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HomeMy WebLinkAboutNorman A. Traub Associates; 2017-02-17;AMENDMENT NO. 3 TO EXTEND THE AGREEMENT FOR INVESTIGATION SERVICES NORMAN A. TRAUB ASSOCIATES This Amendment No. 3 is entered into and effective as of the \ 4;;1\.., day of ----"""'-"-....lo<.>==----""':i--.------' 2020, extending the agreement dated February 17, 2017 (the "Agreement") b~ nd between the City of Carlsbad, a municipal corporation, ("City"), and Norman A. Traub Associates ("Contractor") (collectively, the "Parties") for investigative services. RECITALS A. On January 23, 2018, the Parties executed Amendment No. 1 to extend the agreement for one ( 1) year. 8. On February 21, 2019, the Parties executed Amendment No. 2 to extend the agreement for one (1) year. C. The Parties desire to extend the Agreement for a period of one (1) year. NOW, THEREFORE, in consideration of these recitals and the mutual covenants contained herein, City and Contractor agree as follows: 1. The Agreement, as may have been amended from time to time, is hereby extended for a period of one (1) year starting on February 18, 2020 and ending on February 17, 2021 and funded in an amount not to exceed $35,000 per agreement year. 2. All other provisions of the Agreement, as may have been amended from time to time, shall remain in full force and effect. 3. All requisite insurance policies to be maintained by the Contractor pursuant to the Agreement, as may have been amended from time to time, shall include coverage for this Amendment. Ill Ill Ill Ill Ill Ill Ill Ill City Attorney Approved Version 1 /30/13 4. The individuals executing this Amendment and the instruments referenced on behalf of Contractor each represent and warrant that they have the legal power, right and actual authority to bind Contractor to the terms and conditions hereof of this Amendment. CONTRACTOR By: r,.6~,4~ (sign here) / toEwE~&... 7 . .,~o c:..t<' A" e ~t ""NJAGrE e (print name/title) CITY OF CARLSBAD, a municipal corporation of the State of California JIIO~ltflrN A . Ttlhll f As.Jo·'--• M'!'.'.S Lt..<:. ATTEST: 9l..i)J;J,L;;;:_ ~ By: (sign here) BARBARA ENGLESON City Clerk (print name/title) If required by City, proper notarial acknowledgment of execution by Contractor must be attached. If a corporation, Agreement must be signed by one corporate officer from each of the following two groups: Group A Chairman, President, or Vice-President Group B Secretary, Assistant Secretary, CFO or Assistant Treasurer Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation. APPROVED AS TO FORM: CELIAA. BREWER, City Attorney BY: ~ L ~ ar. Assistant City Attorney City Attorney Approved Version 1/30/13 2 OP ID: MN ACORD-CERTIFICATE OF LIABILITY INSURANCE I DATE (MM/DD/YYYY) -~ 04/08/2019 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER($), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER ~~~1~cT Michelle A Nowell Alliance Mgt. & Insurance Serv ;l)gN:o Extl: 760-471-7116 I r~ Nol: 760-471-9378 355 Via Vera Cruz #7 CA Agent/Broker Lie# 0737966 it1D~~ss: mnowell~amiscorp.com San Marcos, CA 92078 ~~~~i~~: ID#: TRAU B-2 Michelle A. Nowell INSURER{Sl AFFORDING COVERAGE NAIC# INSURED Norman A Traub & INSURER A: Acceptance Casualty Ins Comp 10349 Associates LLC INSURER B: Brock Avery INSURERC: 3225 Grande Vista Drive Newbury Park, CA 91320 INSURER D: INSURERE: INSURER F: COVERAGES CERTIFICATE NUMBER· REVISION NUMBER· THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY 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. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR ADDL SUBR I POLICY EFF POLICY EXP LIMITS LTR TYPE OF INSURANCE ''"'"" iwun POLICY NUMBER IMM/DD/YYYYl {MM/DD/YYYYI GENERAL LIABILITY I 04/07/2019 EACH OCCURRENCE $ 1,O0O,OOC '--~~~~~iJ YE~~~~ence l 100,000 A X COMMERCIAL GENERAL LIABILITY CP00962819 04/07/2020 $ I ~ LJ CLAIMS-MADE CK] OCCUR MED EXP (Any one person) $ 5,OOC Errors & Omission PERSONAL & ADV INJURY $ 1,000,000 '-GENERAL AGGREGATE $ 5,000,000 GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS -COMP/OP AGG $ 1.000.00( rn POLICY n ~f P,: nLOC $ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT $ (Ea accident) ~"'''"'o BODILY INJURY (Per person) $ ALL OWNED AUTOS BODILY INJURY (Per accident) $ SCHEDULED AUTOS PROPERTY DAMAGE $ r= HIRED AUTOS (PER ACCIDENT) I NON-OWNED AUTOS $ $ I UMBRELLA LIAB H OCCUR EACH OCCURRENCE $ r-----EXCESS LIAB CLAIMS-MADE AGGREGATE $ I DEDUCTIBLE $ - I RETENTION $ $ WORXERS COMPENSATION I WC STATU-I 10J~-TnRy l lMITS AND EMPLOYERS' LIABILITY YIN ANY PROPRIETOR/PARTNER/EXECUTIVE □ El. EACH ACCIDENT $ OFFICER/MEMBER EXCLUDED? NIA (Mandatory in NH) E.l. DISEASE -EA EMPLOYEE $ If yes, describe under E.l. DISEASE -POLICY LIMIT $ DESCRIPTION OF OPERATIONS below i i DESCRIPTION OF OPERATIONS I LOCATIONS/ VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) City of Carlsbad its officers,officials, agents emriloyees and volunteers are named as additional insured with respect to he work performed by the named insured. lnvestiaation, CA -- CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Carlsbad ACCORDANCE WITH THE POLICY PROVISIONS. Bridget Desmariais AUTHORIZED REPRESENTATIVE Human Resource Director ~~~ 1635 Faraday Ave Carlsbad CA 92008 © 1988-2009 ACORD CORPORATION. All rights reserved. ACORD 25 (2009/09) The ACORD name and logo are registered marks of ACORD ,, POLICY NUMBER: CP00962819 COMMERCIAL GENERAL LIABILITY CG 20 26 07 04 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Orqanization(s) Automatic Status Included Where Required by Written Contract. All Where Required by Written Contract. Section II -Who Is An Insured is amended to in- clude as an additional insured the person(s) or organization(s) shown in the Schedule, 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. CG 202607 04 © ISO Properties, Inc., 2004 Page 1 of 1 □ AMENDMENT NO. 2 TO EXTEND THE AGREEMENT FOR INVESTIGATION SERVICES NORMAN A. TRAUB ASSOCIATES 1 1, This Amendment No. 2 is entered into and effective as of the~✓} .:';>t day of , , 2019, extending the agreement dated February 17, 2017 (the "Agreement") by anal:> een the City of Carlsbad, a municipal corporation, ("City"), and Norman A. Traub Associates ("Contractor") (collectively, the "Parties") for investigative services. RECITALS A. On January 23, 2018, the Parties executed Amendment No. 1 to extend the agreement for one (1) year. 8. The Parties desire to extend the Agreement for a period of one (1) year. NOW, THEREFORE, in consideration of these recitals and the mutual covenants contained herein, City and Contractor agree as follows: 1. The Agreement, as may have been amended from time to time, is hereby extended for a period of one (1) year starting on February 18, 2019 and ending on February 17, 2020 and funded in an amount not to exceed $35,000 per agreement year. 2. All other provisions of the Agreement, as may have been amended from time to time, shall remain in full force and effect. 3. All requisite insurance policies to be maintained by the Contractor pursuant to the Agreement, as may have been amended from time to time, shall include coverage for this Amendment. Ill Ill Ill Ill Ill Ill Ill Ill Ill Ill City Attorney Approved Version 1/30/13 4. The individuals executing this Amendment and the instruments referenced on behalf of Contractor each represent and warrant that they have the legal power, right and actual authority to bind Contractor to the terms and conditions hereof of this Amendment. CONTRACTOR By:J:iA~ By: (sign here) Avf!::!P-/-6GtJ . MA,J A-le<J- (print name/title) A, ,:21.&r, A$$oc..1M-es. ,. (sign here) (print name/title) CITY OF CARLSBAD, a municipal corporation of the State of California ATTEST: u~IYY\( .,.fr!Lffl'-¾~ ~ARBARA ENGLESON {)-L,ity Clerk If required by City, proper notarial acknowledgment of execution by Contractor must be attached. If a corporation, Agreement must be signed by one corporate officer from each of the following two groups: Group A Chairman, President, or Vice-President Group B Secretary, Assistant Secretary, CFO or Assistant Treasurer Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation. APPROVED AS TO FORM: CELIA A. BREWER, City Attorney BY:_n~u_,L __ ~ Assistant City Attorney City Attorney Approved Version 1/30/13 2 OPID:OR ACORD~ CERTIFICATE OF LIABILITY INSURANCE l DATE fMM/DDIYYYYI ~ 02/25/2019 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the term& 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 lleu of such endorsement(s). PRODUCER W..F Michelle A Nowell Alllance Mgt. & Insurance Serv ~N,t Extl· 760-471-7116 ~ N~; 760-471-9378 355 Via Vera Cruz #7 CA Aaent/Broker Lie# 0737966 ~~= mnowelll@amiscorp.com San arcos, CA 92078 PllOOIICER TRAU -- Michelle A. Nowell CUSTOMER ID... B-1 ~ INSURER!SI AFFORDJNG COVERAGE I NAIC-L_ INSURliD Norman A Traub Associates, 1NsuRERA,Acceptance Casualty Ins Comp 10349 Workplace Investigations INSURERB: I 5409 Via Fonte I - Yorba Linda, CA 92886-5006 INSURERC: INSURERD: ' INSURER Ii: I ·- INSURERF: I COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPE.CT TO WHICH THIS CE.RTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HE.REIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. 'r'¥: ~!':~n"j l~~l ,:~lif~1 ·-TYPE OF INSURANCE POLICY NUMBER LIMITS GENERAL LIABIUTY I ~ EACH OCCURRENCE $ 1,000,00(l A ~~~~---= X CP00960667 04107/2018 04J07/2019 ~;~:~ 100,00<l CLAIMS-MADE [!_] OCCUR -MEO EXP (Any one peraon) $ 5,000 rors& Omiss PERSONAL &Af)V INJURY s 1,000,00(l -- GENERAL AGGREGATE s 5,000,000 GEN'L AGGREGATE LIMIT APf>LIES PER: PRODUCTS -COMP/OP A~ 1,000,00(l x POLICY n P,~P.i n LOC AUTOMOBILE UABIUTY COMBINED SINGLE LIMIT $ (Ea accident) a A.NY AUTO 1$ -BODILY INJURY (Per person) ALL OWNED AUTOS BODILY INJURY (Per acciclltll) $ SCHEDULED AUTOS PROPERTY DAMAGE l ==oo (PER ACCIDENT) $ ·-,_ NON-OWNED AUTOS $ -1$ UMBRELLA LIAB h OCCUR EACH OCCURRENCE $ >-EXCESS LJAB CLAIMS-MADE AGGREGATE I s ·-._ DEDUCTIBLE ---$ RETI,NTION $ $ WORKERS COMPENSATION 1 WCSTATU-1 101~-AND EMPLOYERS' LIABILITY YIN _ , TORY LIMITS Am l'ROPRIETORIPARTNERIEXECUTIVE □ NIA E.L. EACH ACCIDENT Is OFFICER/MEMBER EXCLUDED? (Manclatory In NH) E.L. DISEASE• EA EMPLOYEE1 $ ~rs~:m~ g'#gPERATlONS bel0W E.L. DISEASE• POL!CY LIMIT $ A Professional Liab CP00960667 04/0712018 04107/2019 Prof Liab 1,000,00( I I DESCRIPTION OF OPEiRATIONS / LOCATIONS /VEHICL£S (Atlaefl ACORD 101, Additional Rt!maM Schech,l•, lfmore Spit• I& r.qull"l<I) City of Carlsba~ its officers,offlcials, ajen~em~oyees and voluntetrs are named as a ditional insured wiffi r spe to e work performed y the named insured. lnvestiaation CA -- CERTIACATE HOLDER CANCELLATION CITYC-1 SHOULD ANY OF THE: ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EJIPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Carlsbad ACCORDANCE WITlf THE POLICY PROVISIONS. Bridget Desmariais AUTl40RIZEO REPRESl!NTATIVE Human Resource Director ~().~ 1635 Faraday Ave Carlsbad CA 92008 © 1988-2009 ACORD CORPORATION. All right. reserved. ACORD 25 (2009/09) The ACORD name and logo are registered marks of ACORD POLICY NUMBER; CP00960667 COMMERCIAL GENERAL LIABILITY CG20210704 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -DESIGNATED PERSON OR ORGANIZATION This endorsement modifies Insurance provided under the following: COMMERCIAL GENERAL LIABIUlY COVERAGE PART SCHEDULE Name Of Additional ln.ured Peraonf1) Or Oraanizatlonlsl Automatic status Included 'Nhere Required by Written Contract. All Wtlere Required by Written Contract Information requlred to comolete this Schedule, If not shown abCJVe, will be shown In the Declaratlons. Section II -Who Is An Insured is amended to in• elude as an additlonal insured the person(s) or organi- zation(&) lhown In U\e Schedule, but only wtth respect to llablllty for "bodily JnjUfY", ''property damage" or "peraonal and advertising injury'' caused, in whole or in part, by your acts or omitalona or the acts or omls-- siona of th06e acting on your behalf: A. In the performance of your ongoing operations; or B. In comection with your premises owned by or rented to you. CG2D280704 C ISO Properties, lnc., 2004 Page1 of1 □ i:\mJ~,., .1t;,,,,,,menl i-.:,,rm.,11 A. Tr ,111b ~er LLC ~ A. rratll> ~ l'oll$ ~lid Wo ,t,g,-Mlh 11:utta 6. A·;my llln:u:t, m =~ !fomlan rr- ~-al'" U.C ;a!'l:I sm:I AcJoement sl\1111 IJollO:;mlt l!ll'lic:lt.e <C)Ofl ~-diplll"O¥d by the B$i'$ a,,ci; t.orri,~ A frv,.o~ ,rd Th:-,t'llJtS.f\ A..-yd,loliN, 1::t ,;11'-1 ITll(I ~ ~ ~m tzlltsuchl!mo ac ft!lFC•.al ~ 51·"""" tlf BS!S l fl-~ 1:1 A._,, ,!141 b'1 ~Ii'! 0.... tl'Oir..a;,.'lil 0-~ ,,! NQrm.,r A. T:11Ut! NIICICmH. As~ !Mt ~ b,, f~s,t,ic J.: ~ ¥ld <mn,oD all~ QC)Ofllla"lll. :,• Th.-as 8. lwwr;<Mtbodo"~IISII ~lotNcm\llJIA T,-A.~ "''°'"'"Y°"'V ""'"""" nc ~11 A!):it~ ltll<I In,.~ af>l:ll!M 8""'!t'W'4 SeM:nt:onnc:111on bDha1 or Nc<rNA A.. r=-o ~ Al -~~ti; ~ 0 . .lwe<'t st\1111,a\'O ol C11$6 c:otVXI. l\uffllllK at~ tdV, ~ ll'd nci!AO tr,e dull! ct 1M ~ :: u-,•:i.:~ ~ 'l<!lm u,: .-;,~ at lo<lt, _,, !!oia,c,o:; ""°""· ii111.o1 l)ot •" t:,,I iffld p.,,.... tn t~lll'Wl A 1,..,, A.~ ~J 1M ti!~ R!l'\lQ!IS 01 Oe.mdl S'~. uaip;ny $IIGli l)IOV' Bc1\ll'l :.:r.uorqr.r ~ 1h11 !ll!f"'iCt$ r~~ r~•llil caws aaaign!!r.l riy ~ " ,r_ 0 •• 'MW)· Sh.DI ll<t d ... c~~ A!!W.: I~ 11\31 WI bit, nm~ bfl-n Nomvl\ A. 'r;,,.,c~al'll!Nr•m,,o:,A T•lHA>~UC NORMAN TRAUB & ASSOaATU, UC By._~~ /r"-'f ~e) ~-~M•-~ !S' 1<'1f::f? i l!!e.J.t.$N~u-,/l;.Cc;.c..·~ T..C.2'> ~~· ••:)r~ ;.i~~~•~ -.,_,,._,, f'•.it", CA <(,$,,:,; . ..,._~·. ,_.,..,.,., ) ·le, ~-1 -1 1·1:: • .., :·1~ ;z,~ ,,..··h..J ,-; ;.:;;-~ ~-:-·--.. ~-:.1:.~~' AMENDMENT NO. 1 TO EXTEND THE AGREEMENT FOR INVESTIGATIONS SERVICES NORMAN A. TRAUB ASSOCIATES No. 1 is entered into and effective as of the £3 NV day of ___;::...-A..-a:::=t:-1-1..1....i......:....::::::::;;... ____ , 2018, extending the agreement dated February 17, 2017 (the "Agreement'') by an A. Traub Associates(' een the City of Carlsbad, a municipal corporation, ("City"), and Norman ontractor'') (collectively, the "Parties") for investigative services. RECITALS A. The Parties desire to extend the Agreement for a period of one (1) year. NOW, THEREFORE, in consideration of these recitals and the mutual covenants contained herein, City and Contractor agree as follows: 1. The Agreement, as may have been amended from time to time, is hereby extended for a period of one (1) year starting on February 18, 2018 and ending on February 17, 2019 and funded in an amount not to exceed $35,000 per agreement year. 2. All other provisions of the Agreement, as may have been amended from time to time, shall remain in full force and effect. 3. All requisite insurance policies to be maintained by the Contractor pursuant to the Agreement, as may have been amended from time to time, shall include coverage for this Amendment. Ill Ill Ill Ill Ill Ill Ill Ill Ill Ill Ill City Attorney Approved Version 1/30/13 4. The individuals executing this Amendment and the instruments referenced on behalf of Contractor each represent and warrant that they have the legal power, right and actual authority to bind Contractor to the terms and conditions hereof of this Amendment. CONTRACTOR By: (sign here) (print name/title) CITY OF CARLSBAD, a municipal corporation of the State of California Human Resources Director ATTEST: \ Ji IYD:,Jo..K1flnl,v,'-' ~-c BARBARA ENGLESON l City Clerk If required by City, proper notarial acknowledgment of execution by Contractor must be attached. If a corporation, Agreement must be signed by one corporate officer from each of the following two groups: Group A Chairman, President, or Vice-President Group B Secretary, Assistant Secretary, CFO or Assistant Treasurer Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation. APPROVED AS TO FORM: CELIA A. BREWER, City Attorney BY:_l1tG_,J!_·~-- .31:-Assistant City Attorney City Attorney Approved Version 1/30/13 2 OP ID: SMP ACORD CERTIFICATE OF LIABILITY INSURANCE I DATE (MM/DD/YYYY) '--.--03/27/2017 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER ~2~i~cT Michelle A Nowell Alliance Mgt. & Insurance Serv rt2Nfio Ext\: 760-471-7116 I rffc Nol: 760-471-9378 355 Via Vera Cruz #7 CA Agent/Broker Lie# 0737966 ~oMD~~ss: mnowell@amiscorp.com San Marcos, CA 92078 ~n~~~~~~ ID#: TRAUB-1 Michelle A. Nowell INSURER($) AFFORDING COVERAGE NAIC# INSURED Norman A Traub Associates INSURER A: Acceptance Casualty Ins Comp 10349 5409 Via Fonte INSURER B: Yorba Linda, CA 92886-5006 INSURERC: INSURER D: INSURER E: INSURER F: COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY 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. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR ADDL SUB~ POLICY EFF POLICY EXP LTR TYPE OF INSURANCE ,.,CD ,rn,n POLICY NUMBER IMM/DD/YYYY\ IM M/DD/YYYY\ LIMITS GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 ~ DAMAGE TO RENTED A X COMMERCIAL GENERAL LIABILITY X CP00960667 04/07/2017 04/07/2018 PREMISES !Ea occurrence) $ 100,000 I CLAIMS-MADE ~ OCCUR MED EXP (Any one person) $ 5,000 J X Errors & Omiss PERSONAL & ADV INJURY $ 1,000,000 GENERAL AGGREGATE $ 5,000,00C / - GEN'L AGGREGATE LIMIT APPLIES PER PRODUCTS -COMP/OP AGG $ 1,000,00C x7 POLICY n P,ff-i nLOC $ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT $ ~ (Ea accident) ANY AUTO BODILY INJURY (Per person) $ ~ ALL OWNED AUTOS BODILY INJURY (Per accident) $ - SCHEDULED AUTOS PROPERTY DAMAGE -$ HIRED AUTOS (PER ACCIDENT) - NON-OWNED AUTOS $ - $ UMBRELLA LIAB H OCCUR EACH OCCURRENCE $ -EXCESS LIAB CLAIMS-MADE AGGREGATE $ DEDUCTIBLE $ ~ RETENTION $ $ WORKERS COMPENSATION I WCSTATU-I IOTH-AND EMPLOYERS' LIABILITY TORY LIMITS ER Y/N ANY PROPRIETOR/PARTNER/EXECUTIVE D EL EACH ACCIDENT $ OFFICER/MEMBER EXCLUDED? N/A (Mandatory in NH) EL DISEASE -EA EMPLOYEE $ If yes, describe under E.L. DISEASE -POLICY LIMIT $ DESCRIPTION OF OPERATIONS below DESCRIPTION OF OPERATIONS/ LOCATIONS/ VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) City of Carlsba<a its officers,officials, agentstemriloyees and volunteers are nall'!ed as a ditional insured with respec to he work performed by the named insured. debbie.porter~carlsbadca.gov Investigation, A -- CERTIFICATE HOLDER CANCELLATION CITYC-1 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN City of Carlsbad ACCORDANCE WITH THE POLICY PROVISIONS. Debbie Porter Human Resource Dept AUTHORIZED REPRESENTATIVE 1635 Faraday Ave ~~ic,ww. 1Carlsbad CA 92008 © 1988-2009 ACORD CORPORATION. All rights reserved. ACORD 25 (2009/09) The ACORD name and logo are registered marks of ACORD POLICY NUMBER: CP00960667 ./ COMMERCIAL GENERAL LIABILITY CG 20 2607 04 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED -DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Personls\ Or Oraanizationls\ Automatic Status Included Where Required by Written Contract. All Where Required by Written Contract. Section II -Who Is An Insured is amended to in- clude as an additional insured the person(s) or organization(s) shown in the Schedule, 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. CG 202607 04 © ISO Properties, Inc., 2004 Page 1 of 1 D AGREEMENT FOR INVESTIGATION SERVICES NORMAN A. TRAUB ASSOCIATES is made and entered into as of the I ']l:fz ~~~....!o....l:::.!::::::::::~o:::------· 2017, by and between the City of Carlsbad, , and Norman A. Traub Associates, ("Contractor"). RECITALS day of a municipal A. City requires the professional services of an investigation service that is experienced in investigations of employee misconduct and executive or safety background investigations. B. Contractor has the necessary experience in providing professional services and advice related to investigation services. C. Contractor has submitted a proposal to City and has affirmed its willingness and ability to perform such work. NOW, THEREFORE, in consideration of these recitals and the mutual covenants contained herein, City and Contractor agree as follows: 1. SCOPE OF WORK City retains Contractor to perform, and Contractor agrees to render, those services (the "Services") that are defined in attached Exhibit "A", which is incorporated by this reference in accordance with this Agreement's terms and conditions. 2. STANDARD OF PERFORMANCE While performing the Services, Contractor will exercise the reasonable professional care and skill customarily exercised by reputable members of Contractor's profession practicing in the Metropolitan Southern California Area, and will use reasonable diligence and best judgment while exercising its professional skill and expertise. 3. TERM The term of this Agreement will be effective for a period of one year from the date first above written. The City Manager may amend the Agreement to extend it for three additional one year periods or parts thereof. Extensions will be based upon a satisfactory review of Contractor's performance, City needs, and appropriation of funds by the City Council. The parties will prepare a written amendment indicating the effective date and length of the extended Agreement. 4. TIME IS OF THE ESSENCE Time is of the essence for each and every provision of this Agreement. 5. COMPENSATION The total fee payable for the Services to be performed during the initial Agreement term will not exceed thirty five thousand dollars ($35,000). No other compensation for the Services will be allowed except for items covered by subsequent amendments to this Agreement. If the City elects to extend the Agreement, the amount shall not exceed thirty five thousand dollars ($35,000) per Agreement year. The City reserves the right to withhold a ten percent (10%) retention until City has accepted the work and/or Services specified in Exhibit "A". Incremental payments, if applicable, should be made as outlined in attached Exhibit "A". City Attorney Approved Version 4/1/15 6. STATUS OF CONTRACTOR Contractor will perform the Services in Contractor's own way as an independent contractor and in pursuit of Contractor's independent calling, and not as an employee of City. Contractor will be under control of City only as to the result to be accomplished, but will consult with City as necessary. The persons used by Contractor to provide services under this Agreement will not be considered employees of City for any purposes. The payment made to Contractor pursuant to the Agreement will be the full and complete compensation to which Contractor is entitled. City will not make any federal or state tax withholdings on behalf of Contractor or its agents, employees or subcontractors. City will not be required to pay any workers' compensation insurance or unemployment contributions on behalf of Contractor or its employees or subcontractors. Contractor agrees to indemnify City within thirty (30) days for any tax, retirement contribution, social security, overtime payment, unemployment payment or workers' compensation payment which City may be required to make on behalf of Contractor or any agent, employee, or subcontractor of Contractor for work done under this Agreement. At the City's election, City may deduct the indemnification amount from any balance owing to Contractor. 7. SUBCONTRACTING Contractor will not subcontract any portion of the Services without prior written approval of City. If Contractor subcontracts any of the Services, Contractor will be fully responsible to 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 Agreement will create any contractual relationship between any subcontractor of Contractor and City. Contractor will be responsible for payment of subcontractors. Contractor will bind every subcontractor and every subcontractor of a subcontractor by the terms of this Agreement applicable to Contractor's work unless specifically noted to the contrary in the subcontract and approved in writing by City. 8. OTHER CONTRACTORS The City reserves the right to employ other Contractors in connection with the Services. 9. INDEMNIFICATION Contractor agrees to indemnify and hold harmless the City 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 negligence, recklessness, or willful misconduct 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. The parties expressly agree that any payment, attorney's fee, costs or expense City incurs or makes to or on behalf of an injured employee under the City's self-administered workers' compensation is included as a loss, expense or cost for the purposes of this section, and that this section will survive the expiration or early termination of this Agreement. The Contractor shall not be responsible for the negligent acts or omissions by the City. 10. INSURANCE Contractor will obtain and maintain for the duration of the Agreement 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 services by Contractor or Contractor's agents, representatives, employees or subcontractors. The insurance will be obtained from an insurance carrier admitted and authorized to do business in the State of California. The insurance carrier is required to have a current Best's Key Rating of not less than "A-:VII"; OR with a surplus City Attorney Approved Version 4/1/15 2 line insurer on the State of California's List of Approved Surplus Line Insurers (LASLI) with a rating in the latest Best's Key Rating Guide of at least "A:X"; OR an alien non-admitted insurer listed by the National Association of Insurance Commissioners (NAIC) latest quarterly listings report. 10.1 Coverage and Limits. Contractor will maintain the types of coverage and minimum limits indicated below, unless the Risk Manager or City Manager approves a lower amount. These minimum amounts of coverage will not constitute any limitations or cap on Contractor's indemnification obligations under this Agreement. City, its officers, agents and employees make no representation that the limits of the insurance specified to be carried by Contractor pursuant to this Agreement are adequate to protect Contractor. If Contractor believes that any required insurance coverage is inadequate, Contractor will obtain such additional insurance coverage, as Contractor deems adequate, at Contractor's sole expense. The full limits available to the named insured shall also be available and applicable to the City as an additional insured. 1 0.1.1 Commercial General Liability Insurance. $2,000,000 combined single-limit per occurrence for bodily injury, personal injury and property damage. If the submitted policies contain aggregate limits, general aggregate limits will apply separately to the work under this Agreement or the general aggregate will be twice the required per occurrence limit. 1 0.1.2 Automobile Liability. (if the use of an automobile is involved for Contractor's work for City). $1,000,000 combined single-limit per accident for bodily injury and property damage. 1 0.1.3 Workers' Compensation and Employer's Liability. Workers' Compensation limits as required by the California Labor Code. Workers' Compensation will not be required if Contractor has no employees and provides, to City's satisfaction, a declaration stating this. 1 0.1.4 Professional Liability. Errors and omissions liability appropriate to Contractor's profession with limits of not less than $1,000,000 per claim. Coverage must be maintained for a period of five years following the date of completion of the work. 10.2 Additional Provisions. Contractor will ensure that the policies of insurance required under this Agreement contain, or are endorsed to contain, the following provisions: 1 0.2.1 The City will be named as an additional insured on Commercial General Liability which shall provide primary coverage to the City. 10.2.2 Contractor will obtain occurrence coverage, excluding Professional Liability, which will be written as claims-made coverage. 10.2.3 This insurance will be in force during the life of the Agreement and any extensions of it and will not be canceled without thirty (30) days prior written notice to City sent by certified mail pursuant to the Notice provisions of this Agreement. 10.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this Agreement, Contractor will furnish certificates of insurance and endorsements to City. 10.4 Failure to Maintain Coverage. If Contractor fails to maintain any of these insurance coverages, then City will have the option to declare Contractor in breach, or may purchase replacement insurance or pay the premiums that are due on existing policies in order to maintain the required coverages. Contractor is responsible for any payments made by City to obtain or City Attorney Approved Version 4/1/15 3 maintain insurance and City may collect these payments from Contractor or deduct the amount paid from any sums due Contractor under this Agreement. 10.5 Submission of Insurance Policies. City reserves the right to require, at any time, complete and certified copies of any or all required insurance policies and endorsements. 11. BUSINESS LICENSE Contractor will obtain and maintain a City of Carlsbad Business License for the term of the Agreement, as may be amended from time-to-time. 12. ACCOUNTING RECORDS Contractor will maintain complete and accurate records with respect to costs incurred under this Agreement. All records will be clearly identifiable. Contractor will allow a representative of City during normal business hours to examine, audit, and make transcripts or copies of records and any other documents created pursuant to this Agreement. Contractor will allow inspection of all work, data, documents, proceedings, and activities related to the Agreement for a period of three (3) years from the date of final payment under this Agreement. 13. OWNERSHIP OF DOCUMENTS All work product produced by Contractor or its agents, employees, and subcontractors pursuant to this Agreement is the property of City. In the event this Agreement is terminated, all work product produced by Contractor or its agents, employees and subcontractors pursuant to this Agreement will be delivered at once to City. Contractor will have the right to make one (1) copy of the work product for Contractor's records. 14. COPYRIGHTS Contractor agrees that all copyrights that arise from the services will be vested in City and Contractor relinquishes all claims to the copyrights in favor of City. 15. NOTICES The name of the persons who are authorized to give written notice or to receive written notice on behalf of City and on behalf of Contractor under this Agreement. For City Name Julie Clark Title Human Resources Director Department Human Resources City of Carlsbad Address 1635 Faraday Avenue Carlsbad CA 92008 Phone No. For Contractor Name Norman A. Traub Title Principal Address 5409 Via Fonte Yorba Linda, CA 92886 Phone No. 71 4-693-3428 Email ntraub2@gmail.com Each party will notify the other immediately of any changes of address that would require any notice or delivery to be directed to another address. City Attorney Approved Version 4/1/15 4 16. CONFLICT OF INTEREST Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the requirements of the City of Carlsbad Conflict of Interest Code. The Contractor shall report investments or interests in all four categories. 17. GENERAL COMPLIANCE WITH LAWS Contractor will keep fully informed of federal, state and local laws and ordinances and regulations which in any manner affect those employed by Contractor, or in any way affect the performance of the Services by Contractor. Contractor will at all times observe and comply with these laws, ordinances, and regulations and will be responsible for the compliance of Contractor's services with all applicable laws, ordinances and regulations. Contractor will be aware of the requirements of the Immigration Reform and Control Act of 1986 and will comply with those requirements, including, but not limited to, verifying the eligibility for employment of all agents, employees, subcontractors and consultants whose services are required by this Agreement. 18. DISCRIMINATION AND HARASSMENT PROHIBITED Contractor will comply with all applicable local, state and federal laws and regulations prohibiting discrimination and harassment. 19. DISPUTE RESOLUTION If a dispute should arise regarding the performance of the Services the following procedure will be used to resolve any questions of fact or interpretation not otherwise settled by agreement between the parties. Representatives of Contractor or City will reduce such questions, and their respective views, to writing. A copy of such documented dispute will be forwarded to both parties involved along with recommended methods of resolution, which would be of benefit to both parties. The representative receiving the letter will reply to the letter along with a recommended method of resolution within ten ( 1 0) business days. If the resolution thus obtained is unsatisfactory to the aggrieved party, a letter outlining the disputes will be forwarded to the City Manager. The City Manager will consider the facts and solutions recommended by each party and may then opt to direct a solution to the problem. In such cases, the action of the City Manager will be binding upon the parties involved, although nothing in this procedure will prohibit the parties from seeking remedies available to them at law. 20. TERMINATION In the event of the Contractor's failure to prosecute, deliver, or perform the Services, City may terminate this Agreement for nonperformance by notifying Contractor by certified mail of the termination. If City decides to abandon or indefinitely postpone the work or services contemplated by this Agreement, City may terminate this Agreement upon written notice to Contractor. Upon notification of termination, Contractor has five (5) business days to deliver any documents owned by City and all work in progress to City address contained in this Agreement. City will make a determination of fact based upon the work product delivered to City and of the percentage of work that Contractor has performed which is usable and of worth to City in having the Agreement completed. Based upon that finding City will determine the final payment of the Agreement. Either party upon tendering thirty (30) days written notice to the other party may terminate this Agreement. In this event and upon request of City, Contractor will assemble the work product and put it in order for proper filing and closing and deliver it to City. Contractor will be paid for work performed to the termination date; however, the total will not exceed the lump sum fee payable under this Agreement. City will make the final determination as to the portions of tasks completed and the compensation to be made. City Attorney Approved Version 4/1/15 5 21. COVENANTS AGAINST CONTINGENT FEES Contractor warrants that Contractor has not employed or retained any company or person, other than a bona fide employee working for 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, City will 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 the fee, commission, percentage, brokerage fees, gift, or contingent fee. 22. CLAIMS AND LAWSUITS By signing this Agreement, Contractor agrees that any Agreement claim submitted to City must be asserted as part of the Agreement process as set forth in this Agreement and not in anticipation of litigation or in conjunction with litigation. Contractor acknowledges that if a false claim is submitted to City, it may be considered fraud and Contractor may be subject to criminal prosecution. Contractor acknowledges that California Government Code sections 12650 et seq., the False Claims Act applies to this Agreement and, 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 City seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. Contractor acknowledges that the filing of a false claim may subject Contractor to an administrative debarment proceeding as the result of which Contractor may be prevented to act as a Contractor on any public work or improvement for a period of up to five (5) years. Contractor acknowledges debarment by another jurisdiction is grounds for City to terminate this Agreement. 23. JURISDICTION AND VENUE Any action at law or in equity brought by either of the parties for the purpose of enforcing a right or rights provided for by this Agreement will be tried in a court of competent jurisdiction in the County of San Diego, State of California, and the parties waive all provisions of law providing for a change of venue in these proceedings to any other county. 24. SUCCESSORS AND ASSIGNS It is mutually understood and agreed that this Agreement will be binding upon City and Contractor and their respective successors. Neither this Agreement nor any part of it nor any monies due or to become due under it may be assigned by Contractor without the prior consent of City, which shall not be unreasonably withheld. 25. ENTIRE AGREEMENT This Agreement, together with any other written document referred to or contemplated by it, along with the purchase order for this Agreement and its provisions, embody the entire Agreement and understanding between the parties relating to the subject matter of it. In case of conflict, the terms of the Agreement supersede the purchase order. Neither this Agreement nor any of its provisions may be amended, modified, waived or discharged except in a writing signed by both parties. 26. AUTHORITY The individuals executing this Agreement and the instruments referenced in it on behalf of Contractor each represent and warrant that they have the legal power, right and actual authority to bind Contractor to the terms and conditions of this Agreement. Ill City Attorney Approved Version 4/1/15 6 CONTRACTOR By: (sign here) n A. Traub, Principal (print name/title) CITY OF CARLSBAD, a municipal corporation of the State of California Human Rrsources Director ATTEST: (sign here) \ L" Mh !&l~ &"'-BARBARA ENGLESON ... By: City Clerk (print name/title) If required by City, proper notarial acknowledgment of execution by contractor must be attached. If a corporation, Agreement must be signed by one corporate officer from each of the following two groups. Group A Chairman, President, or Vice-President Group 8 Secretary, Assistant Secretary, CFO or Assistant Treasurer Otherwise, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering the officer(s) signing to bind the corporation. APPROVED AS TO FORM: CELIA A. BREWER, City Attorney City Attorney Approved Version 4/1/15 7 SCOPE OF THE INVESTIGATION Investigations are limited to the specific Scope oflnvestigation. Other issues that may arise during investigations shall be brought to the attention of the CONTRACTOR The Scope of the Investigations shall not be exceeded without written authorization from the CONTRACTOR. The preliminary Scope of the Investigation is conduct an administrative investigation to determine the facts involved in an allegation that-----------. • • • • • • • • • • • • GENERAL INVESTIGATION PROCESS Meet with City officials to finalize the scope of the investigation; Obtain all relevant documents including: complaints, written statements of witnesses and reports prepared by City officials; Obtain copies of the City's policies regarding the matters to be investigated; Interview complainant; Obtain a list of witnesses: Interview witnesses; Interview the subject(s) of the investigation; Assess the credibility of the complainant, witnesses and the subject; Digitally record all interviews (when possible) and transcribe all recordings; Periodically communicate with the designated contact person(s) with updates/progress and other important issues; Conduct additional interviews and collect other relevant documents if relevant; Prepare a fact-finding report . The investigators shall submit a comprehensive written report. The report will provide an executive summary of the findings, the methodology used, a discussion of the evidence obtained, and how credibility issues were resolved and detailed findings of the investigation. The findings are limited to the points set forth above, in the section entitled "Scope of Investigation." The investigators shall not reach any legal conclusions, or speculate regarding the legal significance of any claim or defense, or make recommendations for discipline. The CONTRACTOR and its Counsel are solely responsible for providing the legal analysis and advice necessary to respond to the investigative report. The following terminology may be used (at the Contractor's discretion) to describe the findings ofthe investigations: Unfounded-The investigation clearly established that the allegation(s) is not true. Exonerated -The investigation clearly established that the conduct occurred but did not violate agency policies. Not Sustained -There is insufficient evidence to determine whether the alleged misconduct occurred. Sustained -The alleged conduct occurred. BACKGROUND INVESTIGTIONS Background investigations meet or exceed requirement of the California Commission on Peace Officers Standards and Training (POST). RATE SCHEDULE FOR INVESTIGATION SERVICES (Effective to June 30, 2018) • • • • • • Attorney/Investigator services: $200.00 per hour, plus expenses . Investigator services: $160.00 per hour, plus expenses . Post investigation hearings, trials, depositions, etc. subpoenaed or requested in writing by the client or if subpoenaed by any party to the investigation, the compensated shall be at $250.00 per hour, four hours minimum plus expenses. When the investigator is placed in an On-Call status, the fee is $130.00 per hour, four-hour minimum. Executive background investigations: $3,000.00 plus expenses . Entry-level Fire and Police background investigations: $1,700.00 plus expenses . Entry-level background investigations for non-safety personnel: $1,500.00, plus expenses. • Surveillances: $110.00 per hour, plus expenses. Note: Documented expenses include: mileage (IRS rate), postage, copy services and transcriptions service.