HomeMy WebLinkAboutWilliam Avery & Associates Inc; 2015-06-09;AGREEMENT FOR CITY MANAGER RECRUITMENT
WILLIAM AVERY & ASSOCIATES, INC.
THIS AGREEMENT is made and entered into as of the 9 day of June, 2015, by and
between the CITY OF CARLSBAD, a municipal corporation, ("City"), and WILLIAM AVERY &
ASSOCIATES, INC., a corporation, whose principal address is 3 - 1/2 N. Santa Cruz Avenue,
Suite A, Los Gatos, CA 95030, ("Contractor").
RECITALS
A. City requires the professional services of an executive recruitment firm that is
experienced in conducting an executive search and recruitment for the position of City Manager.
B. Contractor has the necessary experience in providing professional services and
advice related to conducting an executive search and recruitment for the position of City Manager.
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 six (6) months from the date first above
written. The City Attorney may amend the Agreement to extend it for an additional 6 month period
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 Twenty-five Thousand Nine Hundred dollars ($25,900). No other compensation for the
Services will be allowed except for items covered by subsequent amendments to this Agreement.
Incremental payments will be made pursuant to the fee schedule set forth in the attached Exhibit
"A".
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
City Attorney Approved Version 4/1/15
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 attorney's
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.
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-:VM"; OR with a surplus
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.
City Attorney Approved Version 4/1/15
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.
10.1.1 Commercial General Liabilitv 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.
10.1.2 Automobile Liabilitv. (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.
10.1.3 Workers' Compensation and Emplover's Liabilitv. 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.
10.1.4 Professional Liabilitv. 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:
10.2.1 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 ofthe 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
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.
City Attorney Approved Version 4/1/15
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 Citv For Contractor
Name Celia A. Brewer Name William Avery
Title City Attorney Title President
Department City Attorney Address 3 - 1/2 N. Santa Cruz Ave., Ste. A
City of Carlsbad Los Gatos, CA 95030
Address 1200 Carlsbad Village Dr. Phone No. 408.399.4424
Carlsbad, CA 92008 Email Bill(S?avervassoc.net
Phone No. 760.434.2891
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.
16. CONFLICT OF INTEREST
Contractor may be required to 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 City will
notified Contractor if such filing is required. Contractor shall have 10 days in which to file the form
with the City Clerk. The Contractor shall report investments or interests in all four categories.
City Attorney Approved Version 4/1/15
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 ofthe requirements ofthe 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 (10) 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 ofthe 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 ofthe 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 ofthe 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.
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
City Attorney Approved Version 4/1/15
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 othenwise 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 ofthe 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 etseq.,
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 delit)erate 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.
(Remainder of Page Intentionally Left Blank)
City Attorney Approved Version 4/1/15
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.
CONTRACTOR CITY OF CARLSBAD, a municipal
corporation of the State of California
(sign here^
William Avery, Presidejlt
(print name,
CELIATC BREWER
City Attorney
ATTEST:
By:
(sign here) BARBARAfEIWGLESON
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:
CELIA A.^i^^R/City Attorney
BY:
Assistant City Attorney
City Attorney Approved Version 4/1/15
EXHIBIT A
SCOPE OF WORK
CITY MANAGER RECRUITMENT
Recruitment Team for the Citv of Carlsbad
William Avery & Associates, Inc. ("Avery Associates") designates Bill Avery as the Project Lead
for this assignment and will be assisted by Ann Slate. Mr. Avery will be personally involved in all
aspects ofthe recruitment for Carlsbad City Manager (hereinafter "City Manager" or "Position"),
including, the initial meetings with the Carlsbad City Council (hereinafter "City" or "Client"),
development of the ideal candidate profile and search strategy, interviewing and assessment of
candidates, the presentation of candidates, attendance at final interviews, and will be available
throughout the search process to provide other related consulting services.
Recruitment Strategy and Services Provided
I. Position Profile and Organizational Assessment
The initial assessment phase is a critical component ofthe search process. Mr. Avery will meet
with the Client to discuss the City's organizational needs and requirements for the Position, and
to formalize the job description of City Manager.
Goal for this aspect of the recruitment process is to:
• Understand the Client's priorities for this Position.
• Develop a clear understanding and consensus on the expertise, experience,
education, performance attributes and operational style ofthe ideal candidate.
• Discuss the goals, objectives, deliverables, and challenges related to this
Position.
• Gain insight ofthe various organizational dynamics and departmental issues that
exist within the organization.
• Identify the compelling aspects to this opportunity.
The formal City Manager description and a subsequent ideal candidate profile would be
developed from the above discussions and incorporated into the formal Position announcement.
The candidate profile is also utilized in various other means as a marketing tool, for advertising
copy, postings, and for other announcements.
City Attorney Approved Version 4/1/15
II. Development of the Search Strategy
Avery Associates search strategy will be developed in conjunction with the organizational
assessment. The final approach is based on Client's input and considerations during the
assessment activity. For this assignment, Avery Associates feels it is critical to develop a high
level of visibility with a comprehensive outreach program supplemented by a focused targeted
recruitment approach. Avery Associates will incorporate the following elements into this search:
• Development of a targeted candidate list based on our extensive database of key
executive contacts, referrals and recommendations from key sources, and other
current and former City Management personnel who have extensive contacts and
networks in this area and throughout the State of California. Throughout the outreach
period, this list of potential candidates is expanded through phone and/or email
contact regarding this Position.
• Direct outreach and contact to various city managers and city/county executives who
could be viable candidates for the Position. This allows Avery Associates to contact
and market the Position to potential candidates that are not actively seeking new
opportunities. This aspect of outreach is essential to the success of the recruitment
as many times, the successful candidate is not looking for another opportunity or is
not aware the opportunity exists. Avery Associates' role is to actively and
aggressively, yet professionally, identify and contact individuals that meet the Position
specifications.
• Avery Associates will create as much visibility to the Position as possible. This
includes an extensive mailing campaign to current city managers in the state and will
utilize email blasts to city management membership organizations. Additionally,
Avery Associates will utilize Internet posting on sites such as the ICMA, Western City
and other appropriate online sites. Avery Associates will also use print advertising in
the ICMA newsletter. Jobs Available and if turn-around time allows for it, Western City
magazine.
III. Candidate Assessment
Avery Associates' assessment process involves several "tiers" of evaluation. All candidates
responding to this Position will initially be evaluated based on their resume and if appropriate,
an extensive phone "screening" by a member of the designated project team. Candidates who
pass the initial "qualifying" criteria are then scheduled for a formal interview with Mr. Avery.
These extended personal interviews typically take one hour and a thorough discussion of their
experience, accomplishments, management philosophy and interpersonal style takes place.
In interviewing candidates, Avery Associates utilize a methodology based on "behavioral"
interview techniques. Fundamentally, this approach explores a candidate's past
accomplishments and experiences that relate to the Position being considered. The philosophy
here is that the best indicator of future performance is to evaluate past behavior. This
methodology allows the firm to "project" how a candidate would approach and address the key
challenges in the new Position.
City Attorney Approved Version 4/1/15
Those individuals who best fit the Position requirements will have a Candidate Assessment
Report developed by Mr. Avery who conducted the interview. Additionally, two initial reference
interviews are performed on these candidates from references provided by the Candidate. The
reference interviews provide the Client with additional insights on the candidate's "behavior" and
style.
IV. Candidate Presentation
Upon completion of formal interviews, a selection of candidates for presentation is made.
Through Avery Associates extensive qualification, interview, and reference interviewing process
and the knowledge gained during our initial assessment period we are able to present to our
client fewer qualified candidates rather than more finalists. Avery Associates will not restrict or
limit the number of qualified candidates recommended; such a restriction or limitation is
normally related to the overall strength and depth of the candidate pool.
Avery Associates presents the final candidates in an extensive candidate presentation "book."
Each finalist will have a file consisting of a candidate summary sheet, the submitted cover letter
and resume, the Candidate Assessment Report (based on the "behavioral" interview), and two
candidate reference interviews.
The Candidate book also identifies other candidates who were given secondary consideration,
which provides the Client insight on others who were interviewed. Candidate summary sheets
are created for everyone who submitted a resume and is included in this book. This provides
the Client an insight to the level and nature of response for their Position.
V. Selection Process
Once the final candidate interview group is identified, we will assist in the structuring ofthe
interview process and coordinate the interview scheduling activity. Avery Associates will
provide candidates with guidance related to travel planning, hotel accommodations, as well as
other interview planning issues. Avery Associates will develop potential interview questions for
the Client and be in attendance during final interviews to help facilitate the process and will lead
the Client in an end of day debrief and evaluation process.
Avery Associates will conduct summary background (e.g. credit check, identity verification, civil
and criminal records checks, driver's license and history check, and degree verification)
evaluations on the City's final candidates. A copy of these confidential summary background
reports will be provided to you. The costs for these investigations are considered independent
of the recruitment expenses listed below and will be invoiced separately at the cost of $600 per
candidate.
VI. Position Closure and Follow-Up
Avery Associates will assist the City in formulating appropriate compensation and other
employment arrangements for the Position. Avery Associates will assist and work with the
Carlsbad City Attorney in the development of the City Manager's employment contract.
Avery Associates will monitor the transition and progress ofthe City Manager place at the City.
Within the first three to six months following the hired individual joining the City, Avery
City Attorney Approved Version 4/1/15
10
Associates will speak with that individual to ensure the transition has effectively occurred.
During the same period we will also review the individual's status with the Client or the Client's
designee.
Recruitment Schedule
Task Scheduled Dates
Search Initiation, Mari^eting & Advertising Development:
y Initial meetings witti city manager and city staff to define the
ideal candidate profile
y Develop working draft ofthe recruitment brochure for
approval by client
y Recruitment strategy finalized
y Determination of advertising scope and placement deadlines
r Brochure designed and printed
Weeks 1-4
f^arketing, Advertisement and Outreach Period:
Advertise in:
^ Mailing to city managers
y Jobs Available
y Western Cities (if timing allows)
y /CMA newsletter and website Preliminary candidate
screening
Weeks 4-10
Candidate Review - Screening and Finalists Selection Weeks 9-12
Development and finalization of Inten/iew process and interview
questions
Weeks 13-14
Inten/iews with City Week 15
Final interviews and reference checks Week 16
Appointment Offer/Acceptance Week>17
Report to Work Date Week>17
Fee Schedule
• First invoice of $6,900 due within 10 days of execution of the Agreement.
• Second invoice of $6,000 due within 10 days of Client's acceptance of a finalist candidate
group.
• Final balance of $6,000 due within 10 days of Client's having an accepted candidate
constituting completion of the search.
Total Professional Services fee $18,900
11
City Attorney Approved Version 4/1/15
Expenses
In addition to the Professional Services Fee, normal and direct out-of-pocket expenses
associated with the search are charged back to the Client without mark-up. Expenses for this
assignment shall- not-exceed $7,000, without the express written consent of the City. These
expenses include: advertising, clerical time (invoiced at the rate of $40 per hour; and is
estimated at 30 hours), supplies, printing, telephone, postage, and consultant travel for Client
discussions, meetings and local or out-of-area candidate interviews. Travel expenses shall be
reimbursed pursuant to the City's Travel Policy (attached here as Exhibit B and incorporated
herein by this reference). All expense items will be detailed and billed on a monthly basis.
Guarantees and Ethics
Whenever William Avery & Associates, Inc. is retained; we make several guarantees and
commitments to a client. Due to our experience, knowledge and success within the
management-consulting field, we assure a client that we will only present candidates who meet
a substantial majority ofthe ideal qualifications that you have outlined. We are also committed
to continue our search efforts until a successful candidate is employed.
During our placement efforts, we openly share any relationships, previous experience and
knowledge for any candidate we present for consideration. Our commitment and responsibility
is to our clients and their best interests.
It is also our practice to replace a candidate who may voluntarily resign during the first year of
his/her employment. This same commitment applies if the client finds it necessary to terminate
or to request the resignation of the selected individual in the first year for any reason. In either
case, we invoice a client only for out-of-pocket expenses incurred in identifying a replacement.
City Attorney Approved Version 4/1/15
12
Exhibit B
CITY OF CARLSBAD
COUNCIL POLICY STATEMENT
General Subject:
Specific Subject:
TRAVEL POLICY
Policy No. 2 (Page 1 of 5^
Date Issued 04/04/06
Effective Date 04/04/06
Cancellation Date
Supersedes No. 3 (Dated
12/14/99)
Copies to: City Council, City Manager, City Attomey, Department and Division Heads, Employee
Bulletin Boards, Press, File
PURPOSE:
To establish a policy to be followed by Council Members, other elected officials, commission/board
members, and all City employees when traveling on City business. This policy supersedes all other
travel policies.
BACKGROUND:
Occasionally, it is necessary for City personnel to attend meetings, travel outside the City to conduct
City business, and attend conferences, seminars and training sessions. Various modes of transportation
are available and other associated costs vary considerably. The City Council has adopted a policy to
control the costs involved, and to compensate individuals for actual necessary expenses related to travel
and meetings.
DEFINmONS:
City Business Travel shall be defmed as travel which requires elected officials, members of a
commission or board, or City employees to conduct specific items of City business away from their
normal place of business.
Citv Employee means any person regularly employed by the City, excluding elected officials and
members of commissions, committees, authorities or boards.
Commissioner shall mean any person appointed by the City Council to an established board, committee,
authority or commission.
Out-of-State Travel includes all costs related to business travel outside the State of CaUfomia.
In-State Travel includes all costs related to business travel within the State of Califomia.
Miscellaneous Meals/Mileage includes all miscellaneous costs not directly attributable to conferences or
training, such as travel to other City facilities.
3
Exhibit 2
CITY OF CARLSBAD
PolicyNo. 2 (Page2 ofS)
COUNCIL POLICY STATEMENT Date Issued 04-04-06
Effective Date 04-04-06
General Subject: TRAVEL POLICY Cancellation Date.
Supersedes No. 3 (Dated
12/14/99)
Specific Subject:
Copies to: City Council, City Manager, City Attomey, Department and Division Heads, Employee
Bulletin Boards, Press, File
POLICY IN GENERAL:
1. Requests for travel shall, in all cases, be limited to situations from which the City will derive a benefit
through the attendance of a representative.
2. For City Council Members, all travel involving more than five (5) days should be approved in advance
by the Council. Travel of five (5) days or less need not have prior approval if funds are available in the
current budget. The Mayor is authorized to approve extended ovemight travel for emergency cases.
3. Except for elected officials, commissioners and board members, and Council appointed employees, the
number of City employees attending any single conference should be limited to those whose attendance
will provide a benefit to the City. Any number of elected officials, commissioners, or Council appointed
employees may attend conferences provided that funds are available for such purposes.
4. The City Manager, or his/her designee, may approve any in-state travel, travel specifically approved in
the operating budget, and any travel for educational purposes. The City Manager (or his/her designee)
may also authorize out-of-state travel for unanticipated purposes if funds are available and the subject
travel has a duration of two days or less (one night's stay). Unanticipated out-of-state travel for a
duration exceeding two days must be authorized by the City Council.
5. Each officer, employee, advisory commissioner, and board member of the City is expected to be as thrifty
and pmdent as possible when traveling at the City's expense. To ensure that City officers, employees,
commissioners and board members are able to travel when necessary to accomplish essential City
business, travel funds must be expended in the most economical and efficient way possible.
6. Receipts are required for all business travel expenses such as transportation, lodging and incidental
costs exceeding five ($5) dollars except for the City Council, where receipts are required for every item
to be reimbursed. In order to comply with IRS and State Regulations, receipts are required for all meal
and entertainment expenses for City Council Members. In addition, for all travel expenses for other
City employees (including meals and entertainment), the following information must appear on the
expense report and/or the receipts submitted:
a. The amount of the expenditure.
b. The date and place of the expenditure.
c. The business purpose of the expenditure.
d. The business relationship to the person entertained, as well as the individuals' names.
Exhibit 2
CITY OF CARLSBAD
COUNCIL POLICY STATEMENT
General Subject: TRAVEL POLICY
Specific Subject:
PolicyNo. 2 (Page 3 of 5)
Date Issued 04-04-06
Effective Date 04-04-06
Cancellation Date
Supersedes No. 3 (Dated
12/14/99)
Copies to: City Council, City Manager, City Attomey, Department and Division Heads,
Employee Bulletin Boards, Press, File
POLICY IN GENERAL (Continued):
The IRS also requires that if the expenditures are not substantiated with the above information, they
may be considered "wages" subject to payroll tax withholding. The use of a City credit card for
payment of business meals and entertainment does not preclude the requirement to complete and
submit an expense report.
7. Travel advances to City employees need to be substantiated or reimbursed as soon as possible upon
completion of trip (normally within 30 days). If the expense report is not filed timely, any travel
advances may be subtracted from the employee's payroll check. No further City funds will be
advanced for travel until the employee files his/her outstanding expense report.
8. Administration of this policy will be as directed from time to time by the City Manager.
TRANSPORTATION:
1. Use of air, frain, private automobile, or other mode of public transportation shall be selected on the basis
of the least total cost to the City after all expense items are tabulated, including fravel time salary costs.
2. When the use of a private automobile to destinations within 200 miles of the City Umits is approved,
mileage reimbursement shall be at the rate then currently prescribed by IRS regulations. Individuals with
an auto allowance will not receive mileage reimbursements for trips within 200 miles of the City limits.
However, use of City-owned vehicles is allowed for travel within 200 miles of the City limits.
If use of a private automobile to destinations beyond 200 miles is approved by the City Manager or his/her
designee, including those individuals with an auto allowance, reimbursement shall not exceed the cost of a
round trip coach or equivalent class air fare. Exceptions are subject to approval by the City Manager or
his/her designee (such as in cases where required items to be fransported are not allowed on any mode of
public fransportation). Such reimbursement shall be computed based on the mileage from the normal
work location to the final destination.
For the piupose of determining personal vehicle mileage reimbursement, the designated normal work
location for each City employee is the place where that employee spends the largest portion of his/her
regular workday or working time, or the place to which he/she returns upon completion of regular or
special assignments. The cost of the daily commute to the office is the employee's responsibility.
3. When the use of public air carrier is approved, the City shall pay the lowest available fare at the time the
reservation is booked. Upgrades to a higher class of air service will be at the employee's expense.
5'
Exhibit 2
CITY OF CARLSBAD
COUNCIL POLICY STATEMENT
Policy No. 2 (Page 4 of 5)
General Subject: TRAVEL POLICY
Specific Subject:
Date Issued 04-04-06
Effective Date 04-04-06
Cancellation Date
Supersedes No. 3 (Dated
12/14/99)
Copies to: City Council, City Manager, City Attomey, Department and Division Heads,
Employee Bulletin Boards, Press, File
TRANSPORTATION (Continued):
4. Authorized fravel time shall be based on that required by the most appropriate and expedient mode of
pubUc fransportation. The additional fravel time will not be considered City work hours.
5. While fraveling, employees are encouraged to use public fransportation whenever possible. For
example, courtesy shuttle service, buses, taxis, or limousine service should be utilized between
airports and meeting locations when such services are reasonably available. Rental vehicles should
be used when other fransportation is unavailable, untimely, or a rental vehicle is the most economical
mode of fransportation.
6. Reimbursement for fravel time will be made in accordance with FLSA guidelines.
LODGING:
1. Lodging shall be obtained at the most economical rate available for good quality lodging. When there is
an officially designated conference hotel, the traveler is encouraged to take advantage of these
accommodations. Lodging expenses for spouses are not reimbursable, and any additional expenses must
be paid by the elected official, commissioner or employee.
2. Business related telephone charges which are added to the lodging bill may be reimbursed.
Reimbursement of personal caUs will be allowed in an amount not to exceed the higher of $10.00 per day
or ten minutes of phone time. Reimbursement of personal calls in excess of this limit may be authorized
by the City Manager or his/her designee, under special circumstances.
MEALS AND INCIDENTAL EXPENSES:
1. Notwithstanding other limits stated elsewhere, the City Council will be reimbursed the actual costs of
meals, plus tips and incidental expenses that are substantiated with a physical receipt while on official
City business.
2. Each commissioner or employee authorized to fravel may submit the actual cost of meals, tips and
incidental expenses for reimbursement up to a limit of $50 per day. If it is anticipated that this limit will
be exceeded, then prior approval by the City Manager or his/her designee is required. The City Manager
may approve such additional expenditures, within the limits of his/her expenditure authority, as
necessary.
Exhibit 2
CITY OF CARLSBAD
Policy No. 2 (Page 5 of 5)
COUNCIL POLICY STATEMENT Date Issued 04-04-06
Effective Date04-04-06
General Subject: TRAVEL POLICY Cancellation Date
Supersedes No. 2 (Dated
12/14/99)
Specific Subject:
Copies to: City Coimcil, City Manager, City Attomey, Department and Division Heads,
Employee Bulletin Boards, Press, File
MEALS AND INCIDENTAL EXPENSES (Continued):
3. The City will not reimburse the cost of alcoholic beverages.
4. Reasonable amounts for tipping will be reimbursed, however, reimbursement for tips will not be made
in excess of 20%.
7
Donna Heraty
From: Donna Heraty
Sent: Monday, August 10, 2015 10:56 AM
'Bill@avecya_ss_o..c.rie.f' To:
Subject: REQUIRED CONFllCT OF INTEREST
Resolution No. 2015-050.pdf Attachments:
To Whom It May Concern:
You are receiving this email because your company has a consultant agreement with the City of Carlsbad. The City of
Carlsbad's Conflict of Interest Code requires all consultants to file a statement disclosing certain economic interests, that
may foreseeably be affected materially by any decisions made, or participated in, by a designated official because of
their position. To comply with this requirement a Statement of Economic Interest Form 700 "Assuming Office" is
required to be filed with the City of Carlsbad City Clerk's Office.
To file your Assuming Office statement, please follow the instructions below:
• As reflected in the City Conflict of Interest Code-Resolution No. 2015-050 (attached), the employee(s) of your
company that work directly with city staff are required to complete the Statement of Economic Interest Form
(Form 700). Consultants are required to claim-
Category (A) Investment and Real Property Disclosure
Category (B) Personal Income Disclosure
Category (C) Business Entity Income Disclosure
Category (D) Business Position Disclosure
• Your "Assuming Office" date for this filing is ne 9, 2015.
• Even if there are no reportable interests, the cover page is still required to be completed with box "None" in
Section 4 checked.
• THE COMPLETED FORM 700 IS DUE IN THE CITY CLERK'S OFFICE BY 5:00 PM, AUGUST 19, 2015.
Mailing Address: City Clerk's Office, 1200 Carlsbad Village Drive, Carlsbad, CA 92008.
• Form 700
• Form 700 Reference Pamphlet
Other documents you may use as reference:
• FAQ: Form 700 Disclosure
• Local Gift Fact Sheet
In addition, when your contract with the City of Carlsbad is completed, the employee(s) that filed the Assuming Office
statement is/are required to file a "Leaving Office" statement, utilizing the same Form 700 and entering the date the
contract ended in the "Leaving Office" date line, and submitting to the City Clerk's Office no later than 30 days following
completion of the agreement.
**Failure to file the Assuming and/or Leaving Office statement(s) could result in penalties assessed at $10.00 per day,
not to exceed $100.00, in addition to any other penalties per California Government Section Code 91013.
1
If you have any questions or need additional information, please feel free to contact me or the Fair Political Practices
Commission (FPPC) at 1-866-ASK-FPPC (1-866-275-3772).
Sincerely,
Donna Heraty.
~ «'-' ~ CIT'r' 0
CARLSBAD
Donna Heraty, CMC
Deputy City Clerk
City of Carlsbad
1200 Carlsbad Village Drive
Carlsbad, CA 92008
www .carlsbadca .gov
P: 760-434-2808
F: 760-720-6917
donna.heraty@carlsbadca.gov
Please consider the environment before printing this e-mail
2