HomeMy WebLinkAbout1998-08-04; City Council; 14816; The Mattox Group/@doc Agreement ApprovalCIF' OF CARLSBAD - AGENa4 BILL
RECOMMENDED ACTION:
Adopt Resolution No. 98 -3 79 , approving an Agreement with The Mattox
Group/@doc LLC to assist the City in preparation of a Citywide Records Management
Program and to provide Electronic Document Management Requirements Analysis,
System Design and Selection Assistance.
ITEM EXPLANATION:
In March, 1994, the City began work on replacement of it's financial information
system (FIS). The entire FIS project consisted of seven phases. The first six phases
are complete and Phase VI1 is well under way. Included in the seventh phase is the
replacement of the City Clerk's Legislative Indexing Program, which is approximately
10 years old and not Year 2000 compliant.
In preparation for replacement of the Legislative Indexing Program, the City Clerk's
staff began researching the available technologies for both enhanced retrieval and
storage of records. Staff in several other city departments were simultaneously
reviewing ways to deal with the inundation of records of all sizes, including maps, the
need to access and share information, and the ever increasing costs of document
storage space.
Therefore, a Records Management Committee was established with representatives
from thirteen city departments to review their similar needs for records storage, and
for use of the latest technology to organize and automate their records, forms and
maps. The Committee determined that, in addition to City Hall, there are a number of
facilities located throughout Carlsbad in which the city conducts business, and which
will require access to the information.
Once the Committee reached consensus regarding general requirements for the
citywide Records Management Program and the Electronic Document Management
and Information Resource Management System, it was determined that a consultant
was needed to assist with project, due to the size and complexity of the project and
technical issues that would need to be addressed.
The Records Management Program will provide a citywide method for evaluating and
tracking all types of records, provide a citywide Uniform Filing System and approved
Retention Schedule, and will provide an organized method for storage of necessary
records and disposition of other records at the appropriate time. The Electronic
Document Management System will allow departments to share and access
information stored electronically. This project will reduce records storage costs for
departments, and will improve their ability to retrieve information in a much quicker
and effective manner.
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The Committee has gone through a lengthy process to select an independent
consultant. First an RFI (Request for Information) was prepared and sent to various
consulting firms throughout the State. Eight responses were received and reviewed.
The price estimates varied widely, as did the thoroughness of the responses.
The responses did however, contain additional information for the Committee to
consider, including the recommendation that the city would be wise to implement a
citywide Records Management Program prior to automating any records.
The Committee also considered the option of utilitizing the State of California Master
Service Agreements to hire a consultant for this project, but determined that more of
our detailed concerns and requirements could be addressed if an RFP (Request for
Proposals) were issued.
An RFP was prepared and issued to various consulting firms located throughout the
State, on March 11, 1998. Two consulting firms submitted proposals by the deadline
of April 6, 1998. Both firms have excellent qualifications, and are well known in their
field. Both had previously submitted responses to our RFI , and both are also
qualified by the State of California under their Master Services Agreement. The cost
estimates in both proposals were very similar.
The Committee interviewed representatives of each firm during May, 1998. Based on
the interviews and reference checks, and after much discussion, the Committee
selected the firm of Mattox Group/@docLLC. Their firm specializes in government
consulting with California as their primary focus. The individuals assigned to our
project have a great deal of experience in both records management, document
management and imaging, performing costlbenefit analyses, developing functional
specifications and technical requirements, preparing RFP’S, and contract negotiation.
The services Mattox Group/@docLLC will provide are as follows:
Phase I:
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Phase 2:
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Review current city records operations and prepare a citywide
Records Management Program, including Legal References and
Authority, Procedures Manual, Uniform Filing System, and Retention
Schedule; and
Conduct a needs and requirements assessment, and provide a report
and recommendations for an Electronic Document Management
System, including the estimated cost for implementation.
Develop RFP for system, including appropriate vendor list for
hardware and software; and
Assist with evaluation of proposals, vendor demonstrations, and
make recommendations regarding proposed systems; and
Assist in contract negotiations with selected vendor(s), resulting in
approved contract(s) with implementation plan(s)
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PAGE 3, AGENDA BILL NO. 14, 81 6
The attached Agreement with Mattox Group/@doc LLC (Exhibit 2) contains additional
details of the contracted services and other background information about the firm.
At the completion of the consultant's services, the City will have selected hardware
and software and completed contract negotiations with the selected vendor(s). It is
anticipated that the consultant's work will take approximately six months. After
recommendations for hardware and software solutions are finalized, staff will return to
Council for authorization to award the contract(s) for system implementation.
FISCAL IMPACT:
The fees for the consultant are not to exceed $120,000, including all expenses.
Funds for this phase of the project have been budgeted, and are available in the City
Clerk's and the Financial Information Systems Budgets. ($58,000 in City Clerk's
Account No. 00102107490 and $62,000 in FIS Account No. 301 17107490).
EXHIBITS:
1. Resolution No. 98 - 2 39 , approving an agreement with The Mattox
Group/@docLLC to assist the City in preparation of a Records Management
Program and Electronic Document Management Requirements Analysis, System
Design and Selection.
2. Agreement with The Mattox Group/@docLLC.
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RESOLUTION NO. 98-279
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
CARLSBAD, CALIFORNIA, APPROVING AN AGREEMENT
WITH THE MATTOX GROUP/@DOC LLC FOR PREPARATION OF
A CITYWIDE RECORDS MANAGEMENT PROGRAM, AND
ELECTRONIC DOCUMENT MANAGEMENT REQUIREMENTS
ANALYSIS. SYSTEM DESIGN AND SELECTION.
WHEREAS, the City has implemented a financial information system to
incorporate the latest technology and is proceeding into Phase VII; and
WHEREAS, the need exists to replace the existing legislative history
indexing program which is not Year 2000 compliant and has been scheduled for
replacement as part of Phase VII; and
WHEREAS, there is also a great need to organize and automate other
types of city records, forms and maps; and
WHEREAS, the Records Management Program will help reduce the need
for offsite records storage for city departments; and
WHEREAS, the Electronic Document Management Program will allow
departments to share information stored electronically and will improve
employees’ ability to retrieve the information in a much quicker and effective
manner; and
WHEREAS, the Records Management Committee requested and
evaluated proposals from consulting firms; and
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WHEREAS, the Records Management Committee is recommending the
selection of The Mattox Group/@doc LLC, as the consulting firm to assist the
City with the above referenced tasks based on their qualifications, experience of
their personnel and competitive fees; and
WHEREAS, sufficient funds have been previously appropriated and are
available in the City Clerk and Financial Information Systems budgets.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of
Carlsbad, California, as follows:
1. That the above recitations are true and correct.
2. That the Agreement with the Mattox Group/@doc LLC to provide
professional services for preparation of a Records Management Program and
Electronic Document Management Requirements Analysis, System Design and
Selection is hereby approved.
3. That the City Council does hereby authorize the appropriation of
$58,000 from City Clerk’s Account No. 001021 07490, and $62,000 from the
Financial Information Systems Account No. 301 171 07490 for this project, and
authorizes staff to transfer the funds into the appropriate account.
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PASSED, APPROVED AND ADOPTED at a regular meeting of the City
Council on the 4th day of August , 1998, by the following
vote, to wit:
AYES: Council Members Lewis, Finnila, Nygaard, Kulchin and Hall
NOES: None
ABSENT: None
”
: A. LEW’S,.Mayor
ATTEST:
n ALETHA L. RAUTENKRANZ, City Clerk
(SEAL
AGREEMENT
THIS AGREEMENT is made and entered into as of the day of
August , 1998, by and between the CITY OF CARLSBAD, a municipal -
corporation, hereinafter referred to as "City", and The Mattox Group/@doc, hereinafter
referred to as "Contractor."
RECITALS
City requires the services of an independent Contractor. to provide the
necessary professional services for preparation of a Citywide Records Management
Program and Electronic Document Management Requirements Analysis, System
Design, and Selection; and Contractor possesses the necessary skills and qualifications
to provide the services required by the City;
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1. CONTRACTOR'S OBLIGATIONS
Contractor will provide professional services as stated in Section 3, Phases 1
and 2 of Contractor's Proposal, dated April 1 , 1998, (attached as Exhibit "A"); with the
timeline (attached as Exhibit 'W) which modifies Section 4 of the Contractor's Proposal;
and in accordance with the City's Request for Proposals, (attached as Exhibit "C"), as
modified on page 4.
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2. CITY OBLIGATIONS
The City shall provide the support requested by contractor, as outlined in Section
8 of Contractor's Proposal, dated April 1, 1998, (attached as Exhibit "A), with the
exception that office space, chairs, phones and filing cabinets will not be provided by
the City.
3. PROGRESS AND COMPLETION
The work under this contract will begin on September 9, 1998, or within ten (1 0)
days after receipt of notification to proceed by the City, whichever is later, and be
completed within three hundred and sixty (360) calendar days of that date. Extensions
of time may be granted if requested by the Contractor and agreed to in writing by the
City Clerk. The City Clerk will give allowance for documented and substantiated
unforeseeable and unavoidable delays not caused by a lack of foresight on the part of
the Contractor, or delays caused by City inaction or other agencies' lack of timely
action.
4. FEES TO BE PAID TO CONTRACTOR
The total fee payable for the services to be performed.for Phases 1 and 2 shall
not exceed $100,000, plus expenses; and expenses for the project (Phases 1 and 2)
shall not exceed 20% of the project cost, or $20,000; for a total maximum not to exceed
fee of $120,000, including expenses.
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No other compensation for services will be allowed except those items covered
by supplemental agreements per Paragraph 8, "Changes in Work." The City reserves
the right to withhold a ten percent (10%) retention until the project has been accepted
by the City.
5. DURATION OF CONTRACT
This agreement shall extend for a period of one (1 ) year from date thereof. The
contract may be extended by the City Manager for one (1) additional one (1) year
period or parts thereof, based upon a review of satisfactory performance and the City's
needs. The parties shall prepare extensions in writing indicating effective date and
length of the extended contract.
6. PAYMENT OF FEES
Payment of approved items on the invoice shall be mailed to the Contractor
within 30 days of receipt of the invoice. Payments shall be made on the basis of hours
of work completed: during the course of the project, and out-of-pocket expenses
incurred in accordance with the firm's proposal. Interim billing shall not cover a period
of less than a calendar month.
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7. FINAL SUBMISSIONS
Within fourteen (14) days of completion and approval of the City Clerk the
Contractor shall provide to the City the following deliverables for Phases 1 and 2 as
specified. in Section 3 of the Contractor‘s Proposal dated April 1. 1998, (attached as
Exhibit “A):
Phase 1:
e
e
e
e
e
e
e
e
e
e
Copy of presentation slides.
Summary of findings for each department.
Recommendations for uniform filing system.
Draft Records Management Manual.
Summary of conversion requirements for applicable departments.
Worktlows.
Validation of summaries.
Recommendations and system design.
Cosubenefit analysis.
Compilation of deliverables to date in report format (paper and electronic).
Phase 2:
RFP in paper and electronic form.
List of vendors with contact information.
Spreadsheet with weighted criteria.
Demo outline and scoring form.
Customer reference questionnaire.
Assistance in contract negotiation with successful bidder, resulting in
approved contract(s) with implementation plan@).
a. CHANGES IN WORK
If, in the course of the contract, changes seem merited by the Contractor or the
City, and informal consultations with the other party indicate that a change in the
conditions of the contract is warranted, the Contractor or the City may request a change
rev. 711 198
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in contract. Such changes shall be processed by the City in the following manner: A
letter outlining the required changes shall be fowvarded to the City by Contractor to
inform them of the proposed changes along with a statement of estimated changes in
charges or time schedule. A Standard Amendment to Agreement shall be prepared by
the City and approved by the City according to the procedures described in Carlsbad
Municipal Code Section 3.28.172. Such Amendment to Agreement shall not render
ineffective or invalidate unaffected portions of the agreement.
9. COVENANTS AGAINST CONTINGENT FEES
The Contractor warrants that their firm has not employed or retained any
company or person, other than a bona fide employee working for the Contractor, to
solicit or secure this agreement, and that Contractor has not paid or agreed to pay any
company or person, other than a bona fide employee, any fee, commission,
percentage, brokerage fee, gift, or any other consideration contingent upon, or resulting
from, the award or making of this agreement. For breach or violation of this warranty,
the City shall have-the right to annul this agreement without liability, or, in its discretion,
to deduct from the agreement price or consideration, or otherwise recover, the full
amount of such fee, commission, percentage, brokerage fees, gift, or contingent fee.
10. NONDISCRIMINATION CLAUSE
The Contractor shall comply with the state and federal laws regarding
nondiscrimination.
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11. TERMINATION OF CONTRACT
In the event of the Contractor's failure to prosecute, deliver, or perform the work
as provided for in this contract, the City ,Manager may terminate this contract for
nonperformance by notifying the Contractor by certified mail of the termination of the
Contractor. The Contractor, thereupon, has five (5) working days to deliver said
documents owned by the City and all work in progress to the City Clerk. The City Clerk
shall make a determination of fact based upon the documents detivered to City of the
percentage of work which the Contractor has performed which is usable and of worth to
the City in having the contract completed. Based upon that finding as reported to the
City Manager, the Manager shall determine the final payment of the contract.
This agreement may be terminated by either party upon tendering thirty (30)
days written notice to the other party. In the event of such suspension or termination,
upon request of the City, the Contractor shall assemble the work product and put same
in order for proper filing and closing and deliver said product to City. In the event of
termination, the Contractor shall be paid for work performed to the termination date;
however, the total shall not exceed the lump sum fee payable under paragraph 4. The
City Manager shall make the final determination as to the portions of tasks completed
and the compensation to be made.
12. CLAIMS AND LAWSUITS
The Contractor agrees that any contract claim submitted to the City must be
asserted as part of the contract process as set forth in this agreement and not in
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anticipation of litigation or in conjunction with litigation. The Contractor acknowledges
that if a false claim is submitted to the City, it may be considered fraud and the
Contractor may be subject to criminal prosecution. The Contractor acknowledges that
California Government Code sections 12650 et sea., the False Claims Act, provides for
civil penalties where a person knowingly submits a false claim to a public entity. These
provisions include false claims made with deliberate ignorance of the false information
or in reckless disregard of the truth or falsity of information. If the City of Carlsbad seeks
to recover penalties pursuant to the False Claims Act, it is entitled to recover its
litigation costs, including attorney's fees, The Contractor acknowledges that the filing of
a false claim may subject the Contractor to an administrative debarment proceeding
wherein the Contractor may be prevented to act as a Contractor on any public work or
improvement for a period of up to five years. The Contractor acknowledges debarment
by another jurisdiction is grounds for the City of Carlsbad to disqualify the Contractor
from the selection process. Minitiall
The provisions of Carfsbad Municipal Code sections 3.32.025, 3.32.026,
3.32.027 and 3.32.028 pertaining to false claims are incorporated herein by reference.
13. STATUS OF THE CONTRACTOR
The Contractor shall perform the services provided for herein in Contractor's own
way as an independent Contractor and in pursuit of Contractor's independent calling,
and not as an employee of the City. Contractor shall be under control of the City only
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as to the result to be accomplished, but shall consult with the City as provided for in the
request for proposal. The persons used by the Contractor to provide services under this
agreement shall not be considered empfoyees of the City for any purposes whatsoever.
The Contractor is an independent Contractor of the City. The payment made to
the Contractor pursuant to the contract shall be the full and complete compensation to
which the Contractor is entitled. The City shall not make any federal or state tax
withholdings on behalf of the Contractor or its employees or subcontractors. The City
shall not be required to pay any workers' compensation insurance or unemployment
contributions on behalf of the Contractor or its employees or subcontractors. The
Contractor agrees to indemnify the City within 30 days for any tax, retirement
contribution, social security, overtime payment, unemployment payment or workers'
compensation payment. which the City may be required to make on behalf of the
Contractor or any employee or subcontractor of the Contractor for work done under this
agreement or such indemnification amount may be deducted by the City from any
balance owing to the contractor.
The Contractor shall be aware of the requirements of the Immigration Reform
and Control Act of 1986 and shall comply with those requirements, including, but not
limited to, verifying the eligibility for employment of all agents, employees,
subcontractors and Consultants that are included in this agreement.
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14. CONFORMITY TO LEGAL REQUIREMENTS
The Contractor shall cause all documents, drawings and specifications to
conform to all applicable requirements of law: federal, state and local. Contractor shall
provide all necessary supporting documents, to be filed with any agencies whose
approval is necessary.
The City will provide copies of the approved documents to any other agencies.
15. OWNERSHIP OF DOCUMENTS
All plans, studies, sketches, drawings, reports, and specifications as herein
required are the property of the City, whether the work for which they are made be
executed or not. In the event this contract is terminated, all documents, plans,
specifications, drawings, reports, and studies shall be delivered forthwith to the City.
Contractor shall have the right to make one (I) copy of the plans for its records.
16. REPRODUCTION RIGHTS
The Contractor agrees that all copyrights which arise from creation of the work
pursuant to this contract shall be vested in City and hereby agrees to relinquish all
claims to such copyrights in favor of City.
17. HOLD HARMLESS AGREEMENT
Contractor agrees to indemnify and hold harmless the City of Carisbad and its
officers, officials, employees and volunteers from and against all claims, damages,
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losses and expenses including attorneys fees arising out of the performance of the
work described herein caused by any willful misconduct, or negligent act, or omission of
the contractor, any subcontractor, anyone directly or indirectly employed by any of them
or anyone for whose acts any of them may be liable.
18. ASSIGNMENT OF CONTRACT
The Contractor shall not assign this contract or any part thereof or any monies
due thereunder without the prior written consent of the City.
19. SUBCONTRACTING
If the Contractor shall subcontract any of the work to be performed under this
contract by the Contractor, Contractor shall be fully responsible to the City for the acts
and omissions of Contractor's subcontractor and of the persons either directly or
indirectly employed by the subcontractor, as Contractor is for the acts and omissions of
persons directly employed by Contractor. Nothing contained in this contract shall
create any contractual relationship between any subcontractor of Contractor and the
City. The Contractor shall bind every subcontractor and every subcontractor of a
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20. PROHIBITED INTEREST
No official of the City who is authorized in such capacity on behalf of the City to
negotiate, make, accept, or approve, or take part in negotiating, making, accepting, or
approving of this agreement, shall become directly or indirectly interested personally in
this contract or in any part thereof. No officer or employee of the City who is authorized
in such capacity and on behalf of the City to exercise any executive, supervisory, or
similar functions in connection with the performance of this contract shall become
directly or indirectly interested personally in this contract or any part thereof
21. VERBAL AGREEMENT OR CONVERSATION
No verbal agreement or conversation with any officer, agent, or employee of the
City, either before, during or after the execution of this contract, shall affect or modify
any of the terms or obligations herein contained nor entitle the Contractor to any
additional payment whatsoever under the terms of this contract.
22. Q
Subject to the provisions of Paragraph 18, “Hold Harmless Agreement,” all
terms, conditions, and provisions hereof shall inure to and shall bind each of the parties
hereto, and each of their respective heirs, executors, administrators, successors, and
assigns.
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23. EFFECTIVE DATE
This agreement shall be effective on and from the day and year first written
above.
24. CONFLICT OF INTEREST
The City has determined, using the guidelines of the Political Reform Act and the
City's conflict of interest code, that the Contractor will not be required to file a conflict of
interest statement as a requirement of this agreement. However, Contractor hereby
acknowledges that Contractor has the legal responsibility for complying with the
Political Reform Act and nothing in this agreement releases Contractor from this
responsibility.
25. INSURANCE
The Contractor shall obtain and maintain for the duration of the contract and any
and all amendments insurance against claims for injuries to persons or damage to
property which may arise out of or in connection with performance of the work
hereunder by the Contractor, his agents, representatives, employees or subcontractors.
Said insurance shall be obtained from an insurance carrier admitted and authorized to
do business in the State of California. The insurance carrier is required to have a
current Best's Key Rating of not less than "A-:V" and shall meet the City's policy for
insurance as stated in Resolution No. 91-403.
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A
A. Coveraaes and Limits.
Contractor shall maintain the types of coverages and minimum limits
indicated herein, unless a lower amount is approved by the City Attorney or City
Manager:
1. Comprehensive General Liability Insurance. $1,000,000 combined
single-limit per occurrence for bodily injury, personal injury and property damage. If the
submitted policies contain aggregate limits, general aggregate limits shall apply
separately to the work under this contract or the general aggregate shall be twice the
required per occurrence limit.
2. Automobile Liability (if the use of an automobile is involved for
Contractor's work for the City). $1,000,000 combined single-limit per accident for bodily
injury and property damage.
3. Workers' Compensation and Employer's Liability. Workers'
Compensation limits as required by the Labor Code of the State of California and
Employer's Liability limits of $1,000,000 per accident for bodily injury.
B. Additional Provisions.
Contractor shall ensure that the policies of insurance required under this
agreement contain, or are endorsed to contain, the following provisions.
1. The City shall be named as an additional insured on all policies
excluding Workers' Compensation.
2. The Contractor shall furnish certificates of insurance to the City
before commencement of work.
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3. The Contractor shall obtain occurrence coverage.
4. This insurance shall be in force during the life of the agreement and
any extension thereof and shall not be canceled without 30 days prior written notice to
the City sent by certified mail.
5. If the Contractor fails to maintain any of the insurance coverages
required herein, then the City will have the option to declare the Contractor in breach, or
may purchase replacement insurance or pay the premiums that are due on existing
policies in order that the required coverages may be maintained. The Contractor is
responsible for any payments made by the City to obtain or maintain such insurance
and the City may collect the same from the Contractor or deduct the amount paid from
any sums due the Contractor under this agreement.
26. RESPONSIBLE PARTIES
The name of the persons who are authorized to give written. notices or to receive
written notice on behalf of the City and on behalf of the Contractor in connection with
the foregoing are as follows:
For City: Title Assistant Citv Clerk
Name Karen R. Kundtz
Address 1200 Carlsbad Villaae Dr.
Carlsbad. CA 92008
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For Contractor: Title Manaaer
Name Addie Mattox
Address 573 East Anaela
Pleasanton, CA 94566
27. BUSINESS LICENSE
Contractor shall obtain and maintain a City of Carlsbad Business License for the
duration of the contract.
28. ENTIRE AGREEMENT
This agreement, together with any other written document referred to or
contemplated herein, embody the entire agreement and understanding between the
parties relating to the subject matter hereof. Neither this agreement nor any provision
hereof may be amended, modified, waived or discharged except by an instrument in
writing executed by the party against which enforcement of such amendment, waiver or
discharge is sought.
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Executed by Contractor this 30 day of , 192:-f’ .
CONTRACTOR:
fJuK A-z’rC@ (name of Contractor) v
By: (sign here)
(print name1title)
ATTEST:
City Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.)
(President or vice-president and secretary or assistant secretary must sign for
corporations. If only one officer signs, the corporation must attach a resolution certified
by the secretary or assistant secretary under corporate seal empowering that officer to
bind the corporation.)
APPROVED AS TO FORM:
RONALD R. BALL City Attorney
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knowledged to me that he/she/they executed
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capacity(ies), and that by his/her/their
signature(s) on the instrument the person(s),
or the entity upon behalf of which the
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WITNESS my hand and official seal.
SIGNATURE OF NOTARY
OPTIONAL
Though the data below is not required by law, it may prove valuable to persons relying on the document and could prevent
fraudulent reattachment of this form.
CAPACITY CLAIMED BY SIGNER
0 INDIVIDUAL
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0 PARTNER(S) 0 LIMITED
ATTORNEY-IN-FACT 0 TRUSTEE@)
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1
wmaIdoc.com
Consulting and Training in Document Technologies
Proposal to the City of Carlsbad
Consulting Services for
Electronic Document Imaging and Information Resource Management
April 1, 1998
Submitted by the Mattox Group/@doc
573 East Angela
Pleasanton, CA 94566
fax 510 - 485-9328
510 - 461-9297
Table of Contents
1. Company Background .................................................................................................... 2
2. Statement of Understanding ........................................................................................... 3
3. Methodology .................................................................................................................. 3
4. Timeline ......................................................................................................................... 7
5. Client References ........................................................................................................... 8
6. Our Project Team ......................................................................................................... 1 1
7. Fees .................................... ;................ ......................................................................... 11
8. Support Expected from the Ci ..................................................................................... I1
1. Company Background
The Mattox Group, a California corporation, has been consulting to user organizations for
22 years. Since 1987, we have specialized in document imaging and management. We
have an impressive list of public sector clients. Recently, the Mattox Group formalized
its relationship with four senior document management experts to form a new
organization called @doc LLC. We had been working together as independent
consultants for several years and decided that we could provide bcttcr service to our
clients if we formed a single firm.
Consequently, there arc four California-based @doc partners who work together
continually as a team. We are not a loose organization of individuals who benefit hm
marketing themselves as a company, but actually consult as independents. We arc hll
time, salaried partners with California as our geographic focus and govemment as our
primary industry.
We augment our staff with several highly respected independent document and records
management consultants who subcontract to us when we are awarded laxp contracts or
when specific expertise is required. This assignment requires expertise in rccords
management, so we have included two highly qualified records management consultants
on our project team.
We have bear dyzing requirements imd developing business cases for document
imaging and management for 10 years. We frequently develop strategies for our public
sector clients to manage idonnation more effectiveiy. This front end work has given us
extensive experience performing cost/benefit analyses, developing functional
specifications and technical requirements, and preparing RFPs.
Our contribution to your project would combine our expertise in woMow and process
redesign, codbenefit analysis and strategic planning for document system. We have
applied these skills to other government agencies and think we an well qualified for this
assignment.
2
The Mattox Group has qualified on the State of California Master Services Agreement for
Imaging and Workflow. We are certified as WE by the California Department of
Transportation.
The Mattox Group/@doc is not affiliated or compensated by any hardware, software
vendors or integrators. We do not sell software, hardware or integration services. Our
practice is totally dedicated to solving our clients’ information management problems.
2. Statement of Understanding
We understand the City intends to contract with qualified consultants to accomplish the
following in Phase 1 :
0 To develop a Citywide records management program: legal references and authority
for retention, retention schedule, uniform filing system with procedures manual to
assist users to use the system.
0 To identi@ Citywide requirements for document imaging and management
technology. The result will be a management report that summarizes system
requirements and analyzes the opportunities for increased productivity and better
public service potentially resulting fiom the introduction of new technology. The
report will contain cost estimates for the proposed technology and system support.
We will also deliver an implementation plan that outlines recommendations for a
phased implementation approach.
In Phase 2, we understand the consultants will:
0 Prepare an GP for a document management system.
0 Assist the City to evduate vendor responsg
0 Assist with contr& negotiations with the selected vendor.
Attend City Council Meetings throughout the project and/or assist City staff to
prepare presentation material for them.
3. Methodology
Our most successfi~l projects result fiom working closely with our client’s project team.
* If you have not already done so, we recommend selecting 6 - 10 managers from various
departments to function as reviewers throughout the project. We encourage City Clerk,
3
Information Systems, Human Resource~, Engineering or Public Works and Finance to be
included on the team.
Throughout the engagement, we request progress meetings with the project team to
discuss our findings and preliminary recommendations. Our goal is to produce a system
design that meets your requirements but contains no surprises. The final report should be
a summary of findings and recommendations already familiar to the project team.
Phase 1
We believe the City is wise to develop a records management program before automating
files. The industry is rich with disaster stones about organizations that spent significant
funds automating paper messes. Consequently, we complete the following activities in
developing an effective records management program.
0 Project kickoff presentations so that study participants are exposed to the concept of
effective records programs and are aware of technology options for mariaging
documents online. We also describe the interview process and explain the role of
study participants in the project and the questions we ask during interviews.
Deliverable - copy of presentation slides.
0 Conduct interviews and data collection in each department. The stiucturtd data
collection tools we Use provide information needed to design a records management
program as well as identify requirements for document management technology
(infomation shared among departments, documents needed by the public, master files
of contracts which may be helpfid in creating new documents, etc.). All organizations
require that records be managed, but few decide there is justification for converting
dl paper files to electronic ones. Document management systems typidly handle a
subset of all files. Dehrablc - sum- offindings for each dcporlmcrJ
Review mnt filing systems, security requirements, document formats, &. During
the interview process, our methodology includes soliciting opinions and experience
concerning filing inefficiencies, bottlenecks, hardcopy retrieval problems (c.g. lack of
space, multiple file formats, lost records, misfiles, "out-of-file" problems). We will
identi@ record types that are vital to City business, contain historically important
information, arc subject to access based on the Public Records Act, or are
confidential. Delkrablc - recommendations for uniform fiing system.
0 Review list of records types provided and conduct legal research to determine records
retention times and associated legal citations.
0 Prepare draft procedures manual describing Records Program maintenance activities
including Records Retention Schedule maintenance, active and inactive records
management, vital records protection, training, records transfer and disposition
requirements. Delivemble - drafl Records Management Manual
4
d
Identify requirements for conversion from film and/or paper to images. Deliverable -
sumnto~y of conversion requirements for applicable deprvmenrp
0 Document current workflows for major processes that will be impacted by the
document management system. Deliverable - workflows.
0 Analyze and summarize requirements for records management and automation in
each area; validate with department representatives as required. Deiivemble -
validate summaries.
0 Draft recommendations for a Citywide system design with appropriate alternatives *
with associated pros and cons. Recommendations will include proposed workflows
illustrating new ways of sharing information, discussions about staffresponsibilities
in light of technology, space considerations, interfaces with existing systems. We will
identify risks and constraints that might impact the success of the proposed system.
Deliverable - recommendations and system design
0 Obtain estimated hard-, sohare, interfaces, maintenance and conversion costs
and prepare cost/benefit analysis based on improvements anticipated and operational
savings. We have detailed spreadsheets with system components that we customize
for each client. Deiiverabie - cosanefd analysis
0 Finalize report which includes study results and proposed system functional
requirements. Much of this report will become sections of the RFP. Deliverablk -
compilation of deliwrables to date in reprt format in paper and elccbonic form
Phase 2
RFP
We have developed an extensive check list for preparing document management RFPs.
Recently, we have enhauced the functionality and cost sections of ow material to reflect
internetlintranet fimctions. In addition, we hue prepared detailed cost lists which bidders
must complete. We recommend providing electronic versions of the RFP to facilitate
bidders’ tesponses and to ensure complete, consistent responses.
We have been collecting terms and conditions that specifically relate to OUT industry.
This database is updated to reflect changing licensing trends, new technology, and hands-
on experience implementing systems.
0 Develop the RFT. We typically include the following sections:
- Introduction to the organization - Goals for the system and implementation phases
5
- Instructions to bidders - deadlines and format of responses - Tenn~ and conditions unique to document management systems - Vendor selection criteria - Scope of work and deliverables - Description of current work processes - Description of redesigned processes - Detailed information about input, storage and retrieval projections - Detailed description of current computing environment with requirements for
interfaces, if appropriate - Functional requirements - Technical requirements - Support expectations - Customer references - Cost spreadsheet
Deliverable - RFP irr paper and electronic form
Preparc a list of vendors that can deliver and support the proposed system.
Delivembk - list of vendors with contact informalion.
Develop an evaluation spreadsheet that corresponds to the RFP. We have a libmy of
such spreadsheets which we customize for each client. Deliverablr - spredheet
with weighted criteria.
Answer questions at bidders’ conference.
Once finalists have been selected, we will develop a system demonstration outline to
send to vendors and coordinate the demonstrations for the project team and others you
think should be involved. We will prepare a demo score sheet to ensure consistency
when rating each finalist. Deliverables - demo outhe and scoring fom8.
We will also develop a customer reference questionnaire and use it when chdg
vendors’ customer references. If there are customers nearby, we recommend visits to
these sites and using the questionnaire as an outline for the visit. Dekrde -
customer refikmtce qwcrtionnaue
Once the winner has been identified, we will assist the City’s Purchasing and Legal staff
to negotiate the contract. Typically, the vendor will submit an implementation plan; we
recommend tying payments to the deliverables on this plan once the deliverable has been
tested and accepted.
Phase 3
, We are available to assist with implementation and have provided other clients with the
following services:
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I- “
0 Project maaagement
0 Develop the system acceptance plan and assist in system testing.
0 Assist in managing the vendor relationship in terms of reviewing the implementation
plan and coordinating events and deliverables from the City’s side.
0 Review each vendor deliverable for completeness and accuracy.
0 We are particularly concerned about user training, procedures and system
documentation and would play an active role in reviewing user training materials and
documentation before training occurs. Some clients have asked us to participate in
training classes and develop new procedures which are incorporated into the training
Pro”
0 Develop performance measurement program to ensure program compliance
throughout the City after implementation, by means of annual audit reviews.
4. Timeline
Phase 1 - Analysis and design: records management program, electronic document
management requirements and system design
July 1 - September 25,1998
Phase 2 - RFP and vendor selection
RFP 2 weeks Sept 28-Oct 9
Bidders’ Conference 1 week Oct 19
Wait for responsu 3 weeks Oct ~O-NOV 6
Evaluate bids, select finalists
assumes 6 bidders 2 weeks NOV 9-20
Demos, check references 2 weeks NOV 23-Da 9
Select vendor, negotiate 2 weeks Dec 10-22
This schedule assumes there lire six bidders and that final negotiations take no more than
two weeks. We have experienced contract negotiations taking two months when both
legal departments objected to thorny terms and conditions.
7
5. C tient References
The Mattox Group has specialized in imaging and document management technology for
10 years and offer Several public sector clients as references. Selected clients of Ms. Nye
" . . are also included.
City and Counw ofDenuer - We are currently under contract with Denver to complete a
requirements study and codbenefit analysis in several key departments: Clerk-Recorder,
Assessment, City Attorney, Auditor, and Police. The scope of work includes analyzing
current work processes, identifying opportunities and requirements for document
management, system design, conversion requirements, and a detailed cost justification
analysis.
Addie Mattox, Bud Porter-Roth, and Brian Tuemmler comprise the project team. We
started this contract in March and will deliver our find report in May. As yet we have not
recommended a solution. Our fee for this work is $70,000. We have been asked to
submit a proposal for developing an RFP. Contact Chiquita Hysaw-McGowin, project
manager, Budget and Management Office, 303 - 640-3 140.
City of Mesa, Arizona - population is 350,000. We are currently under contract to assist
Mesa to implement a Saros-based system for Police Records and Courts. We completed
a Citywide feasibility study and recommended a phased implementation approach starting
with Police Records, then Courts and Prosecutor. We then completed a codbenefit
analysis and technical requirements for these departments. Next we identified and
interviewed potential solution providers and participated in vendor selection. We are in
the process of overseeing the integrator's work plan, system design, user interface, etc.
We began this assignment in 1996 and have consulted to the City of Mesa on ail phases
of the project. As with many of our clients, there have been delays in budget approval
processes, so months have transpired between project phases. Our fees have been about
$60,000. AddieMattox has been the primary consultant on this assignment, with
assistance from Brian Tuemmler during the data collection and analysis phase. Contact
Nathan Betz, project manager, Information Systems, 602 - 644-3605.
Santu Clam V4Jlcy Wbtrr DisW - We have consulted to the District in all phases of
their document mamgemat system. We first completed a records management plan for
engineering project rccoI(Is, then performed a feasibility study for document management.
We next wrote RFPs for document management and for conversation. We assisted with
vendor selection and have been working with the District to install pilot systems in three
user areas: Technical Services (engineering drawings), Real Estate, and Water Revenue
(part of Accounting). The. integrated system is based on Documentum, with Adobe
Capture as the fiont end.
It is interesting to note that the Water District uses HP mainframes for financial systems,
management system uses information on the mainframe for project documents indexing
- with the same Imaging Database as Carlsbad. The Water District's document
8
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fields. In Water Revenue meta data from the I-P-based WRIS system populates well file
. information for the document management system.
Addie Mattox has been the consultant responsible for this client. Our current
responsibility is to evaluate the success and impact of the technology in the pilot areas.
We have been working with the District for three years and have been awarded several
contracts for a total of around S 150,000. Contact Grant Bennett, Senior Project Manager,
408 - 265-2600.
State of Cal~ornia Board of Equalization - We completed a feasibility study for this
large organization that collects sales and use taxes from about one million tax payers.
Our assignment was to work with their staff to analyze the costs and benefits of document
imaging and ICR for tax returns and associated correspondence. Our contract was
extended to include the remittance processing requirements for Cashiering. We based
system costs on Unisys and BancTec systems, with ICR software fiom Wheb. This
project is currently waiting until year 2000 issues on existing systems arc fixed Denise
Tueder and Addie Mattox formed the project team. Our fees totaled arod $70,000.
Contact Ray Greenhouse, 916 - 323-3043.
County Reconfer Om- - Orange County, Sonoma County and Santa Clara County. We
completed feasibility studies for all three Recorder’s Offices which included cost/btnefit
analyses as well as system hctionai requirements. In Sonoma and Santa Clara, we
completed RFPs and w& involved in vendor selection for Santa Clara, where IBM was
selected.
For Sonoma, we developed a County-wide strategy for imaging to ensure that the County
followed a coordinated approach to this technology. We are currently under contract with
the Sonoma Recorder to assist them to select a vendor solution. Our fees were about
$40,000 and the current contract is for $25,000. Brian Tuemmler and Addie Mattox
comprise the project team. Contact Claire McCullough, Assistant County Recorder, 707 - 527-3246.
Universidy of Cd~ornh, we of the hexident - Ms. Mattox recently consulted to the
Benefits group in the role of technology advisor. This client has undertaken a
reengin- effort involving staff at all levels. Ms. Mattox was responsible for
providing technical direction based on the business goals and redesigned processes the
reengineering teams have identified. To date, FileNet’s IMS and workflow products,
internet, intranet and interactive voice technologies have been the basis for redesigning
information delivery. Date of engagement 1997 - present. Contract amount is $18,000.
Contact Myrna Walton, Director, Program Coordination Employee Benefits, 5 10 - 987-
053 1
Metropoiitan Wder DisM of Southern CuiiJornia - Ms. Nye completed a
comprehensive records inventory at over 20 sites of Metropolitan records in hatdcopy,
microfilm and electronic formats; developed a records retention schedule and coordinated
9
legal research into pertinent regulatory records keeping requirements; designed and
developed a database to collect inventory data and prepare the retention schedule using
the client's existing records management system, Cuadra Associates, STAR product. We
coordinated review and approval of the retention schedule with General Counsel's ofice
and prepared presentations to the Board, which resulted in the adoption of the records
program and approval of the retention schedule.
. Our contract was extended to include implementation of the retention schedule
throughout Metropolitan, to manage all records management databases in the Cuadra
STAR application softwart; and to develop a uniform filing classification system.
Barbara Nye, CRM has served as project manager of the project team throughout the
project. The project team completed the database, records inventory and retention
schedule on schedule and under the initial contract budget of $5 17,OOO. The scope of
work was expanded to a budget of $1.2 million. Contact Rita Mendoza, Records
213-217-6911.
City of Los Angela, Deportment of Water and Power - Barbara Nye completed a
comprehensive records inventory at sites over southern California; developed 28
computerized records retmtion schedules (one for each Division) and !mccessllly
coordinated approval through the City Attorney and City Council. We designed and
developed a mainfiame database to store and retrieve Department records accessible to all
sites and ova 5,000 employees. We developed and published several procadures
manuals including the Records Program Manual, Database Users' Manual, Records
Retention Center Operations and Vital RecorddDisaster Recovery Program Manuals.
We developed training programs and held courses for approximately 2,000 Department
staff. The initial contract budget was $5 million. Barbara Nye, CRM, served as Senior
Records Analyst hm 1987-1991 and was promoted to Project Manager. She served in
this capacity to project close in 19%. The scope of work was expanded over the life of
the project to a budget of $25 million. Contact Gary E. Wong, 213-367-1 522.
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6. Our Project Team
The Mattox Gmup/@doc employs only senior consultants and subcontractors. Addie
Mattox will serve as project manager. She will work closely with Brian Tuemmler and
Bud Porter-Roth on document management requirements, cost/benefit analysis, RFP and
vendor selection. Barbara Nye, working with Jean Caughell, will be responsible for the
records management portion of this engagement.
The Mattox Group has earned an excellent reputation for preparing sound business cases
for document management technology. Addie Mattox has been invited to speak at the
AIIM national conference on this subject for the past six years and was recruited by AIM
to write their white paper on preparing the business case.
Bud Porter-Roth is recognized in the industry as an expert in RFP preparation was hired
by AIIM to write their RFP guidelines (TR-27) and has been final editor for several AIIM
technical reports including human factors, printers, and monitors. ..
ADDIE MATTOX
Addie Mattox is the founder of the Mattox Group. She formed the firm in 1976 after
spending four years at IBM. Interspersed with her independent consulting career, Ms.
Mattox joined Coopers & Lybrand to set up a Southern California ofice automation
practice in 1983. In 1986, she spent a year with Arthur Young in San Francisco.
Ms. Mattox 's client list includes domestic and international companies, from a wide
range of industries including: utilities, law firms, banks, insurance companies, aerospace,
manufkcturing, research, petroleum, entertainment, health care and publishing. Her
government clients include state, city and county agencies, and the military. *
For the past ten years, the Firm has focused on document management technologies and
re-engineering. Ms. Mattox has extensive project management experience and also
hctions as senior consultant for her clients. Her skills include:
. :.
0
0
0
0
.a
Strategic pldg to incorporate imaging and document management into
information technology strategies
Feasibility studies for imaging and document management system
Requirements analysis for integrated information systems
Cost/benefit analyses
Workflow/re-engineering studies that identify current flows and projected flows
illustrating the potential impact of document management technology
Request for proposal preparation and vendor selection
Implementation planning and assistance: project management, procedures, training,
implementing and measuring pilot installations
Presentations and Publicatwns
Ms. Mattox has been a present& at AlIM national conferences for the past several years
as well as spoken at many technical conferences over the years.
Bringing the Business Case for Document Management to Senior Management,
AIIM 1994,1995,1996,1997
Document Management Systems and Intmnets, AIM 1996, 1997
Managing Documents on the Intranet, Documation, 1997
Case Studies in Workjlow, Documation West, 1998
Lessons Learned about Document Management Technology, Managing Electronic
Records, 1997
Nit& Gritty likperience with Document Managemendlmaging, AIIM, 1996,1997
whire Paper, Bringing the Business Caw to Munagement, AIIM Publications,
1997
MBA, Pepperdine University, Los Angeles
Graduate degree in English as a Second Language, UCLA
BA, California State University at Los Angeles
Mr. Porter-Roth has joined @doc as a partner after many succcssfu( years consulting with
his own firm, Porter-Roth Associates, a company specializing in document management
technology. Mr. Porter-Roth is responsible for development of document management
system strategies, cost-justification of systems, system requirements and feasibility
development, and request for proposal (RFP) development. Mr. Porter-Roth has been a
Frequent speaker and writer on document management technology in general and
specifically on development of RFPs, proposals, and cost-benefit analysis.
12
Citv of Carfrbad
" c? 11 e Manaaement Proposal
End-user work includes feasibility studies for commercial companies including financial
institutions, communications companies, retail department stores, and County
governments. Mr. Porter-Roth recently completed the second of two studies for the
California Court of Appeals. This project involved assessing the document management
workflow from the trial courts to the Court of Appeals and included a strategy for
addressing the document management and storage needs.
Prior to @doc and Porter-Roth Associates, Mr. Porter-Roth was a senior consultant with
TRW Financial Services and director of business development at Plexus Computers.
Representative ProjecB
California State Court of Appeals
The Court of Appeals requested two studies be performed on the appeals process. The
first project analyzed the documents involved in the appeals process, how those
documents are characterized, and how the documents could be transmitted and stored by
the Courts. The second project studied how the received electronic documents can be
used by the Court's staff during the process of writing an opinion. Both studies provided
the Court with recommended hardware and software vendors, implementation plans, and
recommendations on appropriate internal software for viewing and annotating court .
records.
County of Marin, Northern California
The County of Marin engagement was to provide a document management system study.
This study reviewed the operations of the Courts and recommended whether imaging
technology was feasible. The study also included a cost-benefits analysis, survey of
qualified vendors, model implementation plan', and a vendor recommendation.
Mr. Porter-Roth has written extensively for the document management industry is author
of AIIM's guide to writing a request for proposal (RFP) TR-27. Mr. Porter-Roth is also
author of the book, Proposal Development: How to Respond and Win the Bid, and has
written many articles for industry publications. *
Profmioad Associations
Association for Momation and Image Management (AIIM) - Trade Member
AIIM Master of Information Technologies
Certified Document Imaging Architech (CDIA)
AIIM Committee Chairman for Request for Proposal Guidelines (TR-27)
AlIM Committee Member.(past Chairman) for Optical Character Recognition
Education
BA, University of California, Berkeley
' Teaching Credential, University of California, Berkeley
13
Mr. Tuedm is a senior consultant with the Mattox Group and a partner in @doc and
offers over six years of experience assisting international clients in the areas of strategic
and information planning projects with an emphasis on new technologies such as
document management analysis, imaging, and workflow. He has experience in
identifying infomation and document management systems requirements and business
process innovations. He has worked in a variety of industries including oil & gas
exploration and operations, nuclear energy, government, research and with various
document management environments; including compliance, CAD, file management and
coordination, and re-engineering work functions.
Mr. Tuemmler‘s responsibilities include project management, fiurctional and technical
analysis and design, workflow design, architecture definition, development and
implementation of client-server based imaging systems. His expertise is in showing
clients the benefits of process improvement and technology enhancement while guiding
their organization through successful change management.
Representative Rojeclb
INTERNATIONAL OIL, COMPANY
Manager
Worked with company staff to design and develop an Enterprise-widd
Document Management strategy. Provided the project plan, direction and coordination of
the project team in the development of the Document Strategy. Conducted facilitations
with the 45 intewiewees comprising all the company’s departments to determine business
needs and requirements. Lad the project team in developing the strategy document
including strategic goals, tactical goals, project identification, and technology description
and infrastructure as well as the final presentation of the project to management.
Project managed the design and implementation of the production engineering Saros
EDMS for the refinery in Kazakstan. The system managed over 10,OOO engineering
drawings and 90,OOO rccords available through workstations and through the WEB.
Managed ~CSOU~C~S and customer satisfaction as well as wrote workflow redesign
recommendations. Designed and tested the system and wrote training materials and other
support deliverables
MAJOR U.S. CONSULTING COMPANY
Senior Consultant
Industry focus included: Government, Information Technology and Healthcan.
Coordinated and facilitated planning, analysis, design and implementation of a 200
person department reengineering project. The project included definition and design of
14
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Citv of Carbbad In.,de Mmaaement Proposal
supporting technologies including document management as well as process,
organizational and skill set changes. Responsible for the project management of an
Information TeChn010gy Strategic Plan development and Business Area Study. Designed
company Ncompass methodology for the "implementation phase" and "workflow
analysis" of a reengineering project; including the training program. Presented to various
groups and wrote an article on the integration of the reengineering practice with
automated workflow applications.
Clients included: Arizona Department of Transportation - Highways, Information
Technologies, and Remote Office Automation divisions; Health Partners of Southern
Arizona, City of Phoenix.
MTERNATIONAL DOCUMENT MANAGEMENT CONSULTING FIRM
consultant
Industry focus included: Oil & Gas, Nuclear and Electric Power and Government.
Performed requirements analysis and facilitated meetings to determine imaging and
document management wowow and office information needs in the following
environments: oil exploration and operations, including engineering drawing, procedures
manuals, change orders; accounting, including invoice processing and contracts
development; Electronic Document Distribution over a wide area for electrical power
production; file maintenance and retention.
Project managed implementation of 250 seat imaging, full-text search, engineering
drawing maintenance system for Nuclear Waste company. Analyzed, summarized and
presented data for the cost/benefit justification of document management systems. Wrote
RFPs for: 250 seat imaging, full-text search system; accounts payable imaging and
worldlow system; and public records access imaging system. Designed system for
management of engineering CAD documents over several remote locations.
Clients include: Hamilton Oil, Occidental International Oil and Gas, Amow UK, UK
Nirex Ltd., Electric Power Research Institute, Sonoma County Recorder, City of Mesa
MTERNATIONAL SOFTWARE PRODUCTS COMPANY
Localization Pmject Manager
Managed the tocalizationltranslation of dBase and Paradox for the Latin American
market; including translation engineering, manuals, help files, sample file in Spanish and
Portuguese. SeIccted and managed vendors for translation, artwork and printing.
Scheduled and implemented the manufacturing, production and inventory of database
products. Provided methodology changes to allow consideration of localization issues in
the design of software.
Language: English, Spanish, basic French and basic Russian
CASE and Workflow Tools: Design IDEF, Service Model, ADW
15
Methodologies: IDEFO, BAA, BPI, BPR, ISP, Ncompass
Educafwn
Monterey Institute of International Studies, hf. B. A., International Management, 1991
University of California at Santa Barbara, B. A., Political Science, International
Relations Focus, 1987
BARBARA NYl%
Ms. Nye has over 23 years of experience in the management of records and information
systems. She is a Certified Records Manager whose experience includes the design,
development and administration of records and information management systems in the
public utility, municipal water agency, state agency, manufacturing, engineering,
construction, and nuclear industries, including three high-level U.S. Department of
Energy projects. Her background also includes experience in the development of
infoxmation management resources, database design and implementation workflow
analysis, training programs, procedures development and image management.
Ms. Nye was project manager of the team pre-qualified by the State of California, Office
of Momation Services to provide Records Management Consulting services for all Stafe
agencies. She is cmtly enrolled in course work toward the AIIM-sponsored Certified
Document Imaging Architech (CDIA) designation.
IndeDendent Consultant. ICTUS, Sierra Madre, CA
(March 1998 - Present)
As independent records and information management consultant, affiliated with File Pros,
Inc., a woman-owned busii located in Orange County, California, responsible for
business development and project management including:
Consulting on redesign of filing classification system and workflow analysis as part of
moving corporate headquarters equipment and space planning needs project, for
Corporate Legal -t of First American Title hurance Company, Santa Ana,
California.
Consulted on filing system and records retention requirements for Aura Systems, Inc.,
Legal Department, a high technology firm in Los Angeles, California
Consulted on filing system and records retention requirements for San Bemardino County
Association of Governments in San Bemardino, California.
16
STONE & WEBSTER ENGMEERING CORPORATION Boston, / LOS Angeles,
CA (February 1987 - March 1998)
As PROJECT MANAGER for the Metropolitan Water District of Southern California,
responsible for the design, development and implementation of a comprehensive mor&
management program, including development of a District-wide records retention
schedule, vital and historical records protection. Oversee maintenance and enhancements . . of client records management systems including retention schedule, archives, file
classification, and legal researih databases, and library management system. Assist client
in logistics of major transfer of inactive records to offsite storage warehouse; lead
Indexing Task Force for Electronic Document Management System (EDMS),
coordinating study for perfonning in-house imaging service for EDMS; and conducting a
needs assessment for the Legal Library data management system.
As PROJECT MANAGER for the California State Department of General Services,
responsible for the management of projects under the Master Services Agre!cment for
Records Management Consulting (MSG 6009). Projects included an alternatives anaIysis
of commercially-available sohare packages for inactive records warehouse management
and development and presentation of a seminar on electronic records management of
State records.
As PROJECT MANAGER for the Los Angeles Department of Water and Power,
responsible for enhancing Department usage of the established Records Management
Program (RMP) by applying automated resources and providing services to other City
agencies. Completed design and implementation of a comprehensive RMP including:
program management; development of RMP resources (e.g., a records retention schedule
database, RMP manual, a vital records program, and a disaster recovery program);
installation analysis to determine how an integrated records management p~ogtam should
be installed within each Division; the development of an RMP functional specification
addressing all operational needs of the system; operations of the Records procesSing
Center, an evaluation of the alternatives available to meet the needs identified in the RMP
functional specification; and feasibility study for imaging systems.
Scope of work included ongoing evaluation of information technologies, including
database management systtny image management systems, and electronic records
management to determine their applicability to the RMP and automation of client work
process.
As PROJECT MANAGER for the Orange County Transportation Authority, responsible
for the “Micrographics and Imaging Feasibility Study”. This study provided
recommendations .to the Authority concerning the appropriate application of imaging
techniques to improve productivity and records protection.
As Manager of the Los Angeles Ofice - Responsible for general office management
including all human resources, ofice leasing, business development, telecommunications
and procurement activities.
17
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EFFECTIVE SOLUTIONS. PIC.. SAN FRANCISCO. CA
(September 1984 - February 1987)
As CONSULTANT, responsible for the performance of work on three high-level U.S.
Department of Energy projects. Participated in development of senior-level project
documents needed to implement a systems engineering approach to project management,
and evaluated the impact of this approach on records and information management
systems.
As CONSULTANT to the Facility Projects Division of International Technologies
evaluated existing records system. Recommended improvements to establish sufficient
control and responsiveness to local, state, and federal health, safety and hazardous waste
management regulations.
MORRISON-KNUDSEN ENGINEERS (INTERNATIONAL ENGINEERING
COMPANY - IECO). SAN FRANCISCO, CA (July 1982 - September 1984)
As RECORDS MANAGER, developed and managed corporate and client management
and document control systems for international consulting engineering firm including
micrographics needs assessments, database design on mini- and microcomputers and in-.
house archival records service center.
Developed project engineering document control systems designed to mat NQA-1
standards for MKE's participation in U.S. Department of Energy Uranium Tailings
Remedial Action (UMTRA) project.
GATEWAY SYSTEMS. MC.. SAN FRANCISCO. CA (August 1981 - July 1982)
As APPLICATIONS ANALYST responsible for the design and implementation of
records and information management systems. Major projects included analysis and
design of records management systems for Georgia Power Plant Alvin Vogtle and for
Apple Computers.
LEV1 STRAUSS & CO.. SAN FRANCISCO. CA (October 1980 - August 1981)
As RECORDS SYSTEM AUDITOR, responsible for auditing compliance to Corporate
Records Management Program. Prepared audit plans, conducted audits and compiled
reports of domestic and international records system status. Prepared, edited and issued
Corporate Records Management Manual.
Educahon
University of California, Berkeley, BA Comparative Literature
University of California, Los Angeles, Various cow in system documentation,
' computer interface design, database design and programming, and imaging systems.
18
t
Certified Records Manager (CRM) - 1979, recertified in 1993.
Certified Document Imaging Architect (CDIA) (In progress)
German Language Proficiencf (Zertificat Deutsch als Fremdsprache (ZDAF)), Goethe
institute of San Francisco - 1997
Association of Records Managers and Administrators, Greater Los Angela Chapter
(ARMA) - Vice President / President-Elect
Association of Records Managers and Administrators, Greater Los Angela Chapter
(ARMA) - Board Memk since 1995
ARMA - E-Mail Records Management Guidelines Committee, Member
Association of Information and Image Management (AIIM) - Member
Institute of Certified Records Managers - Member (Certified by Examination, 1979; Re-
certification completed 1993)
Institute of Certified Records Managers - Examination Grader
“Electronic Records Management for the State of California” 1997
“Identitjling Electronic Records for the Records Retention Schedule“ 1996
“Paperwork Management: A Panel Discussion”, Greater Southem California
Government and Business TechExpo, 1996.
19
“Best Practices: Electronic Records Management at the Los Angeles Department of
Water & Power,” Greater Southern California Government and Business TechExpo,
1995.
Contributor, “Application of Systems Engineering Methods to Development of
Information Resource Management Programs”, Waste Management Conference 1987.
‘Why File It?: Records Storage & Retrieval Strategies,” University of California
Extension, Berkeley, California, Records Management Seminar, 1982.
“Records Turnover: A Critical Path Method Approach,” Nuclear Records Management
Association Annual Symposium, Houston, 1980.
JEAN CAUGHELL
Ms. Caughell has recently retired from a 29-year career with Occidental Oil and Gas
Corporation, with worldwide headquarters in Bakersfield, CA. Throughout her career
with Oxy, she has been involved in the development of records and information
management, from origination of documents and technical data, appropriate distribution
of information, easily retrievable filing systems, and finally, their ultimate legally
prescribed retention andor destruction.
Ms. Caughell and her staffpublished an Wonnation Management manual which was
endorsed by Oil an Gas Corporate management. The responsibility of implementing
these document management procedures at the Bakersfield headquarters and in all it
foreign subsidiaries was delegated to Ms. Caughell and other highly trained personnel in
the Information Systems and Services department. High priority was given to applying
technology to these procedures according to phased approaches, providing current
eficiencies as well as flexibility to more ahead as new technologies evolve and become
cost efficient.
When Oxy decided to investigate the feasibility of imaging technology, Ms. Caughell
hired the Mattox Group to assist her with severd projects including a strategic document
management plan for the North Sea Operations, Relocation Department in Tulsa,
Exploration d Engineering in Bakersfield, and the Lima, Peru Operation. Ms. Caughell
worked closely with the consulting team in all phases of the requirements analysis and
cost/benefit study. She researched the vendor market place and made recommendations
to management for a phased system implementation.
Ms. Caughell participated in most of Oxy’s foreign subsidiary ofice set-ups, with
responsibility for Administrative Services, which includes information management as
well as many other services.
20
c .-
7. Fees
Our billing rate is $125 an hour plus expenses.
Fees for this project will be:
0 Phase 1 - records management program and electronic records system requirements;
hours and fees for this phase are divided equally between the records management
program and electronic document management system requirements.
480 hours @ $125 = 560,000
0 Phase 2 - RFP and vendor selection.
320 hours @ $125 = $40,000
Our "not to exceed" fec is $ 100,OOO. Expenses are billed in addition to fees.
We have contacted several condo complexes and find that timing for this project falls in
the middle of the tourist season. There appear to be few properties for rent and extremely
high prices for those.available. Perhaps the City would have some recommendations.
We typically add 1 OO? to our fee for expenses. However, in this situation, 15% may be
more realistic. $lOO,OOO + 15% = $1 15,000.
8. Support Expected from the City
- .*
We request the following support hm the City:
e
e
e
e
e
e
e
Project team participation in progress meetings.
Cooperation of City staf€ for interviews, validation, and data collection.
Access to dm IS and network staff available to collaborate on mainfuame and
networking issues.
Support staffto set and maintain interview schedule, __-_. __ __ _.
Office wi d?- desks, chairs, phones and one filing cabinet or shelf during data !
collection wxj validation. -"
Co-sts for existing operations as requested during data collection -
organization charts, space, copier costs, filing cabinets, etc.
Descripaon of existing computer platforms (hardware and SO-) and written
network schematic.
Written description of mainframe, hardwart, software.
.
21
0 Written description of systems that may be integrated with document management,
0 Standard terms and conditions for sohare and hardware acquisition (we will provide
0 Background information about the City to be placed in the EWP
such as GIs.
specialized terms and conditions).
Thank you for considering OUT services. If you have questions, please contact Addie
’ Mattox at 707 - 935-0753, fax 707 - 938-4875, email amattox@atdoc.com
22
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mIBIT "B"
.... ... .... .. .... .... .... .t.. .... .... .... .... .... .... ... .... .... .... ... .... ... .... ....... , ....... .+ ....... $ ....... ' ....... .... .,.. .... .... ....
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..............
REQUEST FOR PROPOSALS FOR ELECTRONIC DOCUMENT
IMAGING AND INFORMATION RESOURCE "BNT
. CONSULTANT
The City of Carlabad (City) invites your proposal to perform
professional services as an independent electronic document
imaging and information resource management consultant to
the City. The primary purpose for retention of a consultant
is to assist the City in developing a Citywide Records
Management Program; performing a need8 and requirements
analysis; and preparing a Request for Proposals for an
electronic imaging and document management automation
system. In addition, the consultant will be required to:
I. ) analyze the proposals and provide recommndatione; 2. )
assist in the interview of vendors. and demonstrations of
potential systems; and 3.) assist with the final contract
negotiations with the selected vendor.
All questions regarding this proposal should be directed to
Karen Kundtz, Assistant City Clerk, City of Carlsbad, at
(760) 434-2917.
Carlsbad is located 35 miles north of the City of San Diego,
on the southern California coast. The City semes an area
of approximately 42 square miles and has a population of
over 70,000 . Industries in the area include a major
regional shopping center, 22 auto dealers, 24 hotels,
several businem and light industry parks and numerous land
developers building single and multi-family housing in a
variety of comrmnity settings. Prior to the recession,
Carlsbad warn .one of the fastest growing communities in San
Diego County. Growth has slowed over the last several
years, but has picked up again with the recovery in the real
estate industry. It is anticigated that build-out will
occur in 25 to 30 years, with an ultimate population of
approximately 135,000.
1
1200 Carlsbad Village Drive Carfsbad. CaYfomia 92008-1989 (760) 434-2808 @
, /
C. i
Carlsbad is a general law City incorporated in 1952. The
City is governed by a five member City Council, under the
Council/Manager form of government. The City currently has
approximately 500 full time employees. For fiscal year
1997-98, the projected combined operating budget for the
city is in excess of $82 million with a capital budget of
approximately $66 million. The City-provides a full range
of services including police, fire, parks and recreation,
library, planning and engineering, various maintenance
services, and administration. The City provides water and
sewer services through the Carlabad Municipal Water District
(CMWD), a subsidiary district of the City.
In addition to City Hall, there are a number of facilities
located throughout Carlsbad in which the City :conducts
businesa. Many of these facilities will require accesa to
the electronic image management system. .
Rmcord8 Si-
The city of Carlsbad (including the Municipal Water
District) currently has:
0
0
0
0
Scattered site8 throughout the city (See enclosed
Facility Finder)
Each department haa its own filing system
Some departments have records retention schedules
Each department controls its own files
Each department has offsite 'files (in different
locations)
A few departments have some files on micro fiche
Sonw departments have never filmed any documents and ham yearm of old files in storage
Record8 are in a variety of sizes and include large
lrrapa
Carlabad Municipa.1 Water District has maps scanned
in TIP format
2
Novel1 WAN Network V4.11
e Primary applications are Microsoft Office V7 and
GroupWise V5.1
0 Seven seners in a routed wide area T1 Citywide
network
0 350 Windows 95 clients on Pentium PC's
HP3000 Series 70
0 Applications include utility billing, fleet
management, business license, and recorda management.
All applications utilize HP'e Image database; .All
application8 will eventually be transferred to the
HP9000 K210. (within two years)
0 90 users from all City departments
0 ACCea8 via terminal emulation on Citywide network
HP9000 K210
0 Applications include general ledger, account8
payable, human rcsources, purchasing, payroll, and
pemita. All application8 use Informix database.
64 user license
0 Accc9ls via terminal emulation on Citywide netivork
HP720 UNIX Workstation with an attached HP X-Station
0 Only application is the Geographic Information
Syetem (01s) using ARC/Info by ESRI
2 usera in' 01s department
0 Connected to the Novel1 network for file and print
service.
3
miatincr Commuter Svstemm (Continued):
(2) DEC VAX 4100
0 Only application is Computer Aided Dispatch system by
PRC
0 30 users in public safety only
0 Access provided via dedicated terminals and terminal
emulation on network
HP3000 935
Reuuirmnenta for New Svstem:
Only application is DRA/INLEX 3000, an integrated
library catalogue circulation system
60 users from library and other city departments
Access via dedicated terminals, terminal emulation on
citywide network, and via Internet (to authorized local
public libraries only)
0 Provide a storage method which is legally approved for
archival purposes (100 years)
0 Software non-proprietary (readable by more than one
system)
0 Easy to use (appropriate for users at all levels of the
organization and with varied computer skills)
0 Provide Indexing with flexible fields and search
capabilities (ipduding multiple search and drill d0wm-1-
capabflitiorP
Allow for nfuzzyr searches, GEO reference, boolean query,
for easy retrieval of information
0 Ability to hege -0 into electronic foraull various sizes
of recorda, forma and maps, and update =&track cm.ea-
0
0 -
0 Provide aib&&&q city-wide j
storaga and retrieval of documents and informatiom by
multiple users and departments)
0 Provide levels of security of ktaged slOCtrOniC
documents an& information (controlled access)
0 Ability to provide for future public access to information
(in accordance with security levels) I
4
L
11. CONSULTMT RES?OMSIBILITIES
The consultant will be responsible for assisting and
directing the City in preparation of a citywide record8
management program, and in the selection of an electronic
document imaging management system, including both hardware
and software. More specifically, the consultant selected
should be prepared to provide at the least the following:
Phr8r It
Review current City records operations and prepare a
Citywide Records Management Program, including Legal
References and Authority, Procedures Manual, Uniform Filing
System, and Records Retention Schedule;
0 Review current City and records operations, conduct a
needs and requirements assessment, and provide a report with
recommendation8 for an Electronic Document Imaging
Management System, to include an estimated coat of
implementation (both hardware and software coats);
Pha.. 11:
rn Develop a Req~e8t for Proposals and an appropriate vendor
mailing list for the software and hardware, in accordance
with City regulations; /* . . "
0 Assist in the evaluation of the proposals and
demonstrations, and make recommendations regarding the
vendors proposed ayatems;
0 Assist in negotiating the contract with the selected
vendor;
0 Attend City Council Meetings at various stage8 during the
project to de presentations and/or assist staff in
presentations. *
S
The City would like to maintain an option to extend the
contract through the implementation period of the system.
111. PROPOSECD FORMAT
Proposal estimates should be broken down by Phases, and
should include a cost analysis and number of hours for tasks
included in each phase of the project, in addition to the
total project cost and total number of hours. '.
All Proposals must include the following:
1. A Statement of Understanding. Include a paragraph which
demonstrates your understanding of the City's needs and
goals as described in the Request for Proposals. .
2. Number of years in business.
3. Number of employees.
4. A description of the methodology that would be followed
in carrying out the consultant's responsibilities and an
estimated timetable for achieving each of the project Phases
I, 11, and 111, outlined in Section If above.
5. A list of government/municipal agencies that your company
has workad with during the past three years. Provide the
following information for at leaet three ar- which are
eimilar in size a scope to the project requested by this
proposal :
6
a.
b.
d.
e.
f.
C.
Name, address and telephone number of the agency
Time period for the project
Brief description of the scope of the project
Recomended softwarc/hardware solutions
Information regarding the cost of the project
Person(s) to contact for a reference
6. Resumes of key peraon(s1 who would work on this project
any municipal agencies they have worked with and their level
of involvement.
. indicating their role in the project. Be sure to include
7. Thr -+ 8ol.ct.d not bo
p=vjdr or r.c.iv- c-eaaation fr- thr ultinrrtr rwmd rqlyIplpdpf
or aorvic- If you have any affiliation or compensation
arrangements with vendor8 of hardware or software, please
list them in the proposal. If none, then include a:.
statement that your company is totally independent of any
hardware, software.?'or service suppliers,
8. provide your rate structure for profesaional feed,
administrative support, travcl/lodging, office ad
any other fees normally aaaociated with a project Of this
b
type. ma fox
9. Billing and payment expectations.
10. Any additionahinformation that you want to proiride.
11. The selected consultant will be required to sign a
contract in a form similar to that presented in "it 1"
attached. Any antioipated change8 should be outlined in the
proposal .
The City rememe8 the right to reject any and all proposals
and to waive informalities and minor irregularitiea in any
proposal reviewed. Further, the City may reject any
proposal which doem not conform to the instructions
herewith.
Nothing in the Request for Proposals shall be deemed to
commit the City to pay any cost incurred in the preparation
of the submittal or to engage any consultant who responds.
7
- A mandatory, pre-proposal conference
Wednesday, March 25, 1998, at 10 :00
will be held on
a.m., in the City Council Chambers, 1200 Carlsbad Village Drive, Carlsbad,
The conference will provide an opportunity for all
interested bidders to ask questions regarding the RFP. city
personnel will be available to answer any questions, and to
provide a tour of City facilities as requested.
If you aro unablo to rttond, plea.. havo repromu3trtivo of
your compaay attond. If Your co~ll~arw i8 not r9mrmmppf.d at
thr Cmr. wur PrQporal will not br com.
v. RBvLm ot OROP~W
All proposals submitted will be evaluated by a comnittee
based upon, but not limited to, related experience of the
proposers, demonstrated knowledge of a variety of
systems/solutions, professional qualifications of
individuals to be assigned to the project, understanding of
the project, and responsiveness of the proposal. While
costs are important, they will not be the overriding factor in the selection. The committee may choose to interview the
top candidates .
Those selected for interview will be required to provide
samples of RFP's that they have written for the purchase of
similar system, including hardware and software, for other
clients.
The proposer deemed to be the most qualified . by the
committee will be recommended for award of the contract.
The anticipated timing for the selection process is outlined
below:
city requemts proposals March 11, 1998
Consultantrs eukait proposals April 6, 1998
Committea' review6 proposals and selects April 17, 1998
0 Commfttee.inte~iews top consultants April 20 -
0 Conanittee selects consultant and makes May 15, 1998
". -. . .. 7 r : .
the top two or three consultant8
-4 ' May 1, 1998
a recomncndation' to hire consultant
0 Committee3 presents Consultant Agreement
to the 'City Council for approval
(if n.oi..rry) May 26 or June
2, 1998
0 consultant begins work within 30 days of. July 1, 1998
approval of contract
VI. PROPOSAL SUBXISSION
The sole source of contact regarding this RFP is Karen
Kundtz, Assistant City Clerk. A total of eight (8) copies
of the Proposal should be submitted to Karen's'attention at
the address below no later than 5:OO p.m., on Monday, April
6, 1998. (-la bgB& not br
Submit proposals to:
Karen R, Kundtz, Assistant City Clerk
City of Carlabad
City Clerk's Office
1200 Carlsbad Village Drive
Carlsbad, CA 92008.-1989
If any question8 arise regarding thie proposal, please
contact Karen at (760) 434-2917. .*
9
.- -
EXHIBIT 1
AGREEMENT
THIS AGREEMENT is made and entered into as of the day of
,lQ-, by and between the CITY OF CARLSBAD, a municipal
corporation, hereinafter referred to as "City", and ,
hereinafter referred to a8 "Contractor."
to provide the necessary se~fbfpreparation .
of ;andContracborpomememh
necessary skill8 and qualifkatkms to provide the services required by the Cb,
NOW, THEREFORE, in consideration of these recitals and the mutual covenants
contained herein, City and Contractor agree as follows:
1- 1
rev. 10/22/97
1
The work under this contract will begin within ten (1 0) day8 atbr receipt of
notitication to proceed by the City and be completed within day8 of that
date. Extensions of time may be granted if requested by the Contmdq and agreed to
in writing by the . The will give.
allowance for documented and substantiated unforeseeable and unavoidable delays
not caused by a lack of foresight on the part of the Contractor, or delays caused by City
supplemental agrwmmt8 per Paragraph 8, "Changes in Wok' The City rclserv86 the
right to withhold a tetn percant (10%) retention until the pmjeat has been accepted by
the City. "
Incm paymerrt6, if applicable, should be made a8 outlined in attached
Exhibit "A.'
2
rev. 1Ol22197
5. 5
This agreement shall extend for a period of from date
thereof. The antact may be extended by the City Manager for additional
one (1) year periods or parts thereof, based upon a review of satisfadory performance
and the City's needs. The parties shall prepare extensions in writing indicating effective
date and length of the extended contract.
Payment of approved item on the invoice shall be mailed to the Contractor
within 30 days of receipt of the invoioe.
7. -
Within days of completion and approval of the the
Contractor shall deliver to the City the foNawing items:
in contrad sudpchange@'drau be processed by the Ci in the fdlowing manner. A
letter outlining the requhd changes shall be forwarded to the City by contractor to
rev. 10122197
3
*. II .-
Municipal Code Section 3.28.172. Such Amendment to Agreement shall not render
ineffective or invalMate unaffected portions of the agreement.
9. COVENANTS AGMST CONTINGENT FEEQ
The Contractor warrants that their firm has not employed 01 retained any
company or person, other than a bona tide employee working for the Contractor, to
solicit or secum this agmt, 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 conbingent upon, or msulting
from, the award or making of this agreement For breach or vidatkn of thb warranty,
the City sbd hamQm .- mdo annul this agreement without liability, or, in its discretion,
to deduct from the agreement price or eonsidedon, or othefwh ~BCOVW, the full
amount of such fee, commisskn, me, brokqe feea, gift. Or confingerd fee.
10. N0N"ON Cw
.
The Contractor shall comply with the state and federai laws regarding
rev., 10/22/97
4
A 4
shall make a determination of fact based upon the documents
delivered to City the percentage of work which the Contractor has performed which is
usabie and of worth to the City in having the contract completed. Based upon that
finding as reported to the Ci Manager, the Manager shall determine the final payment
of the contract
This agreement may be terminated by either party upon tendering thirty (30)
days written notice to the other party. In the event of such suspension w terrmnabon, ..
Ci Manager shaY make the final determination as to the portiom of tadtrr completed
and the compensation 60 be made. -
they become idmtibd rn a part of a dispute among person8 09eratirY) under the
pmvisiom ofthtrmntmct, shall be reduced to writing by the principal of the Contractor
or the City . A copy of such documented dispute shall be
forwarded to both partierr involved along with recommended method8 of resolution
which would be of bendit to both parties. The City or
principal receiving the lettec shall reply to the letter along with a recommended method
of resdm withhr ten (10) days. If the resolution thus obtained is unsatisfactory to the
aggrieved party, a letter outlining the dispute shall be forwarded to the City Council for
their resolution through the Office of the City Manager. The City Council may then opt
to consider the directed solution to the problem. In such cases, the action of the City
Council shall be binding upon the parties invoked, although nothing in thb procedure
shall prohibit the pdes seeking remedies available to them at law:
The Contracbr agree8 that any contract daim submittad tn thq City must be
asserted LUI part of the contract process as set forth in thb agtecrment and not in.
anticipation of litigatkrr or in conjunction with litigation. The Contractor adulowfedgea
that if a fakm dah h submitted to the Ci, it may be conskJered fraud and the
Contractor may be subject to criminal prosecution. The Conbador dumdedges that
California Government Code sections 12650 et s&,.the False Claims Ad, pmvidea for
civii penah wherr, a pemn knowingly submii a false daim to a public entity. These
provisions indude- daim made with deliberate ignorance of the fWe infomratior,
or in mckhms dimgad of the tnrth or falsity of infixmation. If ths-(=ity of Cad8bad seeks
to recover pedtieo pumumt to the False Claims Act, it is entitlsd to recov~~ its
litigation cos& induding atbmefls fees. The Contractor acknowledges that the filing of
.
a false daim may subjed the Contractor to an administratbe debarment pding
wherein the Corttracbor may be prevented to act as a Contractor on any public work or
improvement for a period of up to five years. The Contractor aduKmrlm debarment
6
rev. 10122197
by another jurisdiction is grounds for the City of Carlsbad to disqualify the Contractor
from’the selectkrr pmess. - (Initial)
The provision8 of Carlsbad Municipal Code sections 3.32.025, 3.32.026,
3.32.027 and 3.32.028 pertaining to false claims are incorporated herein by reference.
- (I n itial)
14. STATUS OF THE CONTRACTOR -
The Contractor shall perform the services provided for herein in Contractor‘s own
way as an independent Contractor and in pursuit of ContracWs independent calling,
and not as an employee of the City. Contractor shall be under conbrd of ths City only
as to the result to be accomplished, but shall consult with the City as pcpv#ed for in thg.
request for proposal. The persons used by the Contractor to prwide sewices under thb
agreement shall not be considered employees of the Ci fw any purposcw whatsower.
The Contractof b an independentContractor of the City. The payment made to
the Contractor pursuant to the contract shall be the full and complete ampensatbn to
which the Contractor is edtled. The Cii shall not make any federal 01 state tax
withholdings on behalf of tho Contractor 01 hisher employee8 or subamtractom. The
City shall. not be ,required to pay any workers’ compemath insurance or
unemployment on behalf of the Contractor or hidher empbyem or
subcontractom The Contmdw agrees to indernndy the Ci within 30 days for any tax,
retirement corrtdbuWt, social security, overtime payment, unemployment payment or
workem’ compensation payment which the City may be required bo make 01) behalf of
.
7
this agreement of such indemnification arnount may be deducted by the City from any
balance owing to the CoWador.
The Contrador shall be aware of the requirements of the Immigration Reform
and Control Act of 1986 and shall comply with those requirements, including, but not
‘limited to, verifying the eligibility for employment of all agents, employees,
subcontractors and Consultants that are included in this agreement.
15. CONFO- TO -QUI-
The Contractor shall cause all drawings and specitlcatkns to confdrm to all
applicable requirements of law. federal, state and local. contmdw shall provide all
necessary supporting doarmnts, to be filed with any agencies whose approval is
necessary.
.
, The City will prov#e copb of the approved plans to any 0th agencb.
16. -SHIP OF D0CU-S
All plans, studies, sketches, drawings, reports, and spdkxthw a8 herein
required are the propsrty of the City, whether the work for which they am made be ..
executed or not In the event this contract is terminated,. all doarrnenta, plans, ’ * It.
Contractof shall have the rigM Q make one (1.) copy of the plans fbr hidher records.
pursuant to this contrad shal be vested in City and hereby agrees to relinquish all
dainw to such copyrights in favor of City.
rev. 10/22/97
- Con-. agrees to indemnify and Md harmless the City of Carisbad and its
officers, officiab, 8mp(oy886 and vdunteen from and against all dahs, damages,
losses and expense8 induding attorneys fees arising out of the perfrxmance of the
work described herein caused by any willful misconduct, or negligent act, or omission of
the contractor, any subcon-, anyone directty or indirectly employed by any of them
01 anyone for whose acb any of them may be liable.
19. PSStQNMENT OF CON-
The Contractor shall not assign this contract or any part thereof or any monies ..
due thereunder without the prkr written consent of the Cii.
20. SUBCO-NQ
.
IftheContrador~~bcorrtradanyaftheworkbo~~underthb
contract by the Contractor, Contractor shall be fully resporrsible to the cy( fw the acts
and omisskns of ContmcWrr subcontractor and of the person8 either diredty or
indir8ctty employed by the subamtractor, as Contractw b for the acts and omiz18iocIs of
persons dim miay Contrador. Nothing contained k thk amtract shall
mate any contradud rda#oruhip between any sutxmtmtw ofcontracdpr and the
City. The ContmcWdM bind every subcontra- and 8~81y subamtractor of a
subcontracaoricb&~g~ .,of thb contract applicabk to Contradots work unless
Specrflcd~~Bo~~kthesubcontractin~apprwedinmitingby
the city.
21. PROW I-
.. . . ..
rev. 10i22197
9
NooffldaloftheCitywhoisauthomedinsuchca~onbehalfoftheCityto
negotiate, make, accept, or approve, or take part in negotiating, maWng, accepting, or
approving of this agreement, shall become directly or indirectly interested personally in
this contract or in any part thereof. No officer or employee of the Ci who is authortzed
' in such capacity and on behalfd the City to exercise any executive, .. supervisory, or
similar functions in connection with the performance of thk contract Jhaa beawne
directly or indirectly intemsted personally in this contract or any part thereof. e
22. nQEL
additional payment whatsower under the terms of thb co(lfrBd
above.
10
L 1
The COrrbacdM shall file a conflict of interest statement with the City Clerk in
accordance with the requirements of the City's conflict of interest code incorporating
Fair Political Practices Commission Regulation 18700 as it defines A consuitant. The
disclosure category shall be categories
OR
The City ha8 determined, using the guidelines of the Polii Refom Ad and the
Cis conflict of inbmst code, that the Contractor will not be required to fb a conflict d
interest statement a8 a requirement of this agreement. However, Co@radw hereby
acknowledges that contracbor ha8 the legal responsibility for camglyirr(l with tho.
Pditid Rem Ad and nothing in this agreement release8 contracdor fFom thi8
responsibility.
26. jNSURANa
The Contractor shall obtain and maintain for the duration of the amtract and any
and all amendment$ insurance against daim for injuries to pmmm of damage to
Said insurance drdl be obtaind from an insurance carrier admitted and authorited to
do busin- in tho Stab of California. The insurance carrier b required to have a
current Bds Kay Rating &.not less than "A-:V" and shall memt the Cia policy for
insurance ab stated in Rdutkn No. 91403.
.
11
A
contracdor shaU maintain the types of coverages and minimum limits
indicated herein, unless a lower amount is approved by the City Attorney or City
Manager:
1. ' Comprehensive General Liability Insurance. $1 ,~,~ combined
single-lirnit per occurmnce~ for bodiiy injury, personal injury and properly damage. If the
submitted polidea contain aggregate limits, general aggregate limb shall apply
separately to the wodc under this contract or the general aggregate shal be twice the
required per occurmnca limit. I
2. AutomoMe Liability (id the use of an aubomoMls b involved fcx. .
injury and pmpwty dm.
3. W&m' Compensation and EmpbyerS Liability. Wodcers'
Compmsatkn limits aa required by the Labor Code of the Stab d California and
Employer's Liability limits of $l,OOO,O00 per accident for bodily injury.
rev. 10/22/97
12
1. The City shd be named as an additional insumd on all polidea
excluding Workem' Compensation and Professional Liability.
2. The Contractor shall furnish certificates of insurance to the City
before commencement of work.
3. The Contractor shall obtain Occumnce coverage, exduding
Professional Liabilii which shall be written as daims-made coverage.
4. This insurance shall be in force during the lii of the agreement and
any extension themof and shall not be canceled without 30 day8 prkr written notice to
ttreCitysentbycerwiedmail.
5. If the contracaor fails to maintain any of the insurance coverag-. .
required bin, then the City will have the option to dedare the Contractor in breach, or
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rev. 10122197
13
27.
The nams d the persons who are authorized to give written nom or to receive
written notice on behalf of the City and on behalf of the Contractor in connection with
the foregoing are as folknw
For City: Title
Name
Addm
For contracb#: Title
Name
Addre88
Archiihse Number:
14
rev. 10/22/97
hereof may be amended, modified, waived or discharged except by an instrument in
writing executed by the party against which enforcement of such amendment, waiver or
discharge is sought.
. Executed by Contractor this day of e 19 *
CONTRACTOR: CITY OF CARLSBAD, a municipal corporation of the State of California
(name of Contractor)
By:
By:
City Manager or Mayor
(sgn hem)
(print name/title) ATTEST:
By: (sign here)
ALETHA L. RAUENKRANZ
(print namdtitle) Ci Clerk
(Proper notarial acknowledgment of execution by Contractor must be attached.)
(PtesMent 01 vice-president and secretary of assistant secretary must sign for
corporations. If only one officer signs, the corporation must attach a resolution certified
by the secretary or a88j3fBnt secretary under corporate seal empowering that officer to
bind the corporation.)
APPROVED AS TO FORM:
RONALD R BALL City Attorney
"Y Deputy City Attomey
15
rev. 10/22/97
,-
City of Carlsbad
August 10,1998
The Mattox Group/@doc
573 East Angela St.
Pleasanton CA 94566
Attn: Addie Mattox
RE: APPROVED CONSULTANT AGREEMENT
The Carlsbad City Council has approved the Agreement for a Citywide Records Management
Program and Electronic Document Management System with The Mattox Group/@doc.
Enclosed for your records is a fully executed original agreement. Also enclosed is a copy of
the Agenda Bill and Resolution which approved the Agreement.
Section 27 of the Agreement requires that you obtain a City business license. Though licenses
are handled by our Finance Department, I have obtained the application for you. Please
contact the Finance Department at (760) 434-2882 with any license questions.
As I told you earlier today, we are scheduled for the Water District Meeting Room on
September IO, 1998. I think that three sessions that day should be enough. I am working on a
memo for Lee to send to all department heads regarding their selection of participants for the
meetings. I am also planning on encouraging all committee members to attend one of the
sessions.
As soon as I have a Purchase Order Number for this project, I will call you.
Assistant City Wrk
Enclosures
1200 Carlsbad Village Drive Carlsbad, CA 92008-1 989 - (760) 434-2808 @