HomeMy WebLinkAboutAlliant Insurance Services Inc; 2015-08-28;AGREEMENT FOR BENEFIT BROKER/CONSULTING SERVICES
ALLIANT INSURANCE SERVICES, INC.
IS AGREEr\/lENT is made and entered into as of the day of
U,SA , 2015, by and between the CITY OF CARLSBAD, a municipal corporation.
("City"), and Alliant Insurance Services, Inc., a corporation, ("Contractor").
RECITALS
A. City requires the professional services of a broker/benefits consultant that is
experienced in all of the necessary professional sen/ices for the on-going review of the City's
benefit programs.
B. Contractor has the necessary experience in providing professional sen/ices and
advice related to employee benefits.
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
"Sen/ices") 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 Sen/ices, 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 three (3) years from the date first above
written. The City Manager may amend the Agreement to extend it for two (2) additional one (1)
year periods or parts thereof in an amount not to exceed eighty-seven thousand dollars ($87,000)
per Agreement year. 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 ofthe extended Agreement.
4. TIME IS OF THE ESSENCE
Time is of the essence for each and every provision of this Agreement.
5. COMPENSATION
It is expressly understood by and between the City and Contractor that the Services to be
performed under this three year Agreement and the compensation for the Sen/ices are subject
to funds being annually appropriated and authorized by the Carisbad City Council for said
Services and compensation. The City's obligations and the Contractor's obligations under this
multi-year Agreement are as follows:
A. The total fee payable for the Services to be performed during the initial three year term
shall not exceed eighty-seven thousand dollars ($87,000) per Agreement year. Funds
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available for performance of Sen/ices for the first year of the Agreement are sufficient for
the performance of the first year only. For subsequent Agreement years 2 and 3 additional
annual appropriations of funds will be required. When additional funds are available for
the full performance of Services for the subsequent year, the City Manager or designee
shall notify Contractor in writing that the subsequent year funds have been appropriated.
This procedure shall apply for each successive year.
B. The City is not obligated to the Contractor for any amount over the specified per year not
to exceed amount unless this Agreement has first been amended in writing and the basis
for the increased amount is stated therein.
C. The Contractor is not obligated to incur costs for the performance of work required for any
subsequent year unless and until written notification is received from the City Manager or
designee of the availability of funds.
D. If annual appropriations are not made the contract may be terminated pursuant to this
section and Section 20 "Termination."
E. Contractor's Broker/Consulting sen/ices shall be billed at the annual rate of fifty-five
thousand dollars ($55,000) for each of the three years ("Annual Rate"), payable in
quarterly installments of $13,750.
F. If the parties amend the Agreement to extend it for (2) additional one (1) year periods, the
Annual Rate shall increase by no more than two percent (2%) per year.
G. The Parties acknowledge that additional expenses may apply if additional resources are
required for special projects or services outside the scope of those Contractor
responsibilities outlined in Exhibit "A." In the event that special projects or services are
required, the Parties will amend this Agreement, in writing, to account for the fees for the
additional work. Except as othen^/ise described in this Section 5 and in the below Section
6, no other compensation for the Services will be allowed except for items covered by
subsequent amendments to this Agreement. The City reserves the right to withhold a ten
percent (10%) retention until City has accepted the work and/or Sen/ices specified in
Exhibit "A".
Incremental payments, if applicable, should be made as outlined in attached Exhibit "A".
6. BROKER COMMISSIONS
A. In addition to any fees payable under this Agreement, Contractor's national voluntary
benefits department ("VB Department") may receive commissions from carriers providing
voluntary or supplemental products to City's employees. Carriers do not quote
premiums for voluntary or supplemental products net of commissions. For this reason,
carriers' premiums include broker commissions, the total of which will be paid by the
City's employees.
B. These commissions are compensation to the VB Department for providing services
outside ofthe Sen/ices described in Exhibit A. These additional services may include
but are not limited to: voluntary benefits consulting and implementation support,
negotiation of terms, subsidies and guarantee issue limits, financing of costs associated
with education, communication and enrollment of employees into voluntary plans, and/or
financing other services elected by the client.
C. During the term of this Agreement, Contractor will upon request, disclose any
commissions it receives, in connection with voluntary or supplemental benefit products
procured for City's employees in accordance with Contractor's "Transparency and
Disclosure" policy, a copy of which will be made available to City upon request. Pursuant
to its policy. Contractor will conduct business in conformance with all applicable
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insurance regulations and in advancement ofthe best interests of its clients. In addition.
Contractor's conflict of interest policy precludes it from accepting any form of broker
incentives that would result in business being placed with carriers in conflict with the
interests of Contractor's clients.
7. 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.
8. 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 ofthis Agreement applicable to Contractor's work unless specifically
noted to the contrary in the subcontract and approved in writing by City.
9. OTHER CONTRACTORS
The City reserves the right to employ other contractors in connection with the Services.
10. INDEMNIFICATION
Contractor agrees to indemnify and hold harmless the City and its officers, officials, employees
and volunteers ("City Representatives") from and against all claims, damages, losses and
expenses including reasonable attorneys' fees ("Claim") 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. Contractor shall have no duty to indemnify and/or hold
harmless the City and/or City Representatives from any Claim arising out or resulting from City's
and/or City Representatives' established negligence, recklessness, or willful misconduct.
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 ofthis section, and that this
section will survive the expiration or early termination ofthis Agreement.
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11. 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-:V11"; 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.
11.1 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 thatthe limits ofthe
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.
11.1.1 Commercial General Liabilitv Insurance. $2,000,000 combined single-limit per
occurrence for bodily injury, personal injury and property damage. Ifthe 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.
11.1.2 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.
11.1.3 Workers' Compensation and Emplover'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.
11.1.4 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.
11.2 Additional Provisions. Contractor will ensure that the policies of insurance required under
this Agreement contain, or are endorsed to contain, the following provisions:
11.2.1 The City will be named as an additional insured on Commercial General Liability
which shall provide primary coverage to the City.
11.2.2 Contractor will obtain occurrence coverage, excluding Professional Liability, which
will be written as claims-made coverage.
11.2.3 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 or ten (10) days written
notice for cancellation due to non-payment to City sent mail pursuant to the Notice provisions of
this Agreement.
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11.3 Providing Certificates of Insurance and Endorsements. Prior to City's execution of this
Agreement, Contractor will furnish certificates of insurance and endorsements to City.
11.4 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.
11.5 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.
12. BUSINESS LICENSE
Contractor will obtain and maintain a City of Carisbad Business License for the term of the
Agreement, as may be amended from time-to-time.
13. ACCOUNTING RECORDS
Contractor will maintain complete and accurate records with respect to costs incurred under this
Agreement. All records will be clearly identifiable. Provided that Contractor receives reasonable
notice of City's intent to audit. 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.
14. CONFIDENTIALITY
A. Confidential Information. The services and work product exchanged by the parties under
this Agreement are to be used exclusively to carry out the terms, conditions, and purposes
set forth herein. The parties acknowledge that during the term of this Agreement, they
may each exchange information considered confidential, proprietary and/or trade secret
including, without limitation, data, recommendations, proposals, reports and similar
information, and work product (collectively, "Confidential Information"). For purposes of
this Agreement, the party disclosing Confidential Information shall be called the
"Disclosing Party" and the party receiving Confidential Information shall be called the
"Recipient Party." The parties understand and agree that, except as othenvise provided
for herein, they will not distribute, use, or rely upon Confidential Information received from
the other without the permission of the Disclosing Party.
B. Exclusions. The following types of information shall not be considered confidential:
i. Information in the public domain or that becomes a part ofthe public domain, other
than as a result of a breach of the confidentiality provisions of this Agreement;
ii. Information that is independently developed by either party as demonstrated by
the party's records;
iii. Any item or data forming part of the Confidential Information that is lawfully known
by the Recipient Party, without any obligation of confidentiality or other restriction
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on use or disclosure, prior to the provision of such information by Disclosing Party;
or
iv. Information that is disclosed by a third party whom the Recipient Party has no
reason to believe has any confidentiality or fiduciary obligation to the owner of such
information.
C. Legal Process or Compulsion. Either party is entitled to release Confidential Information
as required to prosecute or defend any claim under this Agreement; provided however,
that the party seeking to enforce this Agreement shall take all reasonable steps necessary
to avoid disclosing Confidential Information, including filing documents and papers under
seal. A Recipient Party may disclose Confidential Information pursuant to a valid order of
a court or governmental agency with proper jurisdiction, or if such disclosure is required
by law or regulation; provided that the information is disclosed only to the minimum extent
necessary, and provided that, to the extent allowed by law, the releasing party shall give
Disclosing Party sufficient advance notice so that he/she/it may seek a protective order or
employ other lawful means to avoid or limit disclosure. Contractor understands that the
City is a public entity subject to the disclosure requirements of the California Public
Records Act ("CRPA"). City acknowledges that Contractor's financial records and
proprietary information are exempt from disclosure under the CRPA. In the event of a
request for Contractor's financial records and/or proprietary information, the City will make
best efforts to provide advance notice to Contractor so that that it may seek a protective
order or employ other lawful means to avoid or limit disclosure.
D. Reasonable Efforts. The parties agree to employ reasonable and customary business
practices to protect and secure Confidential Information from unauthorized release or
distribution and to limit access and usage of such information to those employees, officers,
agents, and representatives (collectively, "Representafives") who have a legitimate need
to know in order to provide the products and services under this Agreement. The parties
further agree that those employees, officers, agents, and representatives who are privy to
Confidential Information shall be informed about the confidential nature ofthe informafion
and required to maintain its confidentiality as provided under this Agreement. The
Recipient Party shall remain liable for any breach of this Agreement by any of his/her/its
Representatives.
E. Ownership. Except as othenwise provided in this Agreement, Confidential Information is
and remains the absolute and exclusive property of the Disclosing Party and/or its
affiliates, and is its unique and valuable asset. Unless othenwise authorized by this
Agreement, no copies of Confidenfial Informafion shall be made without the written
permission of the Disclosing Party. The parties agree that, except as otherwise provided
herein, they will not directly or indirecfiy communicate, divulge, or othenwise disclose any
of the other's Confidenfial Information to any unauthorized person, firm, or corporation,
and shall prevent, to the best of their ability, the unauthorized disclosure of such
Confidential Information to others.
F. Survival. The parties agree that the obligafions contained in this secfion shall survive the
termination of this Agreement, for a period of two (2) years, or longer as required by law.
Nothing in this secfion limits or othenwise diminishes the protecfions afforded to
confidential, proprietary, or trade secret information conferred by applicable law.
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15. OWNERSHIP OF DOCUMENTS
All work product produced specifically for City by Contractor or its agents, employees, and
subcontractors pursuant to this Agreement ("Work Product") 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 retain on a confidenfial basis copies of all Work Product in order to comply with
legal or regulatory requirements, as well as any and all (A) emails and any attachments contained
in such emails, and (B) any electronic files, each of which are automafically saved pursuant to
legal or regulatory requirements.
16. COPYRIGHTS
Contractor agrees that all copyrights in the Work Product will be vested in City and Contractor
relinquishes all claims to the copyrights of Work Product in favor of City.
17. NOTICES
The name of the persons who are authorized to give written notice or to receive written nofice on
behalf of City and on behalf of Contractor under this Agreement.
For Citv For Contractor
Name Donna Hernandez Name Paul La Bounty
Title Human Resources Manager Title Senior Vice President
Department Human Resources Address 701 B Street
City of Carisbad San Diego
Address 1635 Faraday Ave. Phone No. 619-849-3878
Carisbad, CA 92008 Email plabounty(@alliant.com
Phone No. 760-602-2440
With a copy to:
Alliant Insurance Services, Inc.
Attn: General Counsel
701 B Street, 6th Floor
San Diego, CA 92101
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.
18. CONFLICT OF INTEREST
Contractor shall file a Conflict of Interest Statement with the City Clerk in accordance with the
requirements of the City of Carisbad Conflict of Interest Code. The Contractor shall report
investments or interests in all four categories.
19. GENERAL COMPLIANCE WITH LAWS
Contractor will keep fully informed of federal, state and local laws and ordinances and regulafions
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 fimes observe and comply with these laws,
ordinances, and regulations and will be responsible for the compliance of Contractor's sen/ices
with all applicable laws, ordinances and regulations.
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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.
20. DISCRIMINATION AND HARASSMENT PROHIBITED
Contractor will comply with all applicable local, state and federal laws and regulafions prohibiting
discrimination and harassment.
21. 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 interpretafion not othenwise settled by agreement
between the parties. Representatives of Contractor or City will reduce such quesfions, and their
respective views, to wrifing. 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. Ifthe resolution thus obtained is unsafisfactory
to the aggrieved party, either party may elect to and pursue any rights and remedies by legal
acfion.
22. TERMINATION
In the event of the Contractor's failure to prosecute, deliver, or perform the Sen/ices, 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 sen/ices 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
determinafion of fact based upon the work product delivered to City and ofthe percentage of work
that Contractor has peri'ormed 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 terminafion date; however, the total will not exceed the lump sum fee payable
under this Agreement. City will make the final determinafion as to the portions of tasks completed
and the compensafion to be made.
23. 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 resulfing from, the award or making ofthis 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.
24. 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 anticipafion
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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
prosecufion. Contractor acknowledges that California Government Code secfions 12650 et seq.,
the False Claims Act applies to this Agreement and, provides for civil penalfies where a person
knowingly submits a false claim to a public entity. These provisions include false claims made
with deliberate ignorance of the false informafion or in reckless disregard of the truth or falsity of
informafion. If City seeks to recover penalties pursuant to the False Claims Act, it is entified 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 jurisdicfion is
grounds for City to terminate this Agreement.
25. JURISDICTION AND VENUE
Any acfion at law or in equity brought by either ofthe 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.
26. 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 without the prior written consent of both parties, except
that consent shall not be required in the case of a merger, consolidation, or sale of substantially
all of a party's assets..
27. ENTIRE AGREEMENT
This Agreement, together with any exhibits and attachments, embody the enfire Agreement and
understanding between the parties relating to the subject matter of it. Neither this Agreement nor
any of its provisions may be amended, modified, waived or discharged except in a writing signed
by both parties.
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28. 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
B
(sign here)
(print namd/tifie)
Itiit
City Manager
Kathryn B. Dodson, Interim
ATTEST:
By:
(sign her^ BARBARA ENGLESON
"X^\>Vl^'-^7 ITieA^VA^-Jl- City Clerk
(print name/tifie)
If required by City, proper notarial acknowledgment of execution by contractor must be attached.
If a corporafion. 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 resolufion certified by the secretary or assistant
secretary under corporate seal empowering the officer(s) signing to bind the corporafion.
APPROVED AS TO FORM:
CELIA A^JS^^^il^ C^ty Attorney
Assistant City Attorney
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10
ACKNOWLEDGMENT
A notary public or other officer complefing this
certificate verifies only the identity ofthe individual
who signed the document to which this certificate is
attached, and not the truthfulness, accuracy, or
validity of that document.
State of California ^ ^.
County of San Diego J
On 8/19/15
personally appeared Ted C. Fil ley
before me, Sherie M. Ward, Notary Public
(insert: name and tifie ofthe officer)
who proved to me on the basis of safisfactory evidence to be the person(s) whose name(s) is/are
subscribed to the within instrument and acknowledged to me that he/she/they executed the same in
his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the
person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
1 certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing
paragraph is true and correct.
WITNESS my hand and ofi'icial seal.
Signature
I
(Seal)
>"«NMb—fca > I 11 III
SHERIE M. WARD
Coflmiltsion# 2107015
Notify PubHc-CalHornia s
8m Oiago County * y san nago county ;
^ ^«^<^.E)<|MrwMa|13^^2y9^
ACKNOWLEDGMENT
A notary public or other officer complefing this
certificate verifies only the idenfity of the individual
who signed the document to which this certificate is
attached, and not the truthfulness, accuracy, or
validity of that document.
State of California
County of San Diego )
On 8/19/15 before me, Sherie M. Ward, Notary Public
(insert name and title of the officer)
personally appeared Paul LaBounty
who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are
subscribed to the within instrument and acknowledged to me that he/she/they executed the same in
his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the
person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.
1 certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing
paragraph is true and correct.
WITNESS my hand and official seal.
Signature ^^^^0^^ VMXS)S>^ (Seal)
i SHS{|IEM.WARO
Commitsion #2107015
imfmmi Nowy PuiMc - California
|\^e*W/ San Oiago County £
I My Comm. Ewirat Hiay 13.20191
EXHIBIT "A"
SCOPE OF SERVICES
1. Assist in developing long-range employee benefit goals and strategies for the City of Carlsbad.
Strategic Planning/Annual Objective setting/Annual Work Plan. Pre-renewal meeting (strategy,
market update, compliance, etc.)
2. Assist in administering group insurance plans, settling disputes and other issues with carriers,
analyzing the efficiency of programs and offering cost effective, creative solutions to problems.
3. Monitoring ongoing contracts, including plan administration, provider compliance with contracts
and employee communication/education.
4. Utilization review and trend analysis.
5. Financial reporting.
6. Access to Alliant Purchasing Programs.
7. Provide legislative and regulatory updates and review Summary Plan and Evidence of Coverage
documents to ensure the provisions the City applied and contracted for are correctly included and
that compliance disclosures have been incorporated into the documents. Create and review plan
documents as needed.
8. Compliance assistance with legal requirements, advising our staff of anticipated legislative
changes and providing recommended solutions.
9. Act as broker/consultant on related issues such as IRS Section 125 and related discrimination
testing, COBRA, Health Insurance Portability and Accountability Act (HIPAA), Medicare, Family and
Medical Leave Act (FMLA), California Family Rights Act (CFRA), and Americans with Disabilities Act
(ADA). Healthcare reform compliance & consulting.
10. Review and analyze claims experience data, claims service, efficiency and accuracy of claims
administration to ensure highest levels of service are being provided. Provide an annual review
and summary of benefits including quality, cost effectiveness and competitiveness.
11. Apprise the City of local and national benefit trends, innovative ideas, recommend new products,
programs and services.
12. Meet with city representatives to provide reports and updates of renewal rates to assist with
budgeting and forecasting.
13. Represent the city in negotiations with providers, including those related to premiums, service,
benefit levels, plan design and terms and conditions. Negotiate changes and additions to contracts
and ensure amendments are completed.
14. Solicit bids from insurance markets which specialize in group insurance plans. Evaluate bids and
bidders. Consider claims procedures, abilities, experience, service history, financial policies and
stability. Identify the most beneficial services for the needs ofthe city.
15. Identify, recommend & procure voluntary benefit plans/new benefits.
16. Create and implement communication campaigns for active and retired employees, including
materials for open enrollment and health fairs. Attend benefit related events such and open
enrollment meetings and health fairs, providing coordination and support as needed. All
communication materials developed by Alliant for the City of Carlsbad will become the property
of the City or Carlsbad.
17. Provide sample policies in the area of Integrated Disability Management and/or a Return to Work
Program. Support implementation of such policies and practices. Research and recommend
potential Absence Management Services/Tools.
18. Meet with employee associations, city management. City Council or other entities as necessary.
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19. Assist with development and delivery of benefit training/workshops/focus groups for employees.
20. Analyze wellness needs ofthe City and propose a comprehensive incremental wellness strategic
plan that can be implemented.
21. Implement and support Ben-IQ Mobile Application.
22. Implement and support Alliant Connect Customized Web Portal.
23. Conduct PublicAgency benchmarking for the purpose of identifying competitive, comparable, and
best practices related to benefits within the public sector.
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