HomeMy WebLinkAboutDiehl, Evans & Company, LLP - 2009-09-03Dame of Contractor: Diehl, Evans & Company, LLP
Purpose of Contract: For Example: Audit Services or Water Quality Testing Huntington Lake —Huntington Central Park
As -Needed Agreed Upon Procedures Review
Amount of Contract: $10,000.00
Copy of contract distributed to: The original insurance certificate/waiver distributed
t
Initiating Dept. ❑ o Risk Management ❑
Finance Dept. ❑ ORIGINAL bonds sent to Treasurer ❑
Date:
Na a/Ext nsion
City Attorney's Office
G:AttyMisc/Contract Forms/City Clerk Transmittal
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PROFESSIONAL SERVICES CONTRACT BETWEEN
THE CITY OF HUNTINGTON BEACH AND
DIEHL, EVANS & COMPANY, LLP
FOR
AS -NEEDED AGREED UPON PROCEDURES REVIEW
Table of Contents
Scopeof Services.....................................................................................................1
CityStaff Assistance................................................................................................2
Term; Time of Performance.....................................................................................2
Compensation..........................................................................................................2
ExtraWork...............................................................................................................2
Methodof Payment..................................................................................................3
Disposition of Plans, Estimates and Other Documents...........................................3
HoldHarmless.........................................................................................................3
Professional Liability Insurance.............................................................................4
Certificate of Insurance............................................................................................5
Independent Contractor............................................................................................6
Termination of Agreement.......................................................................................6
Assignment and Delegation......................................................................................6
Copyrights/Patents...................................................................................................7
City Employees and Officials ..................................................................................7
Notices.........................................................................................7
Consent....................................................................................................................8
Modification.............................................................................................................8
SectionHeadings.....................................................................................................8
Interpretation of this Agreement..............................................................................8
DuplicateOriginal....................................................................................................9
Immigration...............................................................................................................9
Legal Services Subcontracting Prohibited................................................................9
Attorney's Fees..........................................................................................................10
Survival.....................................................................................................................10
GoverningLaw.........................................................................................................10
Signatories.................................................................................................................10
Entirety......................................................................................................................10
EffectiveDate.................................................................................I
1
PROFESSIONAL SERVICES CONTRACT BETWEEN
THE CITY OF HUNTINGTON BEACH AND
DIEHL, EVANS & COMPANY, LLP
FOR
AS -NEEDED AGREED UPON PROCEDURES REVIEW
THIS AGREEMENT ("Agreement") is made and entered into by and between the City of
Huntington Beach, a municipal corporation of the State of California, hereinafter referred to as
"CITY, and Diehl, Evans & Company, LLP , a limited liability partnership hereinafter referred
to as "CONSULTANT."
WHEREAS, CITY desires to engage the services of a consultant to
provide agreed upon procedures review services on as -needed basis ; and
Pursuant to documentation on file in the office of the City Clerk, the provisions of the
Huntington Beach Municipal Code, Chapter 3.03, relating to procurement of professional service
contracts have been complied with; and
CONSULTANT has been selected to perform these services,
NOW, THEREFORE, it is agreed by CITY and CONSULTANT as follows.
1. SCOPE OF SERVICES
CONSULTANT shall provide all services as described in Exhibit "A," which is
attached hereto and incorporated into this Agreement by this reference. These services shall
sometimes hereinafter be referred to as the "PROJECT."
CONSULTANT hereby designates
Nitin P. Patel who shall
represent it and be its sole contact and agent in all consultations with CITY during the
performance of this Agreement.
agree/surtnet/professional Svcs to $49
12-07 1
2. CITY STAFF ASSISTANCE
CITY shall assign a staff coordinator to work directly with CONSULTANT in the
performance of this Agreement.
3. TERM. TIME OF PERFORMANCE
Time is of the essence of this Agreement. The services of CONSULTANT are to
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commence on 12001 (the "Commencement Date"). This Agreement
shall automatically terminate three (3) years from the Commencement Date, unless extended or
sooner terminated as provided herein. All tasks specified in Exhibit "A" shall be completed no
later than three years
from the Commencement Date. The time for performance
of the tasks identified in Exhibit "A" are generally to be shown in Exhibit "A." This schedule
may be amended to benefit the PROJECT if mutually agreed to in writing by CITY and
CONSULTANT.
In the event the Commencement Date precedes the Effective Date,
CONSULTANT shall be bound by all terms and conditions as provided herein.
4. COMPENSATION
In consideration of the performance of the services described herein, CITY agrees
to pay CONSULTANT on a time and materials basis at the rates specified in Exhibit "B,"
which is attached hereto and incorporated by reference into this Agreement, a fee, including all
costs and expenses, not to exceed Ten Thousand Dollars
(S_ 10,000.00
5. EXTRA WORK
In the event CITY requires additional services not included in Exhibit "A" or
changes in the scope of services described in Exhibit "A," CONSULTANT will undertake such
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work only after receiving written authorization from CITY. Additional compensation for such
extra work shall be allowed only if the prior written approval of CITY is obtained.
6. METHOD OF PAYMENT
CONSULTANT shall be paid pursuant to the terms of Exhibit "B."
7. DISPOSITION OF PLANS, ESTIMATES AND OTHER DOCUMENTS
CONSULTANT agrees that title to all materials prepared hereunder, including,
without limitation, all original drawings, designs, reports, both field and office notices,
calculations, computer code, language, data or programs, maps, memoranda, letters and other
documents, shall belong to CITY, and CONSULTANT shall turn these materials over to CITY
upon expiration or termination of this Agreement or upon PROJECT completion, whichever
shall occur first. These materials may be used by CITY as it sees fit.
8. HOLD HARMLESS
CONSULTANT hereby agrees to protect, defend, indemnify and hold harmless
CITY, its officers, elected or appointed officials, employees, agents and volunteers from and
against any and all claims, damages, losses, expenses, judgments, demands and defense costs
(including, without limitation, costs and fees of litigation of every nature or liability of any kind
or nature) arising out of or in connection with CONSULTANT's (or CONSULTANT's
subcontractors, if any) negligent (or alleged negligent) performance of this Agreement or its
failure to comply with any of its obligations contained in this Agreement by CONSULTANT, its
officers, agents or employees except such loss or damage which was caused by the sole
negligence or willful misconduct of CITY. CONSULTANT will conduct all defense at its sole
cost and expense and CITY shall approve selection of CONSULTANT's counsel. This
indemnity shall apply to all claims and liability regardless of whether any insurance policies are
agree/surfnet/professional secs to $49
]2-07 3
applicable. The policy limits do not act as limitation upon the amount of indemnification to be
provided by _CONSULTANT.
9. PROFESSIONAL LIABILITY INSURANCE
CONSULTANT shall obtain and furnish to CITY a professional liability
insurance policy covering the work performed by it hereunder. This policy shall provide
coverage for CONSULTANT's professional liability in an amount not less than One Million
Dollars (SI,000,000.00) per occurrence and in the aggregate. The above -mentioned insurance
shall not contain a self -insured retention, "deductible" or any other similar form of limitation on
the required coverage except with the express written consent of CITY. A claims -made policy
shall be acceptable if the policy further provides that:
A. The policy retroactive date coincides with or precedes the initiation of the
scope of work (including subsequent policies purchased as renewals or
replacements).
B. CONSULTANT shall notify CITY of circumstances or incidents that
might give rise to future claims.
CONSULTANT will make every effort to maintain similar insurance during the
required extended period of coverage following PROJECT completion. If insurance is
terminated for any reason, CONSULTANT agrees to purchase an extended reporting provision
of at least two (2) years to report claims arising from work performed in connection with this
Agreement.
If CONSULTANT fails or refuses to produce or maintain the insurance required
by this section or fails or refuses to furnish the CITY with required proof that insurance has been
procured and is in force and paid for, the CITY shall have the right, at the CITY's election, to
agree/sm Pnct/profcssional svcs to $49
,2-07 4
forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be
paid for its time and materials expended prior to notification of termination. CONSULTANT
waives the right to receive compensation and agrees to indemnify the CITY for any work
performed prior to approval of insurance by the CITY.
10. CERTIFICATE OF INSURANCE
Prior to commencing performance of the work hereunder, CONSULTANT shall
furnish to CITY a certificate of insurance subject to approval of the City Attorney evidencing the
foregoing insurance coverage as required by this Agreement; the certificate shall:
A. provide the name and policy number of each carrier and policy;
B. state that the policy is currently in force; and
C. shall promise that such policy shall not be suspended, voided or canceled
by either party, reduced in coverage or in limits except after thirty (30)
days' prior written notice; however, ten (10) days' prior written notice in
the event of cancellation for nonpayment of premium.
CONSULTANT shall maintain the foregoing insurance coverage in force until the
work under this Agreement is fully completed and accepted by CITY.
The requirement for carrying the foregoing insurance coverage shall not derogate
from CONSULTANT's defense, hold harmless and indemnification obligations as set forth in
this Agreement. CITY or its representative shall at all times have the right to demand the
original or a copy of the policy of insurance. CONSULTANT shall pay, in a prompt and timely
manner, the premiums on the insurance hereinabove required.
agree/surfnet/professionalsvcs to S49
12-07 5
11. INDEPENDENT CONTRACTOR
CONSULTANT is, and shall be, acting at all times in the performance of this
Agreement as an independent contractor herein and not as an employee of CITY.
CONSULTANT shall secure at its own cost and expense, and be responsible for any and all
payment of all taxes, social security, state disability insurance compensation, unemployment
compensation and other payroll deductions for CONSULTANT and its officers, agents and
employees and all business licenses, if any, in connection with the PROJECT and/or the services
to be performed hereunder.
12. TERMINATION OF AGREEMENT
All work required hereunder shall be performed in a good and workmanlike
manner. CITY may terminate CONSULTANT's services hereunder at any time with or without
cause, and whether or not the PROJECT is fully complete. Any termination of this Agreement
by CITY shall be made in writing, notice of which shall be delivered to CONSULTANT as
provided herein. In the event of termination, all finished and unfinished documents, exhibits,
report, and evidence shall, at the option of CITY, become its property and shall be promptly
delivered to it by CONSULTANT.
13. ASSIGNMENT AND DELEGATION
This Agreement is a personal service contract and the work hereunder shall not be
assigned, delegated or subcontracted by CONSULTANT to any other person or entity without
the prior express written consent of CITY. If an assignment, delegation or subcontract is
approved, all approved assignees, delegates and subconsultants must satisfy the insurance
requirements as set forth in Sections 9 and 10 hereinabove.
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14. COPYRIGHTS/PATENTS
CITY shall own all rights to any patent or copyright on any work, item or material
produced as a result of this Agreement.
15. CITY EMPLOYEES AND OFFICIALS
CONSULTANT shall employ no CITY official nor any regular CITY employee
in the work performed pursuant to this Agreement. No officer or employee of CITY shall have
any financial interest in this Agreement in violation of the applicable provisions of the California
Government Code.
16. NOTICES
Any notices, certificates, or other communications hereunder shall be given either
by personal delivery to CONSULTANT's agent (as designated in Section 1 hereinabove) or to
CITY as the situation shall warrant, or by enclosing the same in a sealed envelope, postage
prepaid, and depositing the same in the United States Postal Service, to the addresses specified
below. CITY and CONSULTANT may designate different addresses to which subsequent
notices, certificates or other communications will be sent by notifying the other party via
personal delivery, a reputable overnight carrier or U. S. certified mail -return receipt requested:
TO CITY:
City of Huntington Beach
ATTN: Robert Sedlak, Accounting Manager
2000 Main Street
Huntington Beach, CA 92648
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12-07 7
TO CONSULTANT:
Diehl, Evans & Company, LLP
Attn: William S. Morgan, CPA
5 Corporate Parkway, Ste 100
Irvine, CA 92606-5165
17. CONSENT
When CITY's consent/approval is required under this Agreement, its
consent/approval for one transaction or event shall not be deemed to be a consent/approval to
any subsequent occurrence of the same or any other transaction or event.
18. MODIFICATION
No waiver or modification of any language in this Agreement shall be valid
unless in writing and duly executed by both parties.
19. SECTION HEADINGS
The titles, captions, section, paragraph and subject headings, and descriptive
phrases at the beginning of the various sections in this Agreement are merely descriptive and are
included solely for convenience of reference only and are not representative of matters included
or excluded from such provisions, and do not interpret, define, limit or describe, or construe the
intent of the parties or affect the construction or interpretation of any provision of this
Agreement.
20. INTERPRETATION OF THIS AGREEMENT
The language of all parts of this Agreement shall in all cases be construed as a
whole, according to its fair meaning, and not strictly for or against any of the parties. If any
provision of this Agreement is held by an arbitrator or court of competent jurisdiction to be
unenforceable, void, illegal or invalid, such holding shall not invalidate or affect the remaining
covenants and provisions of this Agreement. No covenant or provision shall be deemed
dependent upon any other unless so expressly provided here. As used in this Agreement, the
masculine or neuter gender and singular or plural number shall be deemed to include the other
whenever the context so indicates or requires. Nothing contained herein shall be construed so as
agree/suribet/professional secs to S49
12-07 8
to require the commission of any act contrary to law, and wherever there is any conflict between
any provision contained herein and any present or future statute, law, ordinance or regulation
contrary to which the parties have no right to contract, then the latter shall prevail, and the
provision of this Agreement which is hereby affected shall be curtailed and limited only to the
extent necessary to bring it within the requirements of the law.
21. DUPLICATE ORIGINAL
The original of this Agreement and one or more copies hereto have been prepared
and signed in counterparts as duplicate originals, each of which so executed shall, irrespective of
the date of its execution and delivery, be deemed an original. Each duplicate original shall be
deemed an original instrument as against any party who has signed it.
22. IMMIGRATION
CONSULTANT shall be responsible for full compliance with the immigration
and naturalization laws of the United States and shall, in particular, comply with the provisions
of the United States Code regarding employment verification.
23. LEGAL SERVICES SUBCONTRACTING PROHIBITED
CONSULTANT and CITY agree that CITY is not liable for payment of any
subcontractor work involving legal services, and that such legal services are expressly outside
the scope of services contemplated hereunder. CONSULTANT understands that pursuant to
Huntington Beach City Charter Section 309, the City Attorney is the exclusive legal counsel for
CITY; and CITY shall not be liable for payment of any legal services expenses incurred by
CONSULTANT.
agree/surfnet/professionalsvcsto $49
12-07 9
24. ATTORNEY'S FEES
In the event suit is brought by either party to construe, interpret and/or enforce the
terms and/or provisions of this Agreement or to secure the performance hereof, each party shall
bear its own attorney's fees, such that the prevailing party shall not be entitled to recover its
attorney's fees from the nonprevailing party.
25. SURVIVAL
Terms and conditions of this Agreement, which by their sense and context survive
the expiration or termination of this Agreement, shall so survive.
26. GOVERNING LAW
This Agreement shall be governed and construed in accordance with the laws of
the State of California.
27. SIGNATORIES
Each undersigned represents and warrants that its signature hereinbelow has the
power, authority and right to bind their respective parties to each of the terms of this Agreement,
and shall indemnify CITY fully for any injuries or damages to CITY in the event that such
authority or power is not, in fact, held by the atsignatory or is withdrawn.
CONSULTANT's initials �'- � , ��`
28. ENTIRETY
The parties acknowledge and agree that they are entering into this Agreement
freely and voluntarily following extensive arm's length negotiation, and that each has had the
opportunity to consult with legal counsel prior to executing this Agreement. The parties also
acknowledge and agree that no representations, inducements, promises, agreements or
warranties, oral or otherwise, have been made by that party or anyone acting on that party's
agree/surfnet/professional sves to $49
12-07 10
behalf, which are not embodied in this Agreement, and that that party has not executed this
Agreement in reliance on any representation, inducement, promise, agreement, warranty, fact or
circumstance not expressly set forth in this Agreement. This Agreement, and the attached
exhibits, contain the entire agreement between the parties respecting the subject matter of this
Agreement, and supersede all prior understandings and agreements whether oral or in writing
between the parties respecting the subject matter hereof.
29. EFFECTIVE DATE
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be
executed by and through their authorized officers. This Agreement shall be effective on the date
of its approval by the City Attorney. This Agreement shall expire when terminated as provided
herein.
CONSULTANT,
Diehl, Evans and Company, LLP
COMPANY NAME
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12-07 1 1
CITY OF HUNTINGTON BEACH,
a municipal corporation of the State of
California
Finance Director/Chief
(Pursuant To HBMC §3.03.100)
APPROVED AS TO FORM:
City Attorney
Date
EXHIBIT "A"
A. STATEMENT OF WORK:
CONSULTANT shall provide agreed -upon procedures review for the City of Huntington Beach
on an as -needed basis during the term of the contract.
B. CONSULTANT'S DUTIES AND RESPONSIBILITIES:
The CONSULTANT's duties and responsibilities shall include but is not limited to the
following:
1. CONSULTANT will perform agreed upon procedures engagements in accordance with
the standards issued by the American Institute of Certified Public Accountants (A1CPA).
2. CONSULTANT will request that knowledgeable personnel in the department prepare a
narrative that describes key elements of the program evaluated. CONSULTANT will then
interview these key personnel regarding the operation of the program since inception.
3. CONSULTANT will issue a written report of findings and recommendations.
4. Each assignment shall be completed within 30 days of the beginning of field work.
C. CITY'S DUTIES AND RESPONSIBILITIES:
City authorized staff is responsible for identifying the agreed -upon procedures.
D. WORK PROGRAM/PROJECT SCHEDULE:
A project schedule will be developed for each project assigned by CITY.
jmp/contracts group/cxA/8/13/09 I of I
EXHIBIT `B"
Payment Schedule (Hourly Payment)
A. Hourly Rate
CONSULTANT'S fees for such services shall be based upon the following hourly rate and cost
schedule:
Partner
$175
Director of Consulting Services
$175
Managers
$149
Senior Accountants
$98
Staff Accountants
$88
Total contract limit shall not exceed Ten Thousand Dollars ($I0,000.00). CONSULTANT agrees to
inform the CITY when CONSULTANT is at the point of reaching the maximum limit.
CONSULTANT shall not continue with any work effort over the amount of the maximum limit
unless -first authorized in writing by City authorized representative(s).
B. Travel. Charges for time during travel are not reimbursable
C. Billing
All billing shall be done monthly in fifteen (15) minute increments and matched to
an appropriate breakdown of the time that was taken to perform that work and who
performed it.
2. Each month's bill should include a total to date. That total should provide, at a
glance, the total fees and costs incurred to date for the project.
3. A copy of memoranda, letters, reports, calculations and other documentation
prepared by CONSULTANT may be required to be submitted to CITY to
demonstrate progress toward completion of tasks. In the event CITY rejects or has
comments on any such product, CITY shall identify specific requirements for
satisfactory completion.
4. CONSULTANT shall submit to CITY an invoice for each monthly payment due.
Such invoice shall:
A) Reference this Agreement;
B) Describe the services performed;
C) Show the total amount of the payment due;
D) Include a certification by a principal member of CONSULTANT's firm
that the work has been performed in accordance with the provisions of this
Agreement; and
E) For all payments include an estimate of the percentage of work completed.
Suffnet Exhibit B hourly
Upon submission of any such invoice, if CITY is satisfied that CONSULTANT is
making satisfactory progress toward completion of tasks in accordance with this
Agreement, CITY shall approve the invoice, in which event payment shall be made
within thirty (30) days of receipt of the invoice by CITY. Such approval shall not
be unreasonably withheld. If CITY does not approve an invoice, CITY shall notify
CONSULTANT in writing of the reasons for non -approval and the schedule of
performance set forth in Exhibit "A" may at the option of CITY be suspended until
the parties agree that past performance by CONSULTANT is in, or has been
brought into compliance, or until this Agreement has expired or is terminated as
provided herein.
5. Any billings for extra work or additional services authorized in advance and in
writing by CITY shall be invoiced separately to CITY. Such invoice shall contain
all of the information required above, and in addition shall list the hours expended
and hourly rate charged for such time. Such invoices shall be approved by CITY if
the work performed is in accordance with the extra work or additional services
requested, and if CITY is satisfied that the statement of hours worked and costs
incurred is accurate. Such approval shall not be unreasonably withheld. Any
dispute between the parties concerning payment of such an invoice shall be treated
as separate and apart from the ongoing performance of the remainder of this
Agreement.
Surfnet Exhibit B hourly 2
I/
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,i INSURANCE AND INDEMNIFICATION WAIVER
MODIFICATION REQUEST
i lunrn§t,
,;Beach �
R E C E V Ef D)
1.
Requested by: Robert Sedlak AUG 1 9 2009
2.
Date: August 17, 2009
City of Huntington Beac,i
3.
Name of contractor/permittee: Diehl, Evans & Company City Attorney's Office
4.
Description of work to be performed: As -Needed Agreed Upon Procedures Review
5.
Value and length of contract: $10,000/three year
6.
Waiver/modification request: See Summary of Waiver Requests approved in March 2009
7.
Reason for request and why it should be granted: Reasons are included in the summary
8.
Identify the risks to the City in approving this waiver/modification: Minimal
I
6/ 7%
Department Head Signature Date:
APPROVALS
Approvals must be obtained in the.order listed on this form. Two approvals are required
for a request to be granted. Approval from the City Admini tor's Office i my required if
Risk Managemenf and the City Attorn O dis r
1
Ri k Management
Approved ❑ Denied
ign re to
2.
City Attorney's Office
.proved
El Denied
Signature Date
it
3.
City Administrators O
❑ Approved ❑Denied
Signature Date
If approved, the completed waiver/modification request is to be submittedao the
City Attorney's Office along with the contract for approval. Once the contract has been approved,
this form is to be filed with the Risk Management. Division of Administrative'Services
I
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— JI
Diehl Evans Ins Waiver_Agreed Upon Procedures 8/17/2009 2:20:00 PM
Diehi, Evans & Com an
Summary of Waiver Recmests
Contract Exceptions:
Section 8 — Hold Harmless
Request: Diehl, Evans & Company requests deletion of the following statement in the
fast sentence;
"except such loss or damage which was caused by the sole negligence or wild
misconduct of CITY, CONSULTANT will conduct all defense at its sole cost and expense
and CF7shall approve selection ofCONSULTANT's counsel."
Reason; The phrase "sole negligence or willful misconduction" appears to shield the
City from any liability if City official or employees were "partially" (but not solely)
negligent, or where the City was involved in misconduct, althought "not willful". The
firm does not customarily sign such agreements.
Insurance Waivers:
Section 9; Professional Lsiabift Insurance
Request: Diehl, Evans & Company requests deletion of the following two sentences:
"The above mentioned Insurance shall not contained a self -insured retention,
"deductible " or any other similar form of !Imitation on the required coverage except with
the express wrlten consent of the CITY. "
CONSULTANT sholl noli� CITY of circumstances or incidents that might give rise to
future claims
Reason: The firm's insurance coverage for professional liability is $3,000,000 per
claiml$3,000,000 aggregate with a $50,000 deductible (see attached for a letter from
Diehl, Evans & Company).
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Page 1 of 1
Lockhart, Janet
From: Bill Morgan [BillM@diehlevans.com]
Sent: Monday, August 17, 2009 8:57 AM
To: Lockhart, Janet
Cc: Sedlak, Robert; Wingenroth, Bob; Nitin Patel
Subject: RE: City of Huntington Beach Agreement for Agreed Upon Procedures Review
Yes, please prepare the same Insurance Waiver Package that we had on the last contract.
Bill Morgan
From: Lockhart, Janet [mailto:]Lockhart@surfcity-hb.org]
Sent: Friday, August 14, 2009 7:52 AM
To: Bill Morgan
Cc: Sedlak, Robert
Subject: City of Huntington Beach Agreement for Agreed Upon Procedures Review
Hi Bill,
Attached is the professional services agreement for the As -Needed Agreed Upon Procedures Review Services.
Please review the attached agreement, initial page 10 and sign page 11. Based on the last agreement, you and
Nitin Patel were the authorized signers. You can do the same for this agreement.
I am also attaching the insurance waiver package that belongs to the Franchise Audit agreement. Did you want
us to prepare the same waiver package for this agreement? If so, please let me know so I can begin this waiver
process immediately. If you have any question, feel free to call me at 714-536-5506. Thanks.
Janet Lockhart
Senior Administrative Analyst
City of Huntington Beach - Central Services Division
Phone: 714-536-5500
FAX: 714-374-1530
8/ 17/2009
s4 i INSURANCE AND INDEMNIFICATION WAIVER
MODIFICATION Epp, �gp
REQUEST
C Ei VE
1. Requested by: Robert Sedlak MAR 0 5 2009
2. Date: March 4, 2009
City of Huntington Beach
3. Name of contractor/permittee: Diehl. Evans & Company city Attorney's office
4. Description of work to be performed: Cable N Franchise Audit Svc
5. Value and length of contract: $32,000/one year
6. Waiver/modification request: See Summary of Waiver Requests approved in Nov 2008
7. Reason for request and why it should be granted: Reasons are included in the summary
8. Identify the risks to the City in approving this waiver/modification: Minimal
-zx/
Department Head Signature Da e:
APPROVALS
Approvals must be obtained in the order listed on this form. Two approvals are required
for a request to be granted. Approval from the City Administrator's Office is only required if
Risk Managemenj-apd#he City Attorn y's Office disagree.
1\Rio Management
Approved ❑ Denied
Signature Date
2_ City Attorney's Office
Approved El Denied
Signature Date
3. City Administrator's Office
❑ Approved ❑ Denied
Signature Date
If approved, the completed waiver/modification request is to be submitted to the
City Attorney's Office along with the contract for approval. Once the contract has been approved,
this form is to be filed with the Risk Management Division of Administrative Services
Diehl Evans Ins Waiver 3/4/2005 8:58:00 ATA
Page 1 of 2
Lockhart, Janet
From: Bill Morgan [BiIIM@diehlevans.coml
Sent: Wednesday, March 04, 2009 9:04 AM
To: Lockhart, Janet
Cc: Amadril, Rick; Sedlak, Robert; Nitin Patel; jrisk@csgaudits.com; Villella, Dan
Subject: RE: Professional Services Agreement between City of Huntington Beach and Diehl,Evans & Company
Dear Ms. Lockhart:
By way of reminder, on our contracts with the City, we need the following amendments:
1. We need to execute an "Insurance and I ndemnification. Waiver Modification Request" with respect to the $ 50,000
deductible DE&CO has on our "Professional Liability" Policy.
2. We need a Waiver on the wording in Section 8 of the contract, whereby DE&CO will hold the City harmless except for
losses caused by the "sole" negligence or misconduct of the City.
When we receive these waivers, we will be able to finalize the contract.
Also, since we are the current City auditors, and since we recently executed a separate contract to review the City's
payroll controls, I assume you have current insurance certificates on file.
Thank you, Bill Morgan
From: Lockhart, Janet [mailto:JLockhart@surfcity-hb.org)
Sent: Wednesday, March 04, 2009 8:29 AM
To: Bill Morgan
Cc: Amadrii, Rick; Sedlak, Robert
Subject: Professional Services Agreement between City of Huntington Beach and Diehl,Evans & Company
Enclosed is the Cable Television Franchise Audit `Services Agreement for your review and signatures. Upon
completion of the following requirements, the agreement will be brought to the Finance Director for approval
and execution:
♦ Services Agreement Signatures
Initial and Sign the enclosed agreement. If the contractor is a corporation or a limited liability company
(includes any non-profit corporation), two (2) officers of the corporation (on the Board of Directors) must
sign the contract. One officer from column A and one officer from column B must sign
A
B
Chairman of the Board
Secretary
President
Any Assistant Secretary
Any Vice President
Chief Financial Officer
Any Assistant Treasurer
If the corporation cannot provide the above signatures, it may have one officer sign only if an authorizing
resolution from the Board of Directors is also provided-
3/4/2009
Page 2 of 2
Please return the signed agreements and submit all necessary insurance documents to our office as soon as
possible. If you have any question, feel free to call me at 714-536-5506.
Janet Lockhart
Senior Administrative Analyst
City of Huntington Beach - Central Services Division
Phone: 714-536-5506
FAX: 714-374-1530
3/4/2009
SU _its INSURANCE AND INDEMNIFICATION WAIVER.
z MODIFICATION REQUEST
EG f'(77D
1. Requested by: Robert Sedlak
2. Date: November 10, 2008��18 ���
3. Name of contractor/permittee: Diehl, Evans & Company city of Huntington BeaC4
City Attorneys Offica
4. Description of work to be performed; Payroll Audit Services
5. Value and length of contract: $8.900.00/one Year
6. Waiver/modification request: See Summary of Waiver Requests approved in March 2007
7. Reason for request and why it should be granted: Reasons are included in the summary
8. identify the risks to the City in approving this waiver/modification: Minimal
/j,Depa ment Head Signature Date:
APPROVALS
Approvals must be obtained in the order listed on this form. Two approvals.are required
for a request to be granted. Approval from —the City. Administrator's Office is only required if
Risk Management an th City Attomey's Office disagree.
1. Ri k Management '
Approved ❑ Denied �� $
Signature Date
2. City Attore
)kApproveLd[01enis
sigligtbje Date
3. City Administrator's Office
❑ Approved ❑ Denied
Signature Date
If approved, the completed waiver/modification request is to be submitted to the
City Attorney's Office along with the contract for approvai. Once the contract has been approved,
this form is to be filed with the Risk Management Division of Administrative Services
Diehl Evans Ins Waiver 11/10/2008 7:29:00 AM
Diehl Evans &c Cotn an
Summary of Waiver Regnests.
Contract Exceptions:
Section 8 — Hold Harmless
Request: Diehl, Evans & Company requests deletion of the following statement in the
first sentence.
"except such loss or damage which was caused by the sole negligence or will
misconduct of CITY, CONSULTANT will conduct all defense at its sole cost and expense
and CFY shall approve selection of CONSULTANT's counsel. "
Reason, The phrase "sole negligence or willful misconduction" appears to shield the
City from any liability if City official or employees were "partially" (but not solely)
negligent, or where the City was involved in misconduct, althought "not willful". The
firth does not customarily sign such agreements.
Insurance Waivers:
Section 9; Professional Liability Insurance
Request: Diehl, Evans & Company requests deletion of the following two sentences:
"The above mentioned Insurance shall hat contained a self -insured retention,
"deductible" or any other similar form of limitation on the required coverage except with
the express wrtten consent of the CITY. "
CONSULTANT shall noti y CITY of circumstances or incidents that might give rise to
future claims
Reason: The firm's insurance coverage for professional liability is $3,000,000 per
claiml$3,000,000 aggregate with a $50,000 deductible (see attached for a letter froiu
Diehl, Evans & Company).
Diehl Evans Waiver t of ! 2lZ8J1Qa7
ATTN:Janet Lockhart
Report Printed:August 17, 2009
Live Report : DIEHL, EVANS & CO L.L.P.
D-U-N-S@ Number: 03-060-2882
Trade Names: DIEHL EVANS
Endorsement/Billing Reference: jlockhart@surfcity-hb.org
D&B Address
Address 5 Corporate Park Ste 100
Moved From: 2121 Alton
Parkway Ste 100, Irvine, Ca
Irvine,CA - 92606
Phone 949 399-0600
Fax 949-399-0610
i
Company Summary
Score Bar
PAYDEX@ 78
Commercial Credit Score Class 1
Financial Stress Class 1
Credit Limit - D&B Conservative $25,000.00
D&B Rating 1R2
D&B 3-month PAYDEX@
3-month D&B PAYDEX®: 78
(Lowest Risk: 100; Highest RiskA)
When weighted by dollar amount, Payments to suppliers
average 3 Days Beyond Terms
D&B Company Overview
This is a headquarters location
Branch(es) or Division(s) exist Y
Manager
MICHAEL LUDIN,
MNG PTNR
Year Started
1925
Management Controll-I
1954 11,
Employees
45 (27 Here)
Financing
SECURED
SIC ....._
8721 , 8748
Line of business
Acctg/ auditing/
bookkeeping, bus
consulting srvcs, tax
return prepn srvcs.
NAICS
541219
History Status.
CLEAR
Location Type Headquarters
Web www.diehlevans.com
D&B PAYDEX@
Added to Portfolio:05/09/2009
D&B PAYDEX®: %H
(Lowest Risk: 100; Highest Risk: 1)
When weighted by dollar amount, Payments to suppliers
average 3 days beyond terms
Public Filings
The following data includes both open and closed filings
found in D&B's database on this company.
Record Type
Number of Most Recent
Records Filing Date....
Bankruptcies
0
Judgments
0
Liens
0 -
Suits
0
UCC's
7 06/05/08
The public record items contained herein may have
been paid, terminated, vacated or released prior to
todays date.
Financial Stress Score Class
Financial Stress Score Class:
(Lowest Risk: 1; Highest Risk:5)
Low risk of severe financial stress over the next 12 months.
I
Commercial Credit Score Class
Commercial Credit Score Class:
(Lowest Risk:1; Highest Risk:5)
Low risk of severe payment delinquency over next 12 months.
Small Business Risk Insight
Corporate Linkage
Branches (Domestic)
Company
DIEHL; EVANS & CO L.L.P.
DIEHL, EVANS & CO L.L.P.
Predictive Scores
Credit Capacity Summary
This credit rating was assigned because of D&B's assessment of the company's financial ratios and its cash flow. For more information, see the
" D&B Rating Key".
D&B Rating : 1 R2 Number of employees: 1 R indicates 10 or more employees
Composite credit appraisal: 2 is good
The 1 R and 2R ratings categories reflect company size based on the total number of employees for the business. They are assigned to business files that
do not contain a current financial statement. In 1 R and 2R Ratings, the 2, 3, or 4 creditworthiness indicator is based on analysis by D&B of public filings,
trade payments, business age and other important factors. 2 is the highest Composite Credit Appraisal a company not supplying D&B with current
financial information can receive.
Below is an overview of the company's rating history since 01-01-1991 Number of 45 (27 here)
D&B Rating Date Applied Employees Total:
1 R2 03-16-2005
03-11-2004
1 R2 11-13-2001
1A1 03-27-2000
2A1 09-18-1998
1 R2 05-16-1997
06-07-1995
ER4 01-01-1991
Payment Activity: (based on 43 experiences)
Average High Credit: $358
Highest Credit: $2,500
Total Highest Credit: $14,950
D&B Credit Limit Recommendation
Conservative credit Limit $25,000
Aggressive credit Limit: $45,000
Risk category for this business : LOW
This recommended Credit Limit is based on the company profile and on profiles of other companies with similarities in size, industry, and credit usage.
Risk is assessed using D&Bs scoring methodology and is one factor used to create the recommended limits. See Help for details.
Financial Stress Class Summary
The Financial Stress Class Summary Model predicts the likelihood of a firm ceasing business without paying all creditors in full, or reorganization or
obtaining relief from creditors under state/federal law over the next 12 months. Scores were calculated using a statistically valid model derived from
D&Bs extensive data files.
The Financial Stress Class of 1 for this company shows that firms with this classification had a failure rate of 1.2% (120 per 10,000), which is lower than
the average of businesses in D & B's database
Financial Stress Class: 1
(Lowest Risk:1; Highest Risk:5)
Low risk of severe financial stress, such as bankruptcy, over the next 12 months.
Incidence of Financial Stress:
• Among Businesses with this Classification: 1.20 % (120 per 10000)
• Average of Businesses in D&Bs database: 2.60 % ( 260 per 10000)
• Financial Stress National Percentile : 99 (Highest Risk: 1; Lowest Risk: 100)
• Financial Stress Score :  1561 (Highest Risk: 1001; Lowest Risk: 1875)
The Financial Stress Class of this business is based on the following factors:
• No record of open suit(s), lien(s), or judgment(s) in the D & B files.
• 10% of trade dollars indicate slow payment(s) are present.
• Control age or date entered in D & B files indicates lower risk.
Notes:
• The Financial Stress Class indicates that this firm shares some of the same business and financial characteristics of other companies with this
classification. It does not mean the firm will necessarily experience financial stress.
• The Incidence of Financial Stress shows the percentage of firms in a given Class that discontinued operations over the past year with loss to
creditors. The Incidence of Financial Stress - National Average represents the national failure rate and is provided for comparative purposes.
• The Financial Stress National Percentile reflects the relative ranking of a company among all scorable companies in D&Bs file.
• The Financial Stress Score offers a more precise measure of the level of risk than the Class and Percentile. It is especially helpful to customers using
a scorecard approach to determining overall business performance.
• All Financial Stress Class, Percentile, Score and Incidence statistics are based on sample data from 2004
Norms
National %
This Business
99
Region: PACIFIC
50
Industry: BUSINESS, LEGAL AND ENGINEERING SERVICES 52
Employee range: 20-99
80
Years in Business: 26+
74
This Business has a Financial Stress Percentile that shows:
Lower risk than other companies in the same region.
Lower risk than other companies in the same industry.
Lower risk than other companies in the same employee size range.
Lower risk than other companies with a comparable number of years in business.
Credit Score Class Summary
The Credit Score class predicts the likelihood of a firm paying in a severely delinquent manner (90+ Days Past Terms) over the next twelve months. It
was calculated using statistically valid models and the most recent payment information in D&Bs files.
The Credit Score class of 1 for this company shows that 2.0% of firms with this classification paid one or more bills severely delinquent, which is lower
than the average of businesses in D & B's database.
Credit Score Class : 1
(Lowest Risk:1; Highest Risk:5)
Low risk of severe payment delinquency over next 12 months.
Incidence of Delinquent Payment
• Among Companies with this Classification: 2.00 %
• Average compared to businesses in D&B's database: 20.10 %
• Credit Score Percentile : 98 (Highest Risk: 1; Lowest Risk: 100)
• Credit Score : 578 (Highest Risk: 101; Lowest Risk:670)
The Credit Score Class of this business is based on the following factors:
• No record of open suit(s), lien(s), or judgment(s) in the D & B files.
• Control age or date entered in D & B files indicates lower risk.
Notes:
• The Credit Score Class indicates that this firm shares some of the same business and payment characteristics of other companies with this
classification. It does not mean the firm will necessarily experience delinquency.
• The Incidence of Delinquent Payment is the percentage of companies with this classification that were reported 90 days past due or more by
creditors. The calculation of this value is based on an inquiry weighted sample.
• The Percentile ranks this firm relative to other businesses. For example, a firm in the 80th percentile has a lower risk of paying in a severely
delinquent manner than 79% of all scorable companies in D&Bs files.
o The Credit Score offers a more precise measure of the level of risk than the Class and Percentile. It is especially helpful to customers using a
scorecard approach to determining overall business performance.
o All Credit Class, Percentile, Score and Incidence statistics are based on sample data from 2004
Norms
National
This Business
98
Region: PACIFIC
52
Industry: BUSINESS, LEGAL AND ENGINEERING
SERVICES
49
Employee range: 20-99
69
Years in Business: 26+
79
This business has a Credit Score Percentile that shows:
Lower risk than other companies in the same region.
Lower risk than other companies in the same industry.
Lower risk than other companies in the same employee size range.
Lower risk than other companies with a comparable number of years in business.
Trade Payments
D&B PAYDEX®
The D&B PAYDEX is a unique, dollar weighted indicator of payment performance based on payment experiences as reported to D&B by trader references.
Learn more about the D&B PAYDEX Score
Timeliness of historical payments for this company.
Current PAYDEX is 78 Equal to 3 days beyond terms ( Pays more slowly than the average for its industry of generally within terms )
Industry Median is 80 Equal to generally within terms
Payment Trend currently is 0 Unchanged, compared to payments three months ago
Indications of slowness can be the result of dispute over merchandise, skipped invoices etc. Accounts are sometimes placed for collection even though
the existence or amount of the debt is disputed.
Total payment Experiences in D&Bs File
43
Payments Within Terms (not dollar weighted)
95 %
Trade Experiences with Slow or Negative Payments(%)
5.81 %
Total Placed For Collection
0
Average High Credit
$358
Largest High Credit
$2,500
Highest Now Owing
$2,500
Highest Past Due
$500
D& PAYDEX®: 78
(Lowest Risk:100; Highest Risk:1)
When weighted by dollar amount, payments to suppliers average 3
days beyond terms
3-Month D& PAYDEX®: 78
(Lowest Risk:100; Highest Risk:1)
Based on payments collected over last 3 months.
When weighted by dollar amount, payments to suppliers average 3 days beyond terms
D&B PAYDEX® Comparison
Current Year
PAYDEX® of this Business compared to the Primary Industry from each of the last four quarters. The Primary Industry is Acctg/auditing/bookkeeping,
bus consulting srvcs, tax return prepn srvcs. , based on SIC code 8721 .
Shows the trend in D&B PAYDEX scoring over the past 12 months.
9/0810/0811/0812/081/092/093/094/095/096/097/098/09
This Business 79 79 79 79 79 79 79 79 78 78 78 78
Industry Quartiles
Upper 80 80 80
Median 79 79 80
Lower 76 76 76
® Current PAYDEX for this Business is 78 , or equal to 3 days beyond terms
4
• The 12-month high is 79 , or equal to 2 DAYS BEYOND terms
• The 12-month low is 78 , or equal to 3 DAYS BEYOND terms
Previous Year
Shows PAYDEX of this Business compared to the Primary Industry from each of the last four quarters. The Primary Industry is
Acctg/auditing/bookkeeping, bus consulting srvcs, tax return prepn srvcs. , based on SIC code 8721 .
Previous Year
09/0712/07 03/08 06108
Q3'07 Q4'07 Q1'08 Q2'08
This Business
78 78 78 78
Industry Quartiles
Upper
80 80 80 80
Median
79 79 79 79
Lower
76 76 76 76
Based on payments collected over the last 4 quarters.
• Current PAYDEX for this Business is 78 , or equal to 3 days beyond terms
• The present industry median Score is 80 , or equal to generally within terms
• Industry upper quartile represents the performance of the payers in the 75th percentile
• Industry lower quartile represents the performance of the payers in the 25th percentile
Payment Habits
For all payment experiences within a given amount of credit extended, shows the percent that this Business paid within terms. Provides number of
experiences to calculate the percentage, and the total credit value of the credit extended.
$ Credit Extended
# Payment Experiences
$ Total Dollar Amount
% of Payments Within Terms
Over 100,000
0
$0
0%
50, 000-100, 000
0
$0
0%
15, 000-49, 999
0
$0
0%
5, 000-14,999
0
$0
0%
1, 000-4, 999
3
$4, 500
100%
Under 1,000
28
$6,600
83%
Based on payments collected over last 12 months.
For all Payment experiences reflect how bills are met in relation to the terms granted. In some instances, payment beyond terms can be the result of
disputes over merchandise, skipped invoices etc.
Payment Summary
There are 43 payment experience(s) in D&Bs file for the most recent 12 months, with 19 experience(s) reported during the last three month period.
The highest Now Owes on file is $2,500 . The highest Past Due on file is $500
Below is an overview of the company's dollar -weighted payments, segmented by its suppliers' primary industries:
Total
Total Dollar
Largest High
Within
Days Slow
Revd
Amts
Credit
Terms
<31 31-60 61-90 90>
Top Industries
Nonclassified
7
1,350
750
100
0 0
00
Misc business service
6
2,500
2,500
100
0 0
00
Telephone communictns
4
1,100
500
100
0 0
00
Admin economic prgm
4
200
50
100
0 0
00
Mfg misc office eqpt
3
1,050
500
76
0 2400
Short-trm busn credit
3
350
250
100
0 0
00
Misc equipment rental
2
750
0
100
0 0
00
Misc publishing
2
0
0
0
0 0
00
Executive office
1
1,000
1,000
100
0 0
00
Whol office supplies
1
1,000
1,000
100
0 0
00
Electric services
1
750
750
0
1000
00
Public finance
1
500
500
100
0 0
00
Rat mail-order house
1
250
250
100
0 0
00
Books-print/publish
1
100
100
0
1000
00
Radiotelephone commun
1
100
100
100
0 0
00
Insurance agent
1
100
100
100
0 0
00
Other payment categories
Cash experiences
1
100
100
Payment record unknown
3
3,750
2,500
Unfavorable comments
0
0
0
Placed for collections:
With D&B
0
0
0
Other
0
N/A
0
Total in D&Bs file
43
14,950
2,500
5
Accounts are sometimes placed for collection even though the existence or amount of the debt is disputed.
Indications of slowness can be result of dispute over merchandise, skipper invoices etc.
Payment Details
Date Reported Paying Record
(mm/yy)
07/09
Ppt
Ppt
Ppt
Ppt
Ppt
Ppt
Ppt
Plot
Ppt
Plot
Slow 30
06/09
Plot
Plot
Plot
Plot
Plot
Ppt
Ppt
Ppt-Slow 60
04/09
Ppt
03/09
Ppt
Ppt
Ppt
Ppt
02/09
Ppt
01/09
(026)
(027)
(028)
12/08
(029)
10/08
Ppt
Ppt
Ppt
08/08
Ppt
05/08
Ppt
Ppt
01/08
Ppt
12/07
Ppt
Ppt
Ppt
Ppt
-
Ppt
11/07
Ppt
09/07
Slow 15
High Credit Now Owes Past Due
($) ($) ($)
2,500
500
500
250
250
100
50
0
100
500
100
100
50
50
50
50
500
500
50
50
50
50
1,000
2,500
1,000
250
100
750
250
100
1,000
0
0
100
0
0
0
0
0
50
750
250
500
2,500
0
0
50
0
50
0
0
0
0
0
0
0
0
0
0
500
50
0
100
100
0
0
100
0
0
0
0
0
0
750
0
0
0
0
0
N3
0
0
0
0
0 N3
0
0
0
0
0
0
0
500
Last Sale
Selling
Within
Terms
(month)
1 mo
1 mo
1 mo
6-12 mos
6-12 mos
0
1 mo
2-3 mos
1 mo
6-12 mos
1 mo
0
4-5 mos
2-3 mos
6-12 mos
6-12 mos
4-5 mos
ON30
Cash
account
0
0
0
0
0
0
0
0
0
0
0
0
0
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
6-12 mos
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
1 mo
6-12 mos
6-12 mos
6-12 mos
6-12 mos
6-12 mos
6-12 mos
1 mo
Payments Detail Key: 030 or more days beyond terms
Payment experiences reflect how bills are met in relation to the terms granted. In some instances payment beyond terms can be the result of disputes
over merchandise, skipped invoices etc. Each experience shown is from a separate supplier. Updated trade experiences replace those previously
reported.
Public Filings
Summary
The following data includes both open and closed filings found in D&B's database on this company.
Record Type # of Records Most Recent Filing Date
Bankruptcy Proceedings 0
Judgments 0
Liens 0
Suits 0 -
U CCs 7 06/05/08
The following Public Filing data is for information purposes only and is not the official record. Certified copies can only be obtained from the official
source.
UCC Filings
Collateral Account(s) and proceeds - General intangibles(s) and proceeds - Computer equipment and proceeds
6
Type
Original
Sec. Party
CALIFORNIA BANK & TRUST, IRVINE, CA
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
0301360675
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2003-01-09
Latest Info Received
01/28/03
.............. I ............ ......._._..........._..........
Collateral
.... ............ ............... .................._:......_................................. ...:..._.:.
Account(s) and proceeds - Computer equipment and proceeds - General intangibles(s) and proceeds
Type
Original
Sec. Party
ELDORADO BANK, IRVINE, CA
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
9901560098
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
1999-01-07
Latest Info Received
01/22/99
Collateral
Leased Business machinery/equipment
Type
Original
Sec. Party
KONICA MINOLTA BUSINESS SOLUTIONS U.S.A, INC., PARK RIDGE, NJ
Debtor
DIEHL EVANS & COMPANY LLP
Filing No.
0413160380
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2004-04-30
Latest Info Received
05/26/04
_......._..._......................__...._._........_.._.........................:.._.:.........................................
Type
Continuation
Sec. Party
ELDORADO BANK, IRVINE, CA
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
0323000568
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2003-08-13
Latest Info Received
08/26/03
Original UCC Filed Date
1998-11-09
Original Filing No.
9832060318
Type
Continuation
Sec. Party
ELDORADO BANK, IRVINE, CA
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
0871603844
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2008-06-05
Latest Info Received
06/06/08
Original UCC Filed Date
1998-11-09
Original Filing No.
9832060318
..............................................................................................................
Type
...................................
Termination
Sec. Party
ELDORADO BANK, IRVINE, CA
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
03302C0705
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2003-10-24
Latest Info Received
11 /10/03
Original UCC Filed Date
1999-02-01
Original Filing No.
9904060393
...............—..... ............. ....................
Type
..................... ....................................... ............................:.:.......
Assignment
Sec. Party
ELDORADO BANK, TUSTIN, CA ZIONS CREDIT CORPORATION, SALT LAKE CITY, UT
Assignee
NO NAME AVAILABLE
Debtor
DIEHL, EVANS AND COMPANY, LLP
Filing No.
0103260680
Filed With
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date Filed
2002-03-04
Latest Info Received
03/12/02
Original UCC Filed Date
2001-01-25
Original Filing No.
0103260680
The public record items contained herein may have been paid, terminated, vacated or released prior to today's date.
Government Activity
Activity summary
Borrower (Dir/Guar)
NO
Administrative Debt
NO
Contractor
NO
Grantee
NO
Party excluded from federal program(s)
NO
Possible candidate for socio-economic program consideration
Labour Surplus Area YES (2009)
Small Business YES (2009)
8(A) firm NIA
The details provided in the Government Activity section are as reported to Dun & Bradstreet by the federal government and other sources.
Special Events
Special Events
09/05/2008
Business address has changed from 2121 Alton Parkway Ste 100, Irvine, CA, 92606 to 5 Corporate Park Ste 1 DO, Irvine, CA, 92606
11/02/2007
This business is located in an area at previous risk of fire damage from the Southern California wildfires. D & B has obtained information from published
reports that indicate there has been no major impact to commercial buildings in this area.
10/25/2007
This business is located in a FEMA designated disaster area which may be impacted by the California wildfires. The extent of impact to operations is
under investigation. We will provide additional information as it becomes available.
History and Operations
Company Overview
Company Name:
DIEHL, EVANS & CO L.L.P.
Doing Business As :
DIEHL EVANS
Street Address:
5 Corporate Park Ste 100
Moved From: 2121 Alton Parkway Ste 100, Irvine, Ca
Irvine, CA 92606
Phone:
949 399-0600
Fax:
949-399-0610
URL:
http://www.diehlevans.com
History
Is clear
Present management control
55 years
History
The following information was reported: 09/05/2008
MICHAEL LUDIN, MNG PTNR
THOMAS PERLOWSKI, MNG PTNR
HARVEY SCHROEDER, MNG PTNR
Officer(s):
CRAIG SPAKER, MNG PTNR
NITIN PATEL, MANAGING PTNR
ROBERT CALLANAN, PTNR
KENNETH AMES, PTNR
Business started 1925 by Ellis Diehl. Present control succeeded
Jan 01, 1954.
MICHAEL LUDIN. 1978 -present active here.
THOMAS PERLOWSKI. 1971-present active here.
HARVEY SCHROEDER. 1984-present active here.
CRAIG SPAKER. 1983-present active here.
NITIN PATEL. 1966-present active here.
ROBERT CALLANAN. 1999-present active here.
KENNETH AMES. 2003-present active here.
Business address has changed from 2121 Alton Parkway Ste 100, Irvine, CA, 92606 to 5 Corporate Park Ste 100, Irvine, CA, 92606.
Business Registration
CORPORATE AND BUSINESS REGISTRATIONS REPORTED BY THE SECRETARY OF STATE OR OTHER OFFICIAL SOURCE AS OF
Aug 05 2009
Registered Name:
DIEHL, EVANS AND COMPANY, LLP
Business type:
DOMESTIC LTD LIABILITY PTRSHIP
State of incorporation:
OREGON
Filing date:
Jul 21 2000
Registration ID:
76495085
Status:
INACTIVE
Where filed:
SECRETARY OF STATE/CORPORATIONS DIVISION, SALEM , OR
MICHAEL R LUDW PARTNER 1144 ORANGEGROVE ORANGE CA
Principals:
928670000
CRAIG W SPRAKER PARTNER 28 MUIRFIELD DOVE CANYON CA
926790000
Operations
09/05/2008
Business provides accounting, auditing and bookkeeping services. Provides business consulting services. Provides tax return
preparation services.
Description: ADDITIONAL TELEPHONE NUMBER(S): Facsimile (Fax) 949 399-0610.
Territory : Statewide.
Nonseasonal.
Employees: 45 which includes partners and 1 part-time. 27 employed here.
Facilities: Rents 7,500 sq. ft. in a two story building.
Branches: Maintains branch locations in Carlsbad, CA and Escondido, CA.
SIC & INAICS
SIC:
Based on information in our file, D& has assigned this company an extended 8-digit SIC. D&'s use of 8-digit SICs enables us to be more specific about a
company's operations than if we use the standard 4-digit code.
The 4-digit SIC numbers link to the description on the Occupational Safety & Health Administration (OSHA) Web site. Links open in a new browser
window.
8721 0000 Accounting, auditing, and bookkeeping
8748 0000 Business consulting, nec
7291 0000 Tax return preparation services
NAILS:
541219 Other Accounting Services
541618 Other Management Consulting Services
541213 Tax Preparation Services
Financial Statements
Additional Financial Data
The name and address of this business have been confirmed by D & B using available sources.
Request Financial Statements
9
Requested financials are provided by DIEHL, EVANS & CO L.L.P. and are not DUNSRight certified.
Key Business Ratios
D & B has been unable to obtain sufficient financial information from this company to calculate business ratios. Our check of additional outside sources also
found no information available on its financial performance.
To help you in this instance, ratios for other firms in the same industry are provided below to support your analysis of this business.
Based on this Number of Establishments 12
Profitability
Return on Sales
Return on Net Worth
Short -Term Solvency
Current Ratio
Quick Ratio
Efficiency
Assets/Sales
Sales / Net Working Capital
Utilization
Total Liabilities / Net Worth
UN = Unavailable
View Snapshots
View Snapshots
Industry Norms Based On 12 Establishments
This Business
Industry Median
Industry Quartile
UN
7.3
UN
UN
28.9
UN
UN
2.7
UN
UN
2.2
UN
UN
35.2
UN
UN
8.7
UN
U N
62.6
U N
This information may not be reproduced in whole or in part by any means of reproduction.
zOQS-2on9:bun & Bradstreet, nc.
...
o:
10
D&B Business Information k. ,,ort: DIEHL, EVANS & CO L.L.P_ Page I of 8
♦4D
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I Print this Report
Copyright 2009 Dun & Bradstreet - Provided under contract for the exclusive use of subscriber 098022862L
ATTN: jlockhart@surfcity-hb.org Report Printed: MAR 04 2009
In Date
BUSINESS SUMMARY
DIEHL, EVANS & CO L.L.P. Now > [rli�rlecl wlth this Rptirt
DIEHL EVANS
5 Corporate Park Ste 100 D&B's Credit Limit Recommendation
Moved From: 2121 Alton Parkway Ste 100, Irvine, Ca D&B's industry and risk -based limit guidance
Irvine, CA 92606 Learn More View Now
Payment Trends Profile
Payment trends and industry benchmarks
Learn More View ttow
This is a headquarters location. D-U-N-S Number: 03-060-2882
Branch(es) or division(s) exist.
Web site: www.diehievans.com
Telephone: 949 399-0600
Fax: 949 399-0610
Manager: MICHAEL LUDIN, MNG PTNR
Year started: 1925
Management 1954
control:
Employs: 45 (27 here)
History:
CLEAR
Financing:
SECURED
SIC:
8721
8748
7291
Line of
Acctg/auditing/bookkeeping, bus
business:
consulting srvcs, tax return preps
srvcs.
SPECIAL EVENTS
D&B Rating: 1R2
Number of employees: 111 is 10 or more
employees.
Composite credit 2 is good.
appraisal:
D&B PAYDEX@:
12-Month D&B PAYDEX: ��
When weighted by dollar amount, payments to
suppliers average 2 days beyond terms.
4 �T lea
120 days scow to days STOW Nompt Anticipates
Based on trade collected over last 12 months.
Enhanced�ay_ment trends and_industry
benchmarks are available on this_busine,�zs
09/05/2008
Business address has changed from 2121 Alton Parkway Ste 100, Irvine, CA, 92606 to 5 Corporate Park Ste 100,
Irvine, CA, 92606.
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D&B Business Information 1 brt: DIEHL, EVANS & CO L.L.P. Page 2 of 8
11/02/2007
This business is located in an area at previous risk of fire damage from the Southern California wildfires. D&B has
obtained information from published reports that indicate there has been no major impact to commercial buildings in
this area.
10/25/2007
This business is located in a FEMA designated disaster area which may be impacted by the California wildfires. The
extent of impact to operations is under investigation. We will provide additional information as it becomes available.
SUMMARY ANALYSIS
D&B Rating: 1R2
Number of employees: 1R indicates 10 or more employees.
Composite credit appraisal: 2 is good.
The 1R and 2R ratings categories reflect company size based on the total number of employees for the business.
They are assigned to business files that do not contain a current financial statement. In 1R and 211 Ratings, the 2, 3,
or 4 creditworthiness indicator is based on analysis by D&B of public filings, trade payments, business age and other
important factors. 2 is the highest Composite Credit Appraisal a company not supplying D&B with current financial
information can receive. For more information, see the D&B Rating Key.
Below is an overview of the company's rating history since 01/01/91:
D&B Rating Date Applied
1R2
03/16105
--
03/11/04
1112
11/13/01
1AI
03/27/00
2A1
09/18/98
1R2
05/16/97
--
06/07/95
ER4
01/01/91
The Summary Analysis section reflects information in D&B's file as of March 2, 2009.
MM Have DIEHL, EVANS & CO L.L.P: s payment habits changed over time?
A Payment Trends Profile will show you - View low
CUSTOMER SERVICE
If you have questions about this report, please call our Customer Resource Center at 1.800.234.3867 from anywhere
within the U.S. If you are outside the U.S. contact your local D&B office.
*** Additional Decision Support Available ***
Additional D&B products, monitoring services and specialized investigations are available to help you evaluate this
company or its industry. Call Dun & Bradstreet's Customer Resource Center at 1.800.234.3867 from anywhere within
the U.S. or visit our website at www.dnb.com.
HISTORY
The following information was reported 09/05/2008:
Management: MICHAEL LUDIN, MNG PTNR
THOMAS PERLOWSKI, MNG PTNR
HARVEY SCHROEDER, MNG PTNR
CRAIG SPAKER, MNG PTNR
NITIN PATEL, MANAGING PTNR
ROBERT CALLANAN, PTNR_:
KENNETH AMES, PTNR
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D&B Business Information It . 6rt: DIEHL, EVANS & CO L.L.P. Page 3 of 8
Business started 1925 by Ellis Diehl. Present control succeeded Jan 01, 1954.
MICHAEL LUDIN. 1978 -present active here.
THOMAS PERLOWSKI. 1971-present active here.
HARVEY SCHROEDER. 1984-present active here.
CRAIG SPAKER. 1983-present active here.
NITIN PATEL. 1986-present active here.
ROBERT CALLANAN. 1999-present active here.
KENNETH AMES. 2003-present active here.
Business address has changed from 2121 Alton Parkway Ste 100, Irvine, CA, 92606 to 5 Corporate Park Ste 100,
Irvine, CA, 92606.
CORPORATE FAMILY
Click below to buy a Business Information Report on that family member.
For an expanded, more current corporate family view, use D&B's Global Family Linkage product.
Suy Selected Repgrt(s)
Branches (US):
Diehl, Evans & Co L.L.P. Carlsbad, CA DUNS # 03-858-4058
Diehl, Evans & Co L.L.P. Escondido, CA DUNS # 78-300 7i15
Buy Selected Reports}
BUSINESS REGISTRATION
CORPORATE AND BUSINESS REGISTRATIONS REPORTED BY THE SECRETARY OF STATE OR OTHER OFFICIAL
SOURCE AS OF FEB 25 2009:
Registered Name: DIEHL, EVANS AND COMPANY, LLP
Business type:
DOMESTIC LTD LIABILITY
PTRSHIP
State of organization:
OREGON
Filing date:
JUL 21 2000
Registration ID:
76495085
Status:
INACTIVE
Where filed:
SECRETARY OF STATE/CORPORATIONS DIVISION, SALEM, OR
Principals:
MICHAEL R LUDIN, PARTNER, 1144 ORANGEGROVE, ORANGE, CA, 928670000
CRAIG W SPRAKER, PARTNER, 28 MUIRFIELD, DOVE CANYON, CA, 926790000
OPERATIONS
09/05/2008
Description: Business provides accounting, auditing and bookkeeping services. Provides business consulting
services. Provides tax return preparation services.
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D&B Business Information RL O'rt: DIEHL, EVANS & CO L.L.P.
Page 4 of 8
ADDITIONAL TELEPHONE NUMBER(S): Facsimile (Fax) 949 399-0610.
Territory : Statewide.
Nonseasonal.
Employees: 45 which includes partners and 1 part-time. 27 employed here.
Facilities: Rents 7,500 sq. ft. in a two story building.
Branches: Maintains branch locations in Carlsbad, CA and Escondido, CA.
SIC & NAICS
SIC:
Based on information in our file, D&B has assigned this
company an extended 8-digit SIC. D&B's use of 8-digit
SICs enables us to be more specific to a company's
operations than if we use the standard 4-digit code.
The 4-digit SIC numbers link to the description on the
Occupational Safety & Health Administration (OSHA)
Web site. Links open in a new browser window.
87210000 Accounting, auditing, and bookkeeping
87480000 Business consulting, nec
72910000 Tax return preparation services
D&S PAYDEX
NAICS:
541219 Other Accounting Services
541618 Other Management Consulting Services
541213 Tax Preparation Services
Enhanced pavment trends and iizdustry t enchmarks are available on this business
The D&B PAYDEX is a unique, dollar weighted indicator of payment performance based on up to 40 payment
experiences as reported to D&B by trade references.
3-Month D&B PAYDEX: 80 12-Month D&B PAYDEX: 79
When weighted by dollar amount, payments to When weighted by dollar amount, payments to
€ suppliers average within terms. ? suppliers average 2 days beyond terms_
i1 €� taa tr iR i6a
120 ctays stay 30 days slaw Prompt fAntiafpates 12D days stuvo $0 days slaw i'zampt Anticipates
Based on trade collected over last 3 months.
PAYMENT SUMMARY
Based on trade collected over last 12 months.
When dollar amounts are not considered, then
approximately 97% of the company's payments are
within terms.
The Payment Summary section reflects payment information in D&B's file as of the date of this report_
Below is an overview of the company's dollar -weighted payments, segmented by its suppliers' primary industries:
'total ; Total Dollar Largest HighWithin Days Slow
Rcv'd' Amts Credit Terms <31 31-60 61-90 90>
Top industries:
Misc business service 6 2,500 2,500 100 - - - -
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D&B Business Infonnation %,,,ort: DIEHL, EVANS & CO L.L.P. Page 5 of 8
Nonclassified 5
1,250
750
100 - - -
Telephone communictns 4
2,100
1,000
100 - - -
Mfg misc office egpt 3
1,100
500
91 9 - - -
Short-trm busn credit 3
350
250
100 - - - -
Whol office supplies 2,
1,100
1,000
100 - - - -
Misc equipment rental 2
750
0
100 - - - -
Executive office 1
1,000
1,000
100 - - -
Electric services 1 '
750 .
750
- 100 - -
Ret mail-order house 1
500
500
100 -
OTHER INDUSTRIES 9
450 _
100 :
100
Other payment categories:
Cash experiences 0
0
0
Payment record unknown 3
3,750 -
2,500
Unfavorable comments 0
0
0
Placed for collections:
With D&B 0
0 j
Other 01
N/A
Total in D&B's file 40
15,600
2,500
The highest Now Owes on file is $2,500
The highest Past Due on file is $50
D&B receives over 600 million payment experiences each year. We enter these new and updated experiences into
D&B Reports as this information is received.
How does DIEHL, EVANS & CO L.L;P.'s payment record compare to its industry?
A Payment Trends Profile will show you - View jVgw
PAYMENT DETAILS
Detailed Payment History
Date Reported
Paying Record
: High Credit Now Owes Past
Due Selling Terms
Last Sale
(mm/yy)
M
M
M
Within
(months)
02/09
Ppt
1,000
50
0 N30
1 mo
Ppt
500
500
0
1 mo
Ppt
500 t
50 i
50 :
1 mo
S?ow 30
100
0 i
0
6-12 mos
01/09
Ppt
250
0
1 mo
Ppt
500 =
0
1 mo
Ppt
2,500
2,500 `
0
1 mo
Ppt
1,000
0
0
6-12 mos
Ppt
500
0
0
2-3 mos
Ppt
500
0
0
2-3 mos
Ppt
100
0
0 N30
6-12 mos
Plat
100
0
0
1 mo
Ppt
50
0
0
2-3 mos
(014)
2,500 '
1 mo
.(015)
1,000
1 mo
(016)
250
1 mo
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D&B Business Information R- ,ort: DIEHL, EVANS & CO L.L.P.
Page 6 of 8
12/08
Ppt
250
100
0
1 mo
Ppt
50
0
0
1 mo
10/08
Ppt
750_
0.
0
1 mo
Ppt
250
100
0
1 mo
Ppt
100
100
0
1 mo
08/08
Ppt
1,000
1 mo
07/08
Ppt
100,
0 ;
0
Ppt
50 :
0 ;
0
6-12 mos
06/08
Ppt
50
1 mo
Ppt
50
1 mo
Ppt
s0 `
1 mo
Pot
50
I mo
05/08
Ppt
500 .
500
N30
1 mo
Ppt
0,
0
0
Imo
Ppt
0 .
0
0
1 mo
01/08
Pot
100
100
0
1 mo
12/07
Ppt
0
0
0
6-12 mos
Pot
0
0
0
6-12 mos
Ppt
0 s
0;
0
6-12 mos
Pot
0
0
01
6-12 mos
Ppt
0 %
0 :
0
6-12 mos
11/07
Ppt
50
0
0
6-12 mos
04/07
Slow 15
750
750
0
1 mo
02/07
Ppt
100
0 €
0 .
6-12 mos
Payment experiences
reflect how bills
are met in relation to the terms
granted. In some instances
payment beyond
terms can be the
result of disputes
over merchandise, skipped invoices etc.
Each experience shown is from a separate supplier. Updated trade experiences replace those previously reported.
PM Have DIEHL, EVANS & CO L.L.P.'s payment habits changed over time? t?j
A Payment Trends Profile will show you - View Now
FINANCE
08/30/2008
The name and address of this business have been confirmed by D&8 using available sources.
PUBLIC FILINGS
The following Public Filing data is for information purposes only and is not the official record. Certified copies can only
be obtained from the official source.
UCC FILINGS
Collateral: Account(s) and proceeds - General intangibles(s) and proceeds - Computer
equipment and proceeds
Type: Original
Sec, party: CALIFORNIA SANK & TRUST, IRVINE, CA
Debtor: DIEHL, EVANS AND COMPANY, LLP
Filing number: 0301360675
Filed with: SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
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D&B Business Infonnation R. ort: DIEHL, EVANS & CO L.L.P.
Page 7 of 8
Date filed:
Latest Info Received:
01/09/2003
01/28/2003
Collateral:
Account(s) and proceeds - Computer equipment and proceeds - General
intangibles(s) and proceeds
Type:
Original
Sec. party:
ELDORADO BANK, IRVINE, CA
Debtor:
DIEHL, EVANS AND COMPANY, LLP
Filing number:
9901560098
Filed with:
SECRETARY OF STATE/UCC DIVISION,. SACRAMENTO, CA
Date filed:
01/07/1999
Latest Info Received:
01/22/1999
Collateral:
Leased Business machinery/equipment
Type:
Original
Sec. party:
KONICA MINOLTA BUSINESS SOLUTIONS U.S.A., INC., PARK RIDGE, N7
Debtor:
DIEHL, EVANS & CO L.L.P.
Filing number:
077104069882
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
02/26/2007
Latest Info Received:
03/09/2007
Collateral:
Leased Business machinery/equipment
Type:
Original
Sec. party:
KONICA MINOLTA BUSINESS SOLUTIONS U.S.A, INC., PARK RIDGE, NJ
Debtor:
DIEHL EVANS & COMPANY LLP
Filing number:
0413160380
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
04/30/2004
Latest Info Received:
05/26/2004
Type:
Continuation
Sec. party:
ELDORADO BANK, IRVINE, CA
Debtor:
DIEHL, EVANS AND COMPANY, LLP
Filing number:
0323000568
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
DS/13/2003
Latest Info Received:
08/26/2003
Original UCC filed date:
11/09/1998
Original filing no.:
9832060318
Type:
Continuation
Sec. party:
ELDORADO BANK, IRVINE, CA
Debtor:
DIEHL, EVANS AND COMPANY, LLP
Filing number:
0871603844
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
06/05/2008
Latest Info Received:
06/06/2008
Original UGC filed date:
11/09/1998
Original filing no.:
9832060318
Type:
Termination
Sec. party:
ELDORADO BANK, IRVINE, CA
Debtor:
DIEHL, EVANS AND COMPANY, LLP
Filing number:
03302CO705
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
10/24/2003
Latest Info Received:
11/ 10/2003
Original UCC filed date:
02/01/1999 _
Original filing no.:
9904060393
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D&B Business Information K ; ort: DIEHL, EVANS & CO L.L.P.
Page 8 of 8
Type:
Assignment
Sec. party:
ELDORADO BANK, TUSTIN, CA ZIONS CREDIT CORPORATION, SALT LAKE CITY,
UT
Assignee:
NO NAME AVAILABLE
Debtor:
DIEHL, EVANS AND COMPANY, LLP
Filing number:
0103260680
Filed with:
SECRETARY OF STATE/UCC DIVISION, SACRAMENTO, CA
Date filed:
03/04/2002
Latest Info Received:
03/12/2002
Original UCC filed date:
01/25/2001
Original filing no.:
0103260680
The public record items contained in this report may have been paid, terminated, vacated or released prior to the
date this report was printed.
GOVERNMENT ACTIVITY
Activity summary
Borrower (Dir/Guar):
NO
Administrative debt:
NO
Contractor:
NO
Grantee:
NO
Party excluded from federal program(s):
NO
Possible candidate for socio-economic program consideration
Labor surplus area:
YES (2009)
Small Business:
YES (2009)
8(A) firm:
N/A
The details provided in the Government Activity section are as reported to Dun & Bradstreet by the federal
government and other sources.
Copyright 2009 Dun & Bradstreet - Provided under contract for the exclusive use of subscriber 098022862L
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1. Date: 8/28/2009
Professional service Contracts
Purchasing Certification
2. Contract Number: FIN 00903300
3. Department: Finance 4. Requested by: Robert Sedlak
5. Name of consultant: Diehl, Evans & Company, LLP
6. Attach the written statement of the specification, conditions, and other requirements for the requested
services provided to solicited consultants.
See Exhibit A
7. Amount of the contract: $10,000
8. Are sufficient funds available to fund this contract?" iYes ❑ No
9. Is this contract ge erally described on the list of professional service contracts approved by the City
Council? [Yes ❑ No
10. Business Unit and Object Code where funds are budgeted: 10035205
11. Is this contract less than $50,000? ® Yes ❑ No
12. Does this contract fall within $50,000 and $100,000? ❑ Yes ® No
13. Is this contract over $100,000? ❑ Yes ® No
(Note: Contracts requiring City Council Approval need to be signed by the Mayor and City Clerk. Make
sure the appropriate signature page is attached to contract.)
14. Were formal written proposals requested from at least three available qualified consultants?
❑ Yes ® No
15. Attach list of consultants from whom proposals were requested (including a contact telephone number).
N/A. Contract is less than $30K and is exempt from bid process as per MC 3.03.080(c).
16. Attach proposed scope of work.
See Exhibit A
17. Attach proposed payment schedule.
See Exhibit B
Department Head
"If the answer to this question is "NO," the contract will require approval from the City Council