meet the City’s policy for insurance as stated in Resolution No. 91-403.
A. Coveraaes and Limits.
Contractor shall maintain the types of coverages and minimum limits indicated
herein, unless a lower amount is approved by the City Attorney or City Manager:
1. Comprehensive General Liability Insurance. $1 ,OOO,OOO combined single-
limit per occurrence for bodily injury, personal injury and property damage. If the submitted
policies contain aggregate limits, general aggregate limits shall apply separately to the work
under this contract or the general aggregate shall be twice the required per occurrence limit.
2. Automobile Liability (if the use of an automobile is involved for
Contractor’s work for the City). $l,OOO,OOO combined single-limit per accident for bodily injury
and property damage.
3. Workers’ Compensation and Employer’s Liability. Workers’
Compensation limits as required by the Labor Code of the State of California and Employer’s
Liability limits of $1 ,OOO,OOO per accident for bodily injury.
4. Professional Liability. Errors and omissions liability appropriate to the
contractor’s profession with limits of not less than $l,OOO,OOO per claim. Coverage shall be
maintained for a period of five years following the date of completion of the work.
B. Additional Provision%.
Contractor shall ensure that the policies of insurance required under this
agreement contain, or are endorsed to contain, the following provisions.
1. The City shall be named as an additional insured on all policies excluding
Workers’ Compensation and Professional Liability.
2. The Contractor shall furnish certificates of insurance to the City before
commencement of work.
rev. 2/26/99
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3. The Contractor shall obtain occurrence coverage, excluding Professional
Liability which shall be written as claims-made coverage.
4. This insurance shall be in force during the life of the agreement and any
extension thereof and shall not be canceled without 30 days prior written notice to the City sent
by certified mail.
5. If the Contractor fails to maintain any of the insurance coverages required
herein, then the City will have the option to declare the Contractor in breach, or may purchase
replacement insurance or pay the premiums that are due on existing policies in order that the
required coverages may be maintained. The Contractor is responsible for any payments made
by the City to obtain or maintain such insurance and the City may collect the same from the
Contractor or deduct the amount paid from any sums due the Contractor under this agreement.
27. RESPONSIBLE PARTIES
For Contractor:
The name of the persons who are authorized to give written notices or to receive written.
notice on behalf of the City and on behalf of the Contractor in connection with the foregoing are
as follows:
For City: Title
Name
Address
Finance Director
Lisa Hildabrand
1200 Carlsbad Village Drive
Carlsbad, CA 92008
Managing Partner Title
Name
Address
Barbara Hale-Carter
333 South Juniper, Suite 208
Escondido, CA 92025
28. BUSINESS LICENSE
rev. 2/26199
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Contractor shall obtain and maintain a City of Carlsbad Business License for the duration
of the contract.
29. ENTIRE AGREEMENT
This agreement, together with any other written document referred to or contemplated
herein, embody the entire agreement and understanding between the parties relating to the
subject matter hereof. Neither this agreement nor any provision hereof may be amended,
modified, waived or discharged except by an instrument in writing executed by the party against
which enforcement of such amendment, waiver or discharge is sought.
Executed by Contractor this 16th day of April ,I9 99 .
CONTRACTOR:
SPECIAL DISTRICT FINANCING AND ADMINISTRATION
Mayor
By: JEFFERY A. HAMILL ATTEST:
Secretary &2& ALXTHA L. RAljTENKRANZ City Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.)
(President or vice-president and secretary or assistant secretary must sign for corporations. If
only one officer signs, the corporation must attach a resolution certified by the secretary or
assistant secretary under corporate seal empowering that officer to bind the corporation.)
APPROVED AS TO FORM:
AcmiaWh City Attorney
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rev. 2/26/99
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CALIFORNIA ALL-PURPOSS ACKNOWLEDGMENT
5 personally known to me - OR ce to be the person(s)
whose name(s) is/are subscribed to the within instrument
and acknowledged to me that he/she/they executed the
same in his/her/their authorized capacity(ies), and that by
his/her/their signature(s) on the instrument the person(s),
or the entity upon behalf of which the person(s) acted,
executed the instrument.
nd and official seal.
Though the infoormation below is not required by law, it may prove valuable to’persons retying on the document and could prevent
fraudulent removal and reattachment of this form to another document.
Description of Attached Document
Title or Type of Document:
Document Date: Number of Pages:
Signer(s) Other Than Named Above:
Capacity(ies) Claimed by Signer(s)
Signer’s Name: Signer’s Name:
Cl Individual
0 Corporate Officer
Title(s):
q Partner - 0 Limited Cl General
Cl Individual
Cl Corporate Officer
Title(s):
Cl Partner - Cl Limited q General
Cl Attorney-in-Fact 0 Attorney-in-Fact
0 Trustee
0 Guardian or Conservator
0 Other:
Signer Is Representing:
Top of thumb here
q Trustee
Cl Guardian or Conservator
q Other:
Signer Is Representing:
0 1995 National Nclary Assaastion .8X36 Rmm13I A”& P.O. 90x 7194. Can~ga Park. CA 91309-7184 Prod. No. 5907 Racdar: Call ToIbFra ~-820-876-6827
‘SDFA- EXHIBIT 3
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Proposal toprovide I,7 ,i \999 ‘I.; -. ,,~,(’ ;:a ., 1 .- -,!,s,;-,;, ,i ~_-> ; l<“, ?
Special District Administrative Services
. w
for the
of Carlsbad
Community Facilities District No. 1
February 25,1999
To the Attention Of:
Ms. Lisa HiIdabrand
Director of Finance
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad, CA 92008
SPECIAL DISTRICT FINANCING & ADMINISTRATION
333 South Juniper Street, Suite 208
Escondido CA 92025
760-233-2630 Fax 233.2631 17
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SDFA-AdminishtieservicesproPposal
City of Carl&ad - CFD No. 1
Table of Contents
STATEMENT OF QUALIFICATIONS AND EXFZRIENCE ....................................................................... .3
OVERVIEW OF THE FlRh4 ......................................................................................................................... 3
RELEVANT SPECIAL DISTRICT EXPERIENCE AND EXPERTISE.. ................................................ .3
SCOPE OF SERVICES TO BE PROVIDED.. .................................................................................................... .6
A. ANNUAL TAX ROLL SUBMITTAL.. ................................................................................................. .6
B. ANNEXATIONS.. ..................................................................................................................................... 7
C. APPEALS ACTIONS ............................................................................................................................... 8
D. DELINQUENCIES.. ................................................................................................................................ .8
E. ARBITRAGE CALCULATIONS. .......................................................................................................... .8
F. ANNUAL REPORTING REQUIREMENT.. ........................................................................................ .9
G. ANNUAL DISCLOSURE REQUIREMENT.. ..................................................................................... .9
SCmDULE OF FEES ........................................................................................................................................ .10
A. ADMINISTRATIVE SERVICES.. ....................................................................................................... .10
B. ARBITRAGE CALCULATIONS.. ...................................................................................................... .10
C. EXPENSES.. ........................................................................................................................................... 13
KEY PERSONNEL ASSIGNED TO THE PROJECT .................................................................................... .12
Appendix A: RESUMES OF KEY PERSONNEL.. ........................................................................................ .14
Appendix B: SUMMARIZED PROJECT LIST.. ............................................................................................ .17
Appendix C: CLIENT REFERENCES.. ........................................................................................................... .19
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SDFA -Adminktmtive~~~posal
City of Carl&ad - CFD No. 1
Special District Financing & Administration (SDFA) assists California public
entities in the establishment and administration of special districts serving as
Special Tax Consultant in the negotiation and mitigation of impact fees or
obligations, and they serve as an extension of staff as requested and required.
The firm’s principals, Jeffery HamiU and Barbara Hale-Carter have twenty-two
years of combined experience. They have enjoyed a professional working
relationship for the past ten years.
The philosophy of SDFA is to provide highly personalized service and analytical
expertise. A commitment to producing flexible, yet responsive solutions to
financing concerns is a key part of SDFA’s focus. Doing an excellent job for a
limited client base allows us to expand at a predictable rate and continue to
provide our clients with unequaled service.
Special District Financing & Administration is prepared to provide you with the
administrative and consulting resources necessary to ensure that the allocation
and amount of special taxes to be levied each year are in accordance with the
Rate and Method of Apportionment (i.e., the Special Tax Formula) and that tax
appeals, the prepayment of special taxes and other issues are all conducted in
accordance with governing documents and City policy.
SDFA makes special efforts to anticipate and respond to changes in legislation
and will provide the City with the expertise necessary to administer Community
Facilities District No. 1 in accordance with current laws.
RELEVANT SPECIAL DISTRICT EXPELUENCEAND EXPERTISE
Special District Financing & Administration, LLC is a municipal consulting
enterprise founded in 1995 by Jeffery Hamill. Mr. Han-till has ten years of special
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district administration experience and has worked with over thirty-five public
agencies during that time. Most recently, he was the special tax administrator
for twelve municipalities in five Southern California counties.
Since 1988, Mr. Hamill has been involved in all aspects of special district
formation and administration including special assessment, special tax,
maintenance district calculations, delinquency monitoring, arbitrage rebate
calculations, reporting requirements and most recently, secondary market
disclosure as required by amendments to SEC Rule 151~2-12.
Barbara HaleCarter began her career in the municipal arena in 1984. During
this time she has been significantly involved in the formation and administration
of assessment districts - both acquisition and construction financing, community
facilities districts and maintenance districts. Ms. Hale-Carter has also been
involved in the preparation of offering documents (Official Statements) in
conjunction with the issuance and refunding of 1915 Act Assessment Bonds,
Special Tax Bonds and Certificates of Participation.
Her role as a Special Tax Consultant has expanded to include all phases of
developer negotiations, general obligation and school facilities improvement
district feasibility analysis and impact mitigation plan preparation.
.
Please see Appendices A and B, Resumes of Key Personnel and Summarized
Project List for an introduction to each of the firms principals.
A list of specific work activities and products for which either Jeff, Barbara or
both, have been responsible for include all of the following:
System development including database programming and analysis.
Special tax requirements and full cost-recovery needs determination.
Full and partial assessment/special tax payoff calculations in accordance
with applicable law and provisions of Special Tax Formulae.
Arbitrage rebate calculations for Bond and Certificate issues subject to yield
restrictions as set forth in the Tax Reform Act of 1986.
All reporting requirements including CDIAC reports to be sent to the
California Debt and Investment Advisory Commission and Annual Reports
as required by Rule 15~2-12 for certain debt instruments issued after July 3,
1995.
Delinquency monitoring activities including property owner notifications,
tax roll removal and data compilation for initiation of foreclosure
proceedings.
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da
The principals have also been involved in a variety of special projects related to
special district formation and administration.
n Special District Feasibility Analyses.
n Special Tax Formulae and Special Tax Reports.
n Special Election proceedings for both the establishment and modification of
special Distria.
n Debt Management Plans for Agency-wide Special District Financing.
H Special District Bond and Certificate issues.
l Special District Audits.
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SDFA -AdministrativeWb@
City of Carl&ad - CFD No. 1 .
:. ... . . . .:,.: ...... .. ... . ::y’.::‘:::::.:::::~:.‘:::::::~.:.: : : : : : : : : : :.: : : :‘:“.::“.:~~::::~:::::::::y:;::::~~.:.:.:.:.:.:.:::.~::::~.:.:::;:~::~:::::~~.~.::;:::::: :/.,(,.,.~.~.~.~.~.,:,,,,,: :,,,: : ........... ................................................................................................................................ ..... ................................... :.: ::.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.:.> .............................. :.::.>:.: ... . .......................................... : .> .................. .............. ............. .,“,)~,~,~,~,~,~, ,:.;~ :,:,:,:,:::::j:ii::i:::::: i:i: ::::::::::::::::::::,: . :,::,::::,,:,::,.: : ::. : .?I ; j : I~~~~~~~~~~~~~~li.::;~~~~~~~~:~~~~~~~ i:;.j;; jr: : .. .:: .... . .:l:~:::::~:::i:..:..:..:.:: :.::::I’I:;:g$;:;:; : .i: :::. :::I:::‘::: .:. .: .. .:.:.:: :.:. ::. .. :.‘:: :. ; .: ; : : j. : .: .. ; : : :::.:. ij ,: ... . . . :...:.:...:.: ...... .. ... ... . ..A > ........... . .. I .. :.: ... ::.:.: . .: : 3:::::.::::..:: ........................... . :...:‘::j:::.:.: .................. :.:.:: ..;:. .,: :.: j : ... ; :
A. ATWlJALTAXROLLSUBMIITAL
SDFA will cause the annual special tax to be levied on the secured rolI of the
County of San Diego. The procedures to accomplish this wilI include the
following activities:
1) Determine Annual Tax Roll BilIing Requirements.
Prepare a worksheet for CFD No. 1 reflecting pending debt service or loan
rquimments (if applicable), future capital facilities requirements,
administrative expenses and fund balances. This information will be
obtained from City staff.
2) Update Data Files with New Parcel Information.
Using building permit information and San Diego County Assessor Data,
identify all new assessor parcel numbers and building permits issued for the
current year (March 2 to March l), and integrate this information with all
prior year’s data.
3) Maintain Information on Undeveloped Property.
Update and maintain relevant information on alI additional property within
the Community Facilities District boundaries that currently may not be
subject to a tax, but which may/will be in the future.
4) Produce Draft Cash Flows for Staff review.
Create and run programs to allow for the projection of current and future tax
rates. Meet with Staff and update.
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5)
6)
7)
8)
9)
Prepare Agenda Bill to Establish Current Year Tax Rates.
Prepare in the required format a draft agenda bill for staff review which sets
forth the current year/s required special tax rates. Attend the City Council
meetings at which this action is taken, if requested by staff.
Generate Special Tax Spread and Final Tax Roll Listing.
Create and run programs to produce a spread listing that reflects the current
taxable parcels, pertinent parcel information for determining taxing category
and rate, and per the Rate and Method of Apportionment, the current year’s
special tax. This listing will be included in the Annual Levy Report prepared
for staff reference.
Transmit Information to County for Application to the Secured Roll.
Produce a tape of the current year’s charges in the required format and
deliver to the auditor’s office with a copy of the current year’s resolution and
a letter of author-i&ion identifying the number and amount of the charges.
Process All Unapplied Charges.
If necessary, identify unapplied charges and research corrected parcel
numbers. Resubmit under corrected assessor’s parcel numbers prior to
auditor’s resubrnittal deadline.
Respond to Inquiries
All requests made by staff, property owners or developers will be addressed
by telephone, fax or letter to acknowledge their request within one business
day of receipt of their request. The requesting party will be provided with
either immediate information or an estimate of when the information will be
forthcoming. An annual information packet, to be signed by both staff and
SDFA, will be prepared and sent to all requesting parties.
B. AN-NEXATIONS
Once notified by staff of property to be annexed, SDFA will coordinate the
annexation process. The annexation process includes:
1) Requesting property information from the Planning Department.
2) Coordinating the preparation of the annexation map with the Engineering
Department.
3) Preparing a draft agenda bill for staff review.
4) Reviewing title reports for ownership accuracy.
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5) Verifying the receipt of the annexation fee and signatures on the annexation
documents.
6) Attending Council meeting, if requested by staff.
7) Recording the boundary map and Notice of Special Tax Lien within 15 days
of Council action.
8) Providing staff with a complete set of documents for their files.
C APPFAISACTIONS
SDFA will be responsible for the following, at the request of staff
1) Prepare a draft analysis of the appeal issue to discuss with staff.
2) Attend the Appeals Board meeting and present the appeal.
3) Take direction from the Appeals Board on further actions.
4) Summarize the decision of the Appeals Board action in a draft agenda bill for
staff review and prepare a draft response to the appealing party.
5) Attend Council meeting, if requested by staff.
D. DELINQUENCIES
There is currently no debt outstanding nor existing bond covenants regarding
the City’s responsibility in pursuing payment of delinquent taxes that may
warrant certain administrative procedures be pursued. SDFA is prepared to
assist the City should such requirements become necessary.
E ARBlTRAGECALCULATIONS
SDFA will provide arbitrage rebate calculations with respect to any Bond or
Certificate issue at the request of the City.
Schedules to be prepared include:
1) Determination of yield on bond issues utilizing the present value of debt
service payments.
2) Computation of investment earnings subject to arbitrage rebate for each
applicable fund utilizing the future value of nonpurpose investments.
3) Table of assumptions and computational information.
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4) Summary letter indicating the results of our findings with respect to any
required arbitrage rebate liability.
F. ANNUALRFPORTINGREQWREMJ3T
Pursuant to SB 1464, SDFA will, at the City’s request, prepare an Annual Report
for CFD No. 1, when applicable, to be submitted to the California Debt and
lnvestment Advisory Commission (applicable for bonds issued after January 1,
1993 only). The report will contain current information with respect to fund
balances, delinquency activity and subsequent foreclosure actions, and the
withdrawal of any reserve funds to make necessary debt service payments.
When applicable and at the request of the City, SDFA will assist the City in
complying with SEC Continuing Disclosure Regulations and the Continuing
Disclosure Agreement (applicable for bonds issued after July 3,1995). SDFA will
compile numeric data for review and comment by staff and bond council. Input
is mandatory for matters of opinion. Not later than fifteen (15) days prior to each
filling the annual report will be provided to the Dissemination Agent (if any) or
directly to each National Repository. SDFA will assist the City in reporting
Significant Events as defined by the Disclosure Agreement but in no way takes
the responsibility for monitoring the occurrence of such events.
,
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SDFA-AdminisbtivesenriresproP~
City of Carl&ad - CFD No. 1
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.... . ‘: .I’i::.: i::..;. :. :‘q:::,: .:.:.~I:i:l!:~i::.i:::i:::j.i:j::::::j::: .‘.‘.‘.‘.‘.‘:.‘.‘::.:.‘:.:.:.:.:.:.:.:.:.::.~:.: :::::::::::j:.:::.:.-.:.:.:.:.:.: .... : ................... :. .: :. : : j : * ;, ... .. ..................... ........ ..:. .. : : .......................... : ........... .... _ ..................... .... _ ............................ : .: ::.: .:.:: .:::: ,::j:::.j;~. .,.: ‘. :,:,:::.):.) >~:.:::.:.::.:.
All activities identified within Section 2, Scope of !Services, except for arbitrage
calculations, will be performed on an hourly basis not to exceed a total annual
billing of $65,OCKl as follows:
Principal $100.00
Progmmmer $90.00
Associate $60.00
Data Entry/Secretarial $40.~
Note: Hourly Rates are subject to annual increases in the Consumer Price In&x.
District will be notified in writing, in advance of work to be performed, of any increase
that will be in efictfoT the ensuing fiscal year.
B. ARBITRAGE CALCULATIONS
Arbitrage calculations will be performed for a fee of $1,250 per year for each
applicable bond or certificate issue. Arbitrage calculations for transaction
periods exceeding 18 months will be performed for $1,500. There may be an
initial setup fee of $500, if applicable, for the first calculation.
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c EXPTNSES
Without prior authorization from the City, additional expenses are limited to
County of San Diego fee and charges for recordation, assessor data via magnetic
tape, assessor parcel maps and copying and postage limited to the releasing of
special tax liens.
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SDFA -AdministrativeSb@
City of Carl&ad - CFD No. 1
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Barbara HaLCarter will be the key individual assigned to this project. Jeff
Hamill, the firm’s other principal, is well-equipped to perform all project tasks if
necessary. As part of SDFA’s weekly office meetings, all project procedures and
activities are discussed and reviewed by all staff. Please see Appendix A for
resumes of key personnel.
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SDFA - Ac!hidrativeSsProposal
City of Carl&ad - CFD No. 1
Appendix A - Resumes of Key Personnel
Appendix B - Summarized Project List
Appendix C - Client References
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JEFFERY A. HAMILL
BARBARAHALE-CARTER
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JEFFERY A. HAMILL
Principal
Special Disthct Financing & Administration
Relmant Experience:
Mr. Hamill has been involved in the feasibility, formation and administration of
special financing districts within the state of California for the past ten years.
Specific involvement has included feasibility analysis, debt financing and
management, district formation, and all aspects of special district
administration. Prior to establishing SDFA, Mr. Hamill served as the special
district administrator for twelve municipalities in Orange, Imperial Riverside,
San Diego and Ventura Counties.
Special district projects that Mr. Hamill has been involved with include special
district formation efforts to finance various school facilities, assessment
engineering services for 1915 Act bond refinancings, special election
proceedings to modify special tax rates, and the development of debt financing
plans. Thee efforts include preparation of Special Tax and Assessment
Engineering reports, incorporation of development and facility cost estimates
into cash flow projections, preparation of various debt and value-to-lien
schedules and other related analysis activities.
Prior to establishing Special District Financing & Administration, Mr. Hamill
was a special district administrator, a consultant with an independent public
financial advisory firm and a project manager with an engineering firm.
Some of the clients for which Mr. Hamill has been involved with prior to Special
District Financing & Administration include: the Corona-Norco Unified School
District, the Chula Vista Elementary School District, the City of Camarillo, the
City of Corona, the City of Mission Viejo, the City of Carlsbad, the Corona-
Norco Unified School District, the Car&bad Unified School District, the Eastern
Municipal Water District, and the City of San Diego.
Mr. Hamill received his Masters in Business Administration (Emphasis,
Information and Decision Systems) from San Diego State University in 1988. He
is an adjunct faculty member of Bethel College, St. Paul Minnesota and teaches
Motivation and Staffing courses in the Organizational Studies PACE program.
- 15-
BARBARA HALE-CARTER
Princkpal
Special District Financing & AdminisiWion
Relevant Ekperience:
Ms. HaleCarter has more than fourteen years of professional experience in
California public finance. During her career she has assumed increasing
management responsibilities culminating in the establishment of her own firm.
In 1984, Ms. Hale-Carter began as a financial analyst and worked for two
southern California civil engineering firms. Primary efforts in this capacity
included the feasibility, formation and administration of special districts.
Administration included the responsibility of the application of fixed charge
special assessments and special taxes to the tax rolls for public agencies in
Riverside, San Bernardino and San Diego Counties.
In 1990, joining the firm of Kadie-Jensen, Johnson and Bodnar, she began to
expand her experience to include municipal financial consulting. Financing
methods which Ms. Hale-Carter has utilized include special assessment bonds,
general obligation bonds, joint exercise of powers agency and non-profit
corporation lease revenue bonds, Mello-Roos Community Facilities District
Bonds and refunding bonds.
Current tasks include developer mitigation negotiations, special tax consultant,
feasibility analysis for general obligation and school facilities improvement
districts, growth projections, and five-year master plans. These tasks are listed to
show diversity and depth. One of her more unique projects was to conduct an
audit of an assessment district which was incorrectly levied. This work
encompassed the recreation of ten years of annual assessment district reports,
payoff calculations, segregations, fund analysis and interest earnings flow,
financial statement analysis, bond calls, debt service payments, delinquencies,
and ownership transfers.
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S-D PROJJZCT LIST
Corrrmum’ty Facilities Disticts (Mello-Rood:
The principal’s responsibilities with respect to the following districts has
included development and casMow analysis, preparation of the Special Tax
Formula and Special Tax Report, boundary map preparation, noticing,
prepayment calculations, election procedures, administration, and financial
advisory activiti-. They have been responsible and/or intimately involved in
all phases of district formation.
Ga!exim Unl$.ed School District. CFD No. 1; Formation, Administration,
Financial Advisor, Arbitrage.
City ofGzmarifl0. CFD No. 1; Administration, Special Tax Modification.
City ofGzn!sbad. CFD NO. 1; Formation, Administration.
City ofchino. CFD No. 2; Formation.
Chula Vista Elementary School District. CFD No. 1, 2, 3, 4, & 5;
Administration.
City of Corona. CFD No. 90-l; Formation, Administration.
Corona Norco Unzjed School District. CFD No. 3, 6, 7, 88-1, 94-1, and 95-l;
Administration, Arbitrage.
City of San Mmcos. CFD No. 91-01. Formation, Financial Advisor.
San Marcos Unijed School District. CFD No. 1 (Palos Vista), CFD No. 2
(Discovery Hills), CFD No. 3 (Discovery Hills), CFD No. 4 (Meadowlark),
CFD No. 5 (Carrillo Ranch); Negotiations, Formation, Administration,
Financial Advisor, Arbitrage.
San Ysidro School District. CFD Nos. 1, No. 2 and No. 3; Formation,
Administration.
Sweetwuter Union High SD. CFD No. l-5, and 8; Formation, Administration,
Arbitrage.
Tustin Unified School District. CFD Nos. 88-1, and 97-l; Administration,
Continuing Disclosure.
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33
B Temecuh Vufky Unl$ed School District. CFD No. 89-l; Administration,
Arbitrage.
Assessment Distrih (19l5 Act):
Formation activities for the following districts for which the principals were
responsible and/or intimately involved included the calculation of assessment
spreads to allocate improvement costs in accordance with benefit and the
generation of notices and assessment rolls, and the preparation and presentation
of the Enginee~‘s Report
City ojChula Vista. Assessment District No. 88-1,90-l, 90-3, 91-l; Financial
Advisory services.
City ofCuror~~. Assessment District 90-l; Formation, Administration.
City of DeI Mar. Levy submittal services only.
Eastern Municipal Water District. Assessment District No. 3-R ,4 and 5;
Administration. Assessment District No. 6 and 7; Formation,
Administration for AD No. 7.
Elsiwe Municipal Water District. Assessment District No. 79-1,84-l and 84-2;
Administration.
City of Escondido. Assessment District No. 86-lR, 93-1, and 98-l;
Administration, Arbitrage, Continuing Disclosure.
City of Perr&. Assessment District 86-l; Administration.
Rumona Municipal Water District. Assessment District No. 79-1, 82-1, 83-l;
Administration.
City of Sun Marcos. Rancheros Drive Assessment District; Formation,
Administration. Assessment District No. 83-1,84-l, 85-1,86-l, 87-1,87-2, and
874; Refunding, Administration.
City of Simi Valley. Sycamore Village and Woodlake Assessment Districts.
Refunding.
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. . . :................,.,.... ,. ,,
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..,.I,i,... ,,,,,,., :. .“‘:.:::“‘.‘.‘.....‘.. :i . . .A.. ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
-:.:‘.‘:. : . ..I..:“:iii:!:~.:.~:~..:.:~:::,~:~:.:::~~:::.j::: :.I::.:: :.: ::,,:: :.:.: ..:.::..:: :.: 3:: .::. .: 1:::
SAN MARCOS tmIFIED SCHOOL DISTRICT
One Civic Center Drive, Suite 300
San Marcos CA 92069
Mr. Ken Clark
Assistant Superintendent of Business Services
!%VEETWATER UNION HIGH SCHOOL DISTRICT
1130 Fifth Avenue
Chula Vista CA 91910
,Mr. Andrew Campbell
Director of Planning and Facilities
TEMECULA VALLEY UNIFIED SCHOOL DISTRICT’
31350 Ranch0 Vista Road
Temecula CA 92592
Mr. David B. Allmen
Superintendent
CORONA-NORCO UNIFIED SCHOOL DISTRICT
2820 Clark Avenue
Norco, CA 92060
Ms. Lynda Jankel
Manager, Facilities & Planning
CITY OF CAMARILLO
601 Carmen Drive
Camarillo, CA 93010
Mr. Dan Greeley
Director of Engineering
(760) 752-1210
(619) 691-5553
(909) 506-7900
(909) 736-5045
(805) 388-5341
- 19-
April 22,1999
Special District Financing and Administration *
Barbara Hale-Carter 333 South Juniper, Suite 208
Escondido, CA 9 2 o 2 5
RE: ADMINISTRATIVE AGREEMENT FOR COMMUNITY FACILITY DIST. NO. 1
Enclosed please find copies of Carlsbad City Council Agenda Bill No. 15,136 and Resolution No. 99-125. These documents were approved by Council on April 13, 1999.
Also enclosed is one copy of the executed agreement for the above referenced project.
In accordance with Section 24 of enclosed agreement, you are required to file a Conflict
of Interest Statement with the Carlsbad City Clerk. Anyone in the company who is
working on this City project must file a Form 700, Statement of Economic Interests, and
must report all Disclosure Categories which includes 1,2, 3, and 4.
Enclosed for your use are the following documents, which you may copy if necessary:
1. Form 700 1998-1999 Statement of Economic Interests 2. Amended Appendix to the Local Conflict of Interest Code
3. Limitations and other Restrictions on Gifts, Honoraria, Travel and Loans
Your completed Assuming OfFice Statement is due in the City Clerk’s Office no
later than 5:00 PM on May 13,1999.
If you have questions regarding this process, please call
Karen Kundtz. Assistant Citv Clerk. at (7601434-2917.
+v + KATHLEEN D. SHOUP
Sr. Office Specialist
1200 Carlsbad Village Drive - Carlsbad, CA 92008-1989 0 (760) 434-2808 49